{ "window_days": 90, "since": "2026-05-11", "generated": "2026-08-09", "filings": [ { "accession_no": "0002149208-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1674440, "issuer_name": "AIRWA INC.", "issuer_cusip": "831445606", "securities_class_title": "Common Stock", "date_of_event": "2026-07-30", "filed_date": "2026-08-07", "item3_funds_source": "The Reporting Person acquired the 100,000 shares of Common Stock reported herein in open-market purchases using personal funds. The aggregate purchase price for the shares was approximately $46,000", "item4_transaction_purpose": "Item 4. Purpose of Transaction.\n\nThe Reporting Person acquired the shares of Common Stock reported herein based on the Reporting Person's belief that the shares represented an attractive investment.\n\nThe Reporting Person has significant concerns regarding the Issuer's capital allocation and financing practices, including the dilutive effect on existing shareholders of the Issuer's equity financing activities and the application of proceeds from such activities to fund acquisitions, including the acquisition of a 97% interest in Hongkong Best Life Trade Co., Limited announced by the Issuer on July 27, 2026 and completed on July 30, 2026, with $30 million of the purchase price paid in USDT (Tether). The Reporting Person also has concerns regarding the terms on which the Issuer has raised capital and any participation by related parties in the Issuer's financings.\n\nIn addition, the Reporting Person believes the Issuer possesses strategic value as a public vehicle that could be restructured or repurposed as an acquisition vehicle (or SPAC-like structure) focused on acquiring, developing, or operating high-value production and exploration assets within the critical minerals and natural resources sector.\n\nThe Reporting Person intends to engage in discussions with the Issuer's Board of Directors, management team, other shareholders, and potential strategic partners regarding:\n\n1. Capital Allocation & Governance: Reviewing capital-raising practices, use of proceeds, corporate governance, and terms of related-party transactions.\n\n2. Critical Minerals Strategy: Exploring operational or corporate pivot strategies to transition or utilize the Issuer's platform for critical minerals assets.\n\n3. Books and Records Demand: Seeking to inspect the Issuer's books and records, including via a demand pursuant to Section 220 of the Delaware General Corporation Law.\n\nDepending on various factors -- including the Issuer's response to these discussions, the Issuer's financial condition and prospects, the price and availability of the Issuer's securities, and general market and economic conditions -- the Reporting Person may from time to time take such actions with respect to the investment as deemed appropriate. These actions may include, without limitation: communicating with other shareholders or third parties; making proposals concerning capitalization, governance, asset acquisitions, or operational focus; nominating or supporting candidates for election to the Board of Directors; acquiring additional securities; disposing of some or all securities; or changing intentions with respect to any of the matters referred to in this Item 4.\n\nExcept as set forth in this Item 4, the Reporting Person has no present plans or proposals that relate to or would result in any of the actions or transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Person reserves the right to change plans or intentions and to take any and all actions deemed appropriate, subject to applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1674440/000214920826000001/0002149208-26-000001-index.html" }, { "accession_no": "0002146838-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1583771, "issuer_name": "Hepion Pharmaceuticals, Inc.", "issuer_cusip": "426897401", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-07", "item3_funds_source": "On July 31, 2026, Black Global acquired the securities described herein pursuant to that certain Securities Purchase Agreement, dated July 31, 2026 (the \"Securities Purchase Agreement\"), by and among Hepion Pharmaceuticals, Inc. and the purchasers party thereto.\n\nPursuant to the Securities Purchase Agreement, Black Global purchased 10,000,000 shares of Common Stock together with one warrant to purchase up to an additional 10,000,000 shares of Common Stock at an exercise price of $0.06 per share for an aggregate purchase price of $500,000. The purchase price was paid from Black Global's working capital.\n\nThe warrant is immediately exercisable, subject to the Beneficial Ownership Limitation contained therein.\n\nRed Global and Darin Feinstein did not directly purchase the securities reported herein and may be deemed to beneficially own such securities solely by virtue of their respective relationships with Black Global.", "item4_transaction_purpose": "The Reporting Persons acquired the securities for investment purposes.\n\nThe Reporting Persons intends to review its investment in the Issuer on a continuing basis. Depending upon market conditions, the Issuer's business, financial condition, prospects, general economic conditions and other factors deemed relevant, the Reporting Persons may acquire additional securities of the Issuer, dispose of some or all of its securities, or maintain its current investment position.\n\nExcept as described herein, the Reporting Persons do not presently have any plans or proposals that relate to or would result in any of the actions described in Items 4(a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1583771/000214683826000001/0002146838-26-000001-index.html" }, { "accession_no": "0001829126-26-008487", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1874252, "issuer_name": "Quantum Cyber N.V.", "issuer_cusip": "N5436L119", "securities_class_title": "Ordinary Shares, nominal value (euro)0.01 per share", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\n\"On August 5, 2026, the Reporting Person converted (i) 1,000,000 Series A Preferred Shares of the Issuer into 9,000,000 Ordinary Shares of the Issuer, (ii) 1,000,000 Series B Preferred Shares of the Issuer into 9,000,000 Ordinary Shares of the Issuer, (iii) 1,000,000 Series C Preferred Shares of the Issuer into 9,000,000 Ordinary Shares of the Issuer, and (iv) 124,700 Series D Preferred Shares of the Issuer into 28,057,500 Ordinary Shares of the Issuer (each of the foregoing for no additional consideration).\"", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1874252/000182912626008487/0001829126-26-008487-index.html" }, { "accession_no": "0001542826-26-000006", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1969674, "issuer_name": "2023 ETF Series Trust", "issuer_cusip": "900934795", "securities_class_title": "Harrison Street Infrastructure Active ETF", "date_of_event": "2026-01-30", "filed_date": "2026-08-07", "item3_funds_source": "The shares of NFRX were purchased by VCRRX as a portfolio holding for an aggregate price of $9,999,997.92. The source of funds was the working capital of VCRRX.", "item4_transaction_purpose": "The shares reported herein were acquired for investment purposes, in the ordinary course of business and not for the purpose of changing or influencing the control of NFRX.\n\nThe Reporting Persons may seek to acquire additional securities of NFRX (which may include rights or securities exercisable, exchangeable or convertible into securities of NFRX) and/or may dispose of some or all of their shares, from time to time, by selling such shares on the secondary market or otherwise, depending on price, market liquidity, developments affecting NFRX, NFRXs business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations and other factors deemed relevant.\n\nThe Reporting Persons intend to review their investment in NFRX on an ongoing basis and, in the course of their review, may take actions (including through their affiliates) with respect to their investment or NFRX, including communicating with the board of trustees of NFRX (the \"Board\"), members of management or other security-holders of NFRX, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available. The Reporting Persons may engage in discussions with management, the Board, and other securityholders of NFRX and other relevant parties or encourage, cause or seek to cause NFRX or such persons to consider or explore extraordinary corporate transactions, such as: a merger, acquisition or reorganization which could in the future result in, among other things, a de-listing or de-registration of shares; security offerings and/or stock repurchases by NFRX; sales or acquisitions of assets; changes to the capitalization or dividend policy of NFRX; or other material changes to NFRX's business or corporate structure, including changes in management or the composition of the Board.\n\nHSPW acts as NFRX's investment adviser. HSPW is responsible for the day-to-day management of NFRX operating under the direction of the Board of Trustees. Except as described in this Schedule 13D, the Reporting Persons, and, to the best knowledge of each of the Reporting Persons, without independent verification, the persons identified in Item 2, do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1969674/000154282626000006/0001542826-26-000006-index.html" }, { "accession_no": "0001493152-26-036650", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1412486, "issuer_name": "Cocrystal Pharma, Inc.", "issuer_cusip": "19188J409", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-08-03", "filed_date": "2026-08-07", "item3_funds_source": "On August 3, 2026, the Reporting Persons purchased 75,000 shares of the Issuer's common stock in the open market at $0.9412 per share. On August 5, 2026, the Reporting Persons purchased an additional 10,000 shares of the Issuer's common stock in the open market at $0.9816 per share.", "item4_transaction_purpose": "The Reporting Persons acquired the shares of common stock for investment purposes.\n\nThese securities are held by Frost Gamma Investments Trust, of which Phillip Frost, MD is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole shareholder of Frost-Nevada Corporation. Dr. Frost disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that Dr. Frost is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1412486/000149315226036650/0001493152-26-036650-index.html" }, { "accession_no": "0001493152-26-036495", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1897245, "issuer_name": "HWH INTERNATIONAL INC.", "issuer_cusip": "44852G309", "securities_class_title": "COMMON STOCK, $0.0001 PAR VALUE", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": "On August 5, 2026 two holders of the Common Stock of HWH International Inc. who collectively held 320,000 shares transferred their shares to Alset International Limited. These shares were returned to Alset International Limited in connection with a Share Transfer and Note Cancellation Agreement.", "item4_transaction_purpose": "The Reporting Persons do not have any present plans or proposals related to the transaction described herein that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, the Reporting Person, at any time, and from time to time, may review, reconsider and change their position, purposes and plans.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1897245/000149315226036495/0001493152-26-036495-index.html" }, { "accession_no": "0001213900-26-086736", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2114229, "issuer_name": "Churchill Capital Corp XIII", "issuer_cusip": "G2132G104", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-08-03", "filed_date": "2026-08-07", "item3_funds_source": "The aggregate purchase price for the Ordinary Shares currently beneficially owned by the Reporting Persons was $3,525,000. The source of these funds was the working capital of the Sponsor.", "item4_transaction_purpose": "In connection with the organization of the Issuer, on January 13, 2026, 14,375,000 Class B Ordinary Shares (the \"Founder Shares\") were purchased by the Sponsor for the amount of $25,000, pursuant to a Securities Subscription Agreement, dated as of January 13, 2026, by and between the Sponsor and the Issuer (the \"Founder Share Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D which information is incorporated herein by reference. In July 2026, the Issuer effected successive surrenders and recapitalizations, resulting in the Sponsor holding an aggregate of 13,800,000 Founder Shares. On August 3, 2026, simultaneously with the consummation of the Issuer's Initial Public Offering (the \"IPO\"), the Sponsor purchased 350,000 units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Units Purchase Agreement, dated as of July 30, 2026, by and between the Issuer and the Sponsor (the \"Placement Units Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference. Each Placement Unit consists of one Class A Ordinary Share and one-tenth of a warrant, with each whole warrant exercisable into one Class A ordinary share at an exercise price of $11.50, subject to adjustment, commencing 30 days following the consummation of the Issuer's initial business combination (as described more fully in the Issuer's Final Prospectus dated July 30, 2026). The Ordinary Shares owned by the Reporting Persons have been acquired for investment purposes. The Reporting Persons may make further acquisitions of the Ordinary Shares from time to time and, subject to certain restrictions, may dispose of any or all of the Ordinary Shares held by the Reporting Persons at any time depending on an ongoing evaluation of the investment in such securities, prevailing market conditions, other investment opportunities and other factors. However, certain of such shares are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed business combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2114229/000121390026086736/0001213900-26-086736-index.html" }, { "accession_no": "0001213900-26-086686", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1332551, "issuer_name": "ACRES Commercial Realty Corp.", "issuer_cusip": "00489Q102", "securities_class_title": "Common Stock", "date_of_event": "2026-08-06", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": "As previously reported, on April 29, 2026, ACRES Commercial Realty Corp. (the \"Company\") and ACRES Holdings Sub LLC (\"Merger Sub\"), a subsidiary of the Company, on the one hand, and ACRES Capital Corp (\"ACC\") and ACRES Capital, LLC, a subsidiary of ACC and the external manager of the Company (the \"Manager\"), on the other hand, entered into an Agreement and Plan of Merger (the \"Merger Agreement\"), pursuant to which ACC will be merged with and into Merger Sub, with Merger Sub surviving as a wholly-owned subsidiary of the Company (the \"Merger\"). On August 6, 2026, the Merger was completed pursuant to the terms of the Merger Agreement (the \"Closing\"). Upon Closing, ACC merged with and into Merger Sub, with Merger Sub continuing as the surviving company. As a result of the Merger, the Manager became an indirect wholly-owned subsidiary of the Company and the shares of ACRES Share Holdings, LLC, ACRES Capital, LLC, ACRES Capital Corp. and ACRES Holdings, LLC were retired.\n\n(a) Not applicable\n\n(b) Not applicable\n\n(c) Not applicable\n\n(d) Not applicable\n\n(e) Not applicable\n\n(f) Not applicable\n\n(g) Not applicable\n\n(h) Not applicable\n\n(i) Not applicable\n\n(j) Not applicable", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1332551/000121390026086686/0001213900-26-086686-index.html" }, { "accession_no": "0001213900-26-086681", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1332551, "issuer_name": "ACRES Commercial Realty Corp.", "issuer_cusip": "00489Q102", "securities_class_title": "Common Stock", "date_of_event": "2026-08-06", "filed_date": "2026-08-07", "item3_funds_source": "On April 29, 2026, ACRES Commercial Realty Corp. (the \"Company\") and ACRES Holdings Sub LLC (\"Merger Sub\"), a subsidiary of the Company, on the one hand, and ACRES Capital Corp (\"ACC\") and ACRES Capital, LLC, a subsidiary of ACC and the external manager of the Company (the \"Manager\"), on the other hand, entered into an Agreement and Plan of Merger (the \"Merger Agreement\"), pursuant to which ACC will be merged with and into Merger Sub, with Merger Sub surviving as a wholly-owned subsidiary of the Company (the \"Merger\"). The Merger was completed pursuant to the terms of the Merger Agreement on August 6, 2026 (the \"Effective Time\"). At the Effective Time, each outstanding share of common stock, $0.0001 par value per share, of ACC (\"ACC Common Stock\") was converted into 2.61882 shares of common stock, $0.001 par value per share, of the Company (the \"ACR Common Stock\"). As a result of the reporting person's ownership of the Manager, Mr. Reasoner received an aggregate of 1,517,095 shares of ACR Common Stock in connection with the Merger.", "item4_transaction_purpose": "(a) See Item 3 for a discussion of the Merger.\n\n(b) See Item 3 for a discussion of the Merger.\n\n(c) Not applicable\n\n(d) Not applicable\n\n(e) Not applicable\n\n(f) Not applicable\n\n(g) Not applicable\n\n(h) Not applicable\n\n(i) Not applicable\n\n(j) Not applicable", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1332551/000121390026086681/0001213900-26-086681-index.html" }, { "accession_no": "0001213900-26-086674", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1574565, "issuer_name": "Evogene Ltd.", "issuer_cusip": "M4119S187", "securities_class_title": "Ordinary shares, par value NIS 0.20 per share and American Depositary Shares, each representing one (1) Ordinary Share", "date_of_event": "2026-08-06", "filed_date": "2026-08-07", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended to add the following at the end thereof:\n\nPure Capital acquired 216,300 additional ADSs using working capital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574565/000121390026086674/0001213900-26-086674-index.html" }, { "accession_no": "0001213900-26-086672", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1332551, "issuer_name": "ACRES Commercial Realty Corp.", "issuer_cusip": "00489Q102", "securities_class_title": "Common Stock", "date_of_event": "2026-08-06", "filed_date": "2026-08-07", "item3_funds_source": "On April 29, 2026, ACRES Commercial Realty Corp. (the \"Company\") and ACRES Holdings Sub LLC (\"Merger Sub\"), a subsidiary of the Company, on the one hand, and ACRES Capital Corp (\"ACC\") and ACRES Capital, LLC, a subsidiary of ACC and the external manager of the Company (the \"Manager\"), on the other hand, entered into an Agreement and Plan of Merger (the \"Merger Agreement\"), pursuant to which ACC will be merged with and into Merger Sub, with Merger Sub surviving as a wholly-owned subsidiary of the Company (the \"Merger\"). The Merger was completed pursuant to the terms of the Merger Agreement on August 6, 2026 (the \"Effective Time\"). At the Effective Time, each outstanding share of common stock, $0.0001 par value per share, of ACC (\"ACC Common Stock\") was converted into 2.61882 shares of common stock, $0.001 par value per share, of the Company (the \"ACR Common Stock\"). As a result of the reporting person's ownership of the Manager, Mr. Fogel received an aggregate of 1,440,552 shares of ACR Common Stock in connection with the Merger.", "item4_transaction_purpose": "(a) See Item 3 for a discussion of the Merger.\n\n(b) See Item 3 for a discussion of the Merger.\n\n(c) Not applicable\n\n(d) Not applicable\n\n(e) Not applicable\n\n(f) Not applicable\n\n(g) Not applicable\n\n(h) Not applicable\n\n(i) Not applicable\n\n(j) Not applicable", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1332551/000121390026086672/0001213900-26-086672-index.html" }, { "accession_no": "0001213900-26-086671", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1332551, "issuer_name": "ACRES Commercial Realty Corp.", "issuer_cusip": "00489Q102", "securities_class_title": "Common Stock", "date_of_event": "2026-08-06", "filed_date": "2026-08-07", "item3_funds_source": "On April 29, 2026, ACRES Commercial Realty Corp. (the \"Company\") and ACRES Holdings Sub LLC (\"Merger Sub\"), a subsidiary of the Company, on the one hand, and ACRES Capital Corp (\"ACC\") and ACRES Capital, LLC, a subsidiary of ACC and the external manager of the Company (the \"Manager\"), on the other hand, entered into an Agreement and Plan of Merger (the \"Merger Agreement\"), pursuant to which ACC will be merged with and into Merger Sub, with Merger Sub surviving as a wholly-owned subsidiary of the Company (the \"Merger\"). The Merger was completed pursuant to the terms of the Merger Agreement on August 6, 2026 (the \"Effective Time\"). At the Effective Time, each outstanding share of common stock, $0.0001 par value per share, of ACC (\"ACC Common Stock\") was converted into 2.61882 shares of common stock, $0.001 par value per share, of the Company (the \"ACR Common Stock\"). As a result of the reporting persons' ownership of the Manager and allocations of ACR Common Stock, an aggregate of 1,880,666 shares of ACR Common Stock were issued to the Reporting Persons in connection with the Merger.", "item4_transaction_purpose": "(a) See Item 3 for a discussion of the Merger.\n\n(b) See Item 3 for a discussion of the Merger.\n\n(c) Not applicable\n\n(d) Not applicable\n\n(e) Not applicable\n\n(f) Not applicable\n\n(g) Not applicable\n\n(h) Not applicable\n\n(i) Not applicable\n\n(j) Not applicable", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1332551/000121390026086671/0001213900-26-086671-index.html" }, { "accession_no": "0001193125-26-340485", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1699350, "issuer_name": "Shoulder Innovations, Inc.", "issuer_cusip": "82537J108", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1699350/000119312526340485/0001193125-26-340485-index.html" }, { "accession_no": "0001193125-26-340465", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1828108, "issuer_name": "Aurora Innovation, Inc.", "issuer_cusip": "051774107", "securities_class_title": "Class A common stock, $0.0001 par value per share", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828108/000119312526340465/0001193125-26-340465-index.html" }, { "accession_no": "0001193125-26-340229", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1889539, "issuer_name": "Corebridge Financial, Inc.", "issuer_cusip": "21871X109", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-08-07", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the following.\n\nOn August 7, 2026, the Reporting Person entered into a purchase agreement pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the \"10b5-1 Trading Plan\"). Pursuant to the 10b5-1 Trading Plan, a broker dealer will make periodic purchases of up to an aggregate of 10,900,682 shares of Common Stock on behalf of Reporting Person. Purchases under the plan will commence upon the later to occur of (i) the end of the relevant cooling-off period and (ii) receipt of all necessary regulatory approvals (the \"Effective Date\"). The 10b5-1 Trading Plan shall terminate upon the earliest to occur of (i) the first date on which an aggregate of 10,900,682 shares of Common Stock have been acquired by the Reporting Person, (ii) the date that is 90 days following the Effective Date and (iii) the other termination conditions specified in the 10b5-1 Trading Plan.\n\nThe foregoing description of the 10b5-1 Trading Plan does not purport to be complete and is qualified in its entirety by the text of the 10b5-1 Trading Plan, which is attached as an exhibit to this Schedule 13D and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1889539/000119312526340229/0001193125-26-340229-index.html" }, { "accession_no": "0001140361-26-031878", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1273441, "issuer_name": "Gran Tierra Energy Inc.", "issuer_cusip": "38500T200", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and restated in its entirety as follows:\n\nAll of the Shares to which this Schedule 13D relates were purchased using the investment capital of the applicable clients of EPIM. The aggregate amount of funds used for the purchase of the Shares held by the Reporting Persons is approximately $25,511,601.87, including commissions. The Reporting Persons may effect purchases of Shares through margin accounts maintained for EPIM's clients with prime brokers, which extend margin credit as and when required to open or carry positions in their margin accounts, subject to applicable federal margin regulations, stock exchange rules and such firms' credit policies. Shares may be held in margin accounts and may be pledged as collateral security for the repayment of debit balances in such accounts. Since other securities may be held in such margin accounts, it may not be possible to determine the amounts, if any, of margin used to purchase the Shares.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable. Brad Virbitsky, a portfolio manager and partner at EPIM, was appointed to the Issuer's Board of Directors as an independent director, effective September 30, 2025, prompting the change from a 13G to a 13D filer. Mr. Virbitsky resigned from the Issuer's Board of Directors on March 12, 2026. No Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in Item 4(a) through (j) of this Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board of Directors, engaging in discussions with stockholders of the Issuer or third parties, including potential acquirers and service providers, about the Issuer and the Reporting Persons' investment, making proposals to the Issuer concerning changes to the capital allocation strategy, capitalization, ownership structure, including a sale of the Issuer as a whole or in parts, Board of Directors structure (including Board of Directors composition) or operations of the Issuer, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1273441/000114036126031878/0001140361-26-031878-index.html" }, { "accession_no": "0001140361-26-031845", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 60086, "issuer_name": "LOEWS CORP", "issuer_cusip": "540424108", "securities_class_title": "Common Stock", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/60086/000114036126031845/0001140361-26-031845-index.html" }, { "accession_no": "0001140361-26-031842", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 60086, "issuer_name": "LOEWS CORP", "issuer_cusip": "540424108", "securities_class_title": "Common Stock", "date_of_event": "2026-08-06", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/60086/000114036126031842/0001140361-26-031842-index.html" }, { "accession_no": "0001123292-26-001073", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1837240, "issuer_name": "Symbotic Inc.", "issuer_cusip": "87151X101", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1837240/000112329226001073/0001123292-26-001073-index.html" }, { "accession_no": "0001104659-26-092862", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1867102, "issuer_name": "Vertical Aerospace Ltd.", "issuer_cusip": "G9471C107", "securities_class_title": "Ordinary Shares, par value $0.001 per share", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": "This Item 4 of the Schedule 13D is amended and supplemented as follows:\n\nAs previously disclosed by the reporting persons in Amendment No. 7 to this Schedule 13D, MCM and the Company entered into a Convertible Note Purchase Agreement, dated April 20, 2026 (the \"Convertible Note Purchase Agreement\"), pursuant to which the Company has the right, but not the obligation, to cause MCM to purchase up to $50,000,000 in aggregate original principal amount of additional Convertible Senior Secured Notes (the \"Additional Notes\") to be issued under the Indenture during a period of one year following the date of the Convertible Note Purchase Agreement. Since April 20, 2026, the Company has caused MCM, on behalf of certain of the Reporting Persons, to purchase $15,000,000 in Additional Notes. On August 5, 2026, pursuant to a financing term sheet (the \"Term Sheet\") entered into among MCM, the Company and certain other parties thereto, MCM agreed in principle, subject to further negotiation and the execution of definitive agreements, to purchase the remaining $35,000,000 Additional Notes that have not been yet been purchased under the Convertible Note Purchase Agreement on the amended terms set forth in the Term Sheet. Additionally, MCM and the Company agreed to enter into a shareholder agreement (the \"Shareholder Agreement\") with respect to certain governance matters in connection with the closing of the purchase of the Additional Notes pursuant to the Term Sheet. The descriptions of the Term Sheet and Shareholder Agreement are incorporated by reference herein from Item 6 of this Amendment No. 8.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1867102/000110465926092862/0001104659-26-092862-index.html" }, { "accession_no": "0001104659-26-092824", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1282648, "issuer_name": "Battalion Oil Corporation", "issuer_cusip": "02081G102", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-08-07", "filed_date": "2026-08-07", "item3_funds_source": "Item 3 of the Schedule 13D is amended to incorporate the information below:\n\nOn August 7, 2026, pursuant to the Preferred Stock Repurchase and Conversion Agreement, dated August 7, 2026, between Gen IV and the Company (the \"PSRCA\"), the Company repurchased from Gen IV (i) 5,138 shares of Series A Preferred Stock and (ii) 6,578.11 shares of Series A-1 Preferred Stock for an aggregate purchase price of $19,000,000 (the \"Purchase Price\").\n\nConcurrently, pursuant to the terms of the Certificates of Designation governing the Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series A-3 Preferred Stock and Series A-4 Preferred Stock, Gen IV exercised its conversion rights and converted all of its remaining outstanding shares of such preferred stock into an aggregate of 3,494,258 shares of Common Stock. No additional consideration was paid in connection with such conversion.\n\nThe information set forth under the heading \"Preferred Stock Repurchase and Conversion Agreement\" in Item 4 of this Schedule 13D is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended to incorporate the information below:\n\nPreferred Stock Repurchase and Conversion Agreement. On August 7, 2026, Gen IV entered into the PSRCA with the Company for the purpose of effectuating (i) the Company's repurchase of 5,138 shares of Series A Preferred Stock and 6,578.11 shares of Series A-1 Preferred Stock from Gen IV for the Purchase Price; and (ii) the conversion of 1,868 shares of Series A-1 Preferred Stock, 6,630 shares of Series A-2 Preferred Stock, 3,789 shares of Series A-3 Preferred Stock, and 3,789 shares of Series A-4 Preferred Stock into an aggregate of 3,494,258 shares of Common Stock. Following the closing of the PSRCA, Gen IV no longer holds any Preferred Stock of the Company and its beneficial ownership of the Company consists solely of the 3,494,258 Converted Common Shares.\n\nVoting and Lock-Up Agreement. On August 7, 2026, Gen IV entered into the Voting and Lock-Up Agreement with the Company (the \"Voting Agreement\"), pursuant to which Gen IV agreed, among other things, to vote all Voting Securities (as defined in the Voting Agreement) in favor of (i) the nominees of the board of directors in any uncontested election of directors of the Company and (ii) the ratification of the Company's independent auditors until the earlier of (x) 12 months from the date of the Voting Agreement and (y) the date on which the Voting Parties (as defined in the Voting Agreement) no longer hold any Voting Securities.\n\nThe Voting Agreement also provides that for a period of 12 months, Gen IV will not, without the prior written consent of the Company, offer, pledge, sell, contract to sell, or otherwise transfer or dispose of, directly or indirectly, any Voting Securities or enter into any swap, hedge, or similar agreement or transaction, including any short sale, with respect to the Common Stock, subject to certain exceptions set forth in the Voting Agreement.\n\nThe foregoing descriptions of the PSRCA and the Voting Agreement are summaries only and are qualified in their entirety by reference to the full text of such agreements, copies of which are filed as Exhibit 99.1 and Exhibit 99.2 hereto, respectively, and are incorporated herein by reference.\n\nThe Reporting Persons may from time to time engage in discussions with management, other stockholders, and third parties regarding the Issuer and its business, including but not limited to the Issuer's operations, governance, management, and strategic alternatives. The Reporting Persons reserve the right to change their intentions and develop plans or proposals at any time, as they deem appropriate.\n\nExcept as set forth herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1282648/000110465926092824/0001104659-26-092824-index.html" }, { "accession_no": "0001104659-26-092737", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1724521, "issuer_name": "Arcus Biosciences, Inc.", "issuer_cusip": "03969F109", "securities_class_title": "Common Stock, par value $0.0001", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": "Gilead acquired from the Issuer 2,200,000 shares of Common Stock in the Issuer's public offering (the \"2020 Public Offering\") at the public offering price of $27.50 per share. The 2020 Public Offering was completed on June 2, 2020. The total consideration paid by Gilead for these shares of Common Stock was $60,500,000, and such consideration was obtained from the available cash resources of Gilead.\n\nOn May 27, 2020, Gilead entered into the Purchase Agreement (as defined below) pursuant to which Gilead agreed to purchase an initial 5,963,029 shares of the Issuer's Common Stock (the \"Initial Purchase\") at a purchase price of $33.54 per share (the \"Initial Purchase Price\"), which purchase occurred on July 13, 2020. The total consideration for the Initial Purchase was $199,999,992.66, and such consideration was obtained from the available cash resources of Gilead.\n\nOn January 31, 2021, Gilead entered into the Amended and Restated Purchase Agreement (as defined below) pursuant to which Gilead agreed to purchase an additional 5,650,000 shares of the Issuer's Common Stock (the \"Second Purchase\") at a purchase price of $39.00 per share (the \"Second Purchase Price\"), which purchase occurred on February 1, 2021. The total consideration for the Second Purchase was $230,350,000.00, and such consideration was obtained from the available cash resources of Gilead.\n\nOn June 27, 2023, Gilead entered into the Second Amended and Restated Purchase Agreement (as defined below) pursuant to which Gilead agreed to purchase an additional 1,010,000 shares of the Issuer's Common Stock (the \"Third Purchase\") at a purchase price of $19.26 per share (the \"Third Purchase Price\"), which purchase occurred on June 28, 2023. The total consideration for the Third Purchase was $19,452,600, and such consideration was obtained from the available cash resources of Gilead.\n\nOn January 29, 2024, Gilead entered into the Third Amended and Restated Purchase Agreement (as defined below) pursuant to which Gilead agreed to purchase an additional 15,238,095 shares of the Issuer's Common Stock (the \"Fourth Purchase\") at a purchase price of $21.00 per share (the \"Fourth Purchase Price\"), which purchase occurred on January 29, 2024. The total consideration for the Fourth Purchase was $320,000,000, and such consideration was obtained from the available cash resources of Gilead. Under the Third Amended and Restated Purchase Agreement, Gilead also has the right, at its option, to purchase additional shares from the Issuer, up to a maximum of 35% of the Issuer's then-outstanding Common Stock, from time to time for a period of five years from the closing of the Initial Purchase, at a purchase price equal to the greater of a 20% premium to market (based on a trailing five-day average closing price) at the time Gilead exercises such option and the Initial Purchase Price. It is expected that the total consideration paid in connection with any exercise of such option will be obtained from the available cash resources of Gilead. On July 13, 2025, Gilead's option to purchase additional shares from the Issuer, up to a maximum of 35% of the Issuer's then-outstanding Common Stock, expired.\n\nOn February 18, 2025, Gilead acquired from the Issuer 1,363,636 shares of Common Stock in the Issuer's most recent public offering (the \"Public Offering\") at the public offering price of $11.00 per share. The Public Offering was completed on February 19, 2025. The total consideration paid by Gilead for these shares of Common Stock was $14,999,996, and such consideration was obtained from the available cash resources of Gilead.", "item4_transaction_purpose": "On May 27, 2020, Gilead and the Issuer entered into an Option, License and Collaboration Agreement (the \"Collaboration Agreement\") pursuant to with Gilead obtained an exclusive option to acquire an exclusive license to all of the Issuer's current and future clinical programs during the 10-year collaboration term and, for those programs that enter clinical development prior to the end of the collaboration term, for up to an additional three years thereafter.\n\nIn addition to the Collaboration Agreement, Gilead and the Issuer entered into a Common Stock Purchase Agreement (the \"Purchase Agreement\"), which was amended and restated on January 31, 2021 to account for the Second Purchase (the \"Amended and Restated Purchase Agreement\"), on June 27, 2023 to account for the Third Purchase (the \"Second Amended and Restated Purchase Agreement\"), and on January 29, 2024 to account for the Fourth Purchase (the \"Third Amended and Restated Purchase Agreement\") and an Investor Rights Agreement (as amended by Amendment No. 1 thereto, which was subsequently amended and restated on January 29, 2024 and August 5, 2026, the \"Third Amended and Restated Investor Rights Agreement\" and, together with the Third Amended and Restated Purchase Agreement, the \"Equity Agreements\"), pursuant to which Gilead made the Initial Purchase at the Initial Purchase Price, the Second Purchase at the Second Purchase Price, the Third Purchase at the Third Purchase Price and the Fourth Purchase at the Fourth Purchase Price. Gilead also has the right, at its option, to purchase additional shares from the Issuer, up to a maximum of 35% of the Issuer's then-outstanding Common Stock, from time to time for a period of five years from the closing of the Initial Purchase, at a purchase price equal to the greater of a 20% premium to market (based on a trailing five-day average closing price) at the time Gilead exercises such option and the Initial Purchase Price. On July 13, 2025, Gilead's option to purchase additional shares from the Issuer, up to a maximum of 35% of the Issuer's then-outstanding Common Stock, expired. The Equity Agreements also include lock-up provisions and provide Gilead with certain registration rights.\n\nThe acquisitions by the Reporting Person of the Issuer's securities as described herein were effected in connection with entry into the Collaboration Agreement and the Equity Agreements, and because of the belief that the securities of the Issuer represent an attractive investment. The foregoing description of the Equity Agreements is not complete and is subject to and qualified in its entirety by reference to the full text of such agreements. The Third Amended and Restated Purchase Agreement was filed previously as Exhibits 99.1 to the Amendment No. 3 to Schedule 13D filed by the Reporting Person with the SEC on January 31, 2024. The Third Amended and Restated Investor Rights Agreement is filed herewith as Exhibits 99.2 and is incorporated herein by reference.\n\nExcept as otherwise described herein, the Reporting Person currently has no plan(s) or proposal(s) that relate to, or would result in, any of the events or transactions described in Item 4(a) through (j) of Schedule 13D, although the Reporting Person reserves the right, at any time and from time to time, to review or reconsider such position and/or change such purpose and/or formulate plans or proposals with respect thereto.\n\nThe Reporting Person intends to review from time to time its investment in the Issuer and the Issuer's business affairs, financial position, performance and other investments considerations. The Reporting Person may from time to time engage in discussions with the Issuer, its directors and officers, other stockholders of the Issuer and other persons on matters that relate to the management, operations, business, assets, capitalization, financial condition, strategic plans, governance and the future of the Issuer and/or its subsidiaries. Based upon such review and discussions, as well as general economic, market and industry conditions and prospects and the Reporting Person's liquidity requirements and investment considerations, and subject to the limitations in the agreements described above, the Reporting Person may consider additional courses of action, which may include, in the future, formulating plans or proposals regarding the Issuer and/or its subsidiaries, including possible future plans or proposals concerning events or transactions of the kind described in Item 4(a) through (j) of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1724521/000110465926092737/0001104659-26-092737-index.html" }, { "accession_no": "0001104659-26-092724", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1614806, "issuer_name": "Rithm Property Trust Inc.", "issuer_cusip": "38983D854", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn April 27, 2026, the Issuer issued 110,794 shares of Common Stock to RCM GA, representing approximately $1,606,734, as payment of the quarterly management fee, which can be paid in cash or shares of Common Stock at the election of RCM GA, as compensation for the services RCM GA provides to the Issuer and its subsidiaries, pursuant to, and subject to the terms and conditions of, the Management Agreement.\n\nOn August 5, 2026, the Issuer issued 137,383 shares of Common Stock to RCM GA, representing approximately $1,615,740, as payment of the quarterly management fee.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1614806/000110465926092724/0001104659-26-092724-index.html" }, { "accession_no": "0001094891-26-000277", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2022308, "issuer_name": "KIDZ AI Inc.", "issuer_cusip": "182744300", "securities_class_title": "Class B Common Stock", "date_of_event": "2025-08-04", "filed_date": "2026-08-07", "item3_funds_source": "Item 3 of the Schedule 13D is not amended by this Amendment No. 2.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is not amended by this Amendment No. 2.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2022308/000109489126000277/0001094891-26-000277-index.html" }, { "accession_no": "0000944809-26-000002", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1412486, "issuer_name": "Cocrystal Pharma, Inc.", "issuer_cusip": "19188J409", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-07", "item3_funds_source": "OPKO entered into a Securities Purchase Agreement with the Issuer pursuant to which OPKO purchased 5,474,053 shares of Common Stock for a total purchase price of $5,000,000. The source of funds used by OPKO for its acquisition of securities of the Issuer was working capital. For information with respect to Dr. Frost and FGIT, please refer to the Schedule 13D/A filed on August 7, 2026, which is incorporated by reference herein.", "item4_transaction_purpose": "OPKO acquired the shares of Common Stock for investment purposes. On July 31, 2026, OPKO and Issuer entered into the Securities Purchase Agreement pursuant to which OPKO purchased $5,000,000 of Common Stock from the Issuer.\nDr. Frost and FGIT acquire shares of common stock for investment purposes. Further, in their capacity as directors of the Issuer, Dr. Frost and Mr. Rubin may, from time to time, formulate plans or proposals regarding the Issuer or its securities for consideration by the board\nof directors of the Issuer and the Issuer's management.\nOPKO intends to review its investments in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position and strategic direction, actions taken by the board of directors, price levels of shares of the Common Stock, other investment opportunities available to OPKO, concentration of positions in the portfolios managed by OPKO, market conditions and general economic and industry conditions, OPKO may in the future take such actions with respect to their investments in the Issuer as it deems appropriate, including, without limitation, purchasing additional shares of the Common Stock or other financial instruments related to the Issuer or selling some or all of their beneficial or economic holdings, engaging in hedging or similar transactions with respect to the securities relating to the Issuer and/or otherwise changing their intention with respect to any and all matters referred to in Item 4 of Schedule 13D.\nIn connection with a transaction and series of related mergers (collectively, the \"Merger\") through which Cocrystal Merger Sub, Inc., a Delaware corporation, and RFS Pharma, LLC, a Georgia limited liability company (\"RFS Pharma\"), became wholly-owned subsidiaries of the Issuer, each of the Reporting Persons entered into a Stockholders Rights Agreement with the Issuer and certain other persons (the \"Stockholders Rights Agreement\"). Under the Stockholders Rights Agreement, each of the Reporting Persons and other parties thereto (other than the Issuer) entered into voting agreements and granted an irrevocable proxy with respect to the voting of Common Stock and any preferred stock of the Issuer in favor of certain individuals selected in accordance with the Stockholders Rights Agreement. Additionally, the Issuer granted the Reporting Persons and other parties to the Stockholders Rights Agreement a right of first refusal on participation in future equity financings by the Issuer until such time as the Issuer has cumulatively raised $70 million in equity financings. Dr. Frost and Mr. Rubin currently serve as directors of the Issuer. This filing shall not be deemed an admission that any of the Reporting Persons constituted a \"group\" with any other signatories of the Stockholders Rights Agreement for purposes of Section 13(d) of the Exchange Act.\nExcept as disclosed herein, none of the Reporting Persons has any plans or proposals which relate to or which would result in any of the actions specified in this paragraph of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1412486/000094480926000002/0000944809-26-000002-index.html" }, { "accession_no": "0000929638-26-002925", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2097545, "issuer_name": "AMG BBH Asset-Backed Credit Fund, LLC", "issuer_cusip": "03116N104", "securities_class_title": "Class S Units of Beneficial Interest", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": "Since the filing of the original Schedule 13D, Credit Partners and the Client Accounts have acquired additional Class S Units of Beneficial Interest from the Issuer using working capital and funds of such Client Accounts, respectively. Information regarding such transactions is set forth in Item 5(c), which is incorporated herein by reference. \r\n\r\nCapitalized terms used and not otherwise defined in this Schedule 13D amendment have the meanings ascribed to them in the original Schedule 13D.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2097545/000092963826002925/0000929638-26-002925-index.html" }, { "accession_no": "0000921895-26-002009", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1704720, "issuer_name": "Cannae Holdings, Inc.", "issuer_cusip": "13765N107", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares purchased by Carronade and held in certain accounts managed by Carronade Capital Management (the \"Managed Accounts\") were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 2,947,370 Shares beneficially owned by Carronade is approximately $53,983,128, excluding brokerage commissions. The aggregate purchase price of the 448,595 Shares held in the Managed Accounts is approximately $7,224,577, excluding brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1704720/000092189526002009/0000921895-26-002009-index.html" }, { "accession_no": "0000912282-26-001051", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1334388, "issuer_name": "OBSIDIAN ENERGY LTD.", "issuer_cusip": "674482104", "securities_class_title": "Common Shares", "date_of_event": "2026-08-05", "filed_date": "2026-08-07", "item3_funds_source": "With respect to the Q3 2026 purchases listed in Item 5 below, working capital of Kernwood.", "item4_transaction_purpose": "Purchases made in the ordinary course of business with a view toward investment. The Reporting Persons review their investments in the Issuer on a continuing basis. As part of this review, the Reporting Persons evaluate various alternatives that are or may become available with respect to the Issuer and its securities.\n\nThe Reporting Persons may from time to time and at any time, in their sole discretion, acquire or cause to be acquired, additional equity or debt securities or other instruments of the Issuer, its subsidiaries or affiliates, or dispose or cause to be disposed, such equity or debt securities or instruments, in any amount that the Reporting Persons may determine in their sole discretion, through open market transactions, privately negotiated transactions or otherwise. Depending upon a variety of factors, the Reporting Persons may from time to time and at any time, in their sole discretion, consider, formulate and implement various plans or proposals intended to enhance the value of their investment in the Issuer, including, among other things, proposing or effecting any matter that would constitute or result in any of the matters or effects enumerated in subparagraphs (a)-(j) of this Item 4 of Schedule 13D. The Reporting Persons may seek to have one of their members appointed to the board of directors of the Issuer. Except as described above, the Reporting Persons do not have any present plans or proposals that relate to or would result in the consequences listed in subparagraphs (a)-(j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1334388/000091228226001051/0000912282-26-001051-index.html" }, { "accession_no": "0000897101-26-000346", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 839533, "issuer_name": "DWS Municipal Income Trust", "issuer_cusip": "233368109", "securities_class_title": "Common Stock", "date_of_event": "2026-08-06", "filed_date": "2026-08-07", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/839533/000089710126000346/0000897101-26-000346-index.html" }, { "accession_no": "0000891839-26-000327", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1104038, "issuer_name": "VerifyMe, Inc.", "issuer_cusip": "92346X2062", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-08-01", "filed_date": "2026-08-07", "item3_funds_source": "On August 1, 2026, Mr. Stedham became the beneficial owner of 5% or greater of the Issuer's Shares by virtue of 550,000 restricted stock units, which are convertible into the Issuer's Shares on a one-for-one basis (RSUs), becoming convertible within 60 days. Mr. Stedham was granted the 550,000 RSUs on June 19, 2023, in connection with his service as President and Chief Executive Officer of the Issuer. The RSUs initially were scheduled to vest in three tranches, with Tranche 1 vesting 150,000 Shares on the first anniversary of the grant date if the price of the Issuer's common stock was $2.21 per share and traded at or above that price for 20 consecutive days. Tranche 2 would vest 200,000 Shares on or after the second anniversary of the grant date if the Issuer's common stock traded at or above $2.94 per share for 20 consecutive trading days. Tranche 3 would vest 200,000 Shares on the fourth anniversary of the grant date if the Issuer's common stock traded at or above $3.68 per share for 20 consecutive trading days. The vesting terms of the RSUs were subsequently amended by the Issuer's Compensation Committee on February 11, 2026 so that the RSUs would vest upon the earlier of the effective time of the merger transaction (as described in the Issuer's Form S-4 Registration Statement on file with the Securities and Exchange Commission (SEC)) or September 30, 2026, regardless of whether the performance conditions have been satisfied.\n\n\nAll other securities reported herein were purchased with either personal funds of Mr. Stedham or were securities acquired upon vesting of equity awards granted to Mr. Stedham in connection with his service as President and Chief Executive Officer or as a director of the Issuer.", "item4_transaction_purpose": "Mr. Stedham is the President and Chief Executive Officer and a member of the board of directors of the Issuer. In such capacity, Mr. Stedham may, from time to time, discuss or make plans or proposals to other members of the Issuer's board of directors with respect to the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nAs of the date of this Schedule 13D, the Issuer is party to a certain Agreement and Plan of Merger dated as of February 11, 2026 by and among VerifyMe, Inc., VRME Subsidiary Corp. and Open Word Ltd. (the Merger Agreement), as amended by the First Amendment to Agreement and Plan of Merger dated April 13, 2026 and the Second Amendment to Agreement and Plan of Merger dated June 4, 2026. A full description of the Merger Agreement is located in the Issuer's Form S-4 Registration Statement most recently filed with the SEC on July 31, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1104038/000089183926000327/0000891839-26-000327-index.html" }, { "accession_no": "0000038777-26-000219", "submission_type": "SCHEDULE 13D/A", "amendment_no": 16, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-08-06", "filed_date": "2026-08-07", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000219/0000038777-26-000219-index.html" }, { "accession_no": "0002073198-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 944075, "issuer_name": "SOCKET MOBILE, INC.", "issuer_cusip": "83368E200", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-08-06", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment No. 1 amends and supplements the Schedule 13D filed with the Securities and Exchange Commission on June 12, 2025 (the 'Original Schedule 13D'). Capitalized terms used but not defined herein have the meanings given in the Original Schedule 13D. Except as set forth herein, the disclosure in the Original Schedule 13D is unchanged.\n\nThe Reporting Person originally acquired the securities of the Issuer described in this Schedule 13D for investment purposes.\n\nOn April 3, 2026, the Chairman of the Board of Directors of the Issuer (the \"Board\"), writing on behalf of the Board with a copy to its members, invited the Reporting Person to attend each scheduled quarterly meeting of the Board as an observer. The Reporting Person attended the Board's April 29, 2026 meeting in that capacity. On July 24, 2026, the Chairman notified the Reporting Person in writing that the independent directors of the Board had decided to withdraw the invitation for the Reporting Person to attend future Board meetings as an observer. No reasons for the decision were stated.\n\nOn August 6, 2026, the Reporting Person delivered to the Issuer a written request pursuant to Section 1(b) of each of the 2024 Note and the 2025 Note requiring the Issuer to repay all outstanding Principal of the Notes, together with all accrued and unpaid Interest thereon. Under the terms of the Notes, repayment is due no later than ten (10) business days following the Issuer's receipt of such request. The Notes remain convertible at the option of the Reporting Person until repayment; accordingly, the shares issuable upon conversion of the Notes remain included in the Reporting Person's beneficial ownership reported in Item 5. Upon repayment of the Notes in full, the Reporting Person's beneficial ownership will decrease to 316,199 shares of Common Stock, or approximately 3.8% of the outstanding Common Stock, and the Reporting Person will cease to beneficially own more than five percent of the Common Stock.\n\nThe Reporting Person intends to engage in communications with the Board and management of the Issuer from time to time regarding, among other things, corporate governance, Board composition and processes, observer and information rights, the Issuer's business, strategy and financing activities (including participation rights in future note financings), and other matters concerning the Reporting Person's investment in the Issuer.\n\nDepending upon various factors, including the Issuer's financial position, results and strategic direction, actions taken by the Board, price levels of the Issuer's securities, other investment opportunities, and general market and economic conditions, the Reporting Person may in the future take such actions with respect to his investment in the Issuer as he deems appropriate, including acquiring additional securities of the Issuer, disposing of securities of the Issuer, converting the Notes in whole or in part, exercising rights available to him as a stockholder or noteholder, proposing changes with respect to matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, or changing his intention with respect to any or all of the foregoing. Except as set forth in this Item 4, the Reporting Person has no present plan or proposal that relates to or would result in any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/944075/000207319826000003/0002073198-26-000003-index.html" }, { "accession_no": "0001999371-26-017231", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 276720, "issuer_name": "Pure Cycle Corp", "issuer_cusip": "746228303", "securities_class_title": "Common Stock, par value 1/3 of $0.01 per share", "date_of_event": "2026-08-04", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn August 4, 2026, Maran Capital Management, LLC, Maran Partners Fund, LP, Maran Partners GP, LLC, Maran SPV1 LP, Maran SPV GP, LLC, Plaisance SPV I, LLC and Daniel J. Roller (collectively, \"Maran\") delivered a letter to the Issuer nominating Daniel J. Roller, Anya Civitella, R. Rimmy Malhotra, John D. McAnnar and Ian K. Patel (the \"Nominees\") for election to the Issuer's board of directors (the \"Board\") at the Issuer's 2027 annual meeting of shareholders (the \"Annual Meeting\").\n\nAs described in more detail in their biographies below, the Nominees have backgrounds and skillsets spanning capital allocation, mergers and acquisitions, corporate law and governance, building products and materials, operational improvement, energy, and finance.\n\nDaniel Roller\n\nDaniel J. Roller, age 45, is the Founder, President and Chief Investment Officer of Maran Capital Management, LLC, a Denver-based investment firm he founded in 2015. Maran Capital is focused on making concentrated, fundamentally driven, long-term oriented investments in publicly traded small capitalization companies. In addition to his 20+ years of investment research and management experience, Mr. Roller has advised numerous public and private companies on topics such as M&A, capital allocation, corporate governance, and strategy. Mr. Roller holds a B.S.E. in Electrical Engineering and Computer Science from Duke University.\n\nMr. Roller has served as a director of Horizon Kinetics Holding Corporation (OTC: HKHC) (formerly Scott's Liquid Gold Inc.) since January 2021 and served as a director of Pure Cycle Corporation (Nasdaq: PCYO) from January 2026 to May 2026.\n\nAnya Civitella\n\nAnya Civitella, age 50, is an accomplished building materials and construction products executive with more than 25 years of experience creating shareholder value through strategic growth, mergers and acquisitions, operational improvement, and organizational transformation. From July 2023 to April 2025, Ms. Civitella served as Senior Vice President, Performance and Growth at Foley Products. From July 2021 to March 2023, she served as Senior Vice President, Business Development and Growth at Specialty Granules (a Standard Industries company). Prior to that, she served as Senior Vice President, Performance Improvement at Summit Materials, where she was a founding senior leadership team member and helped scale the company from a private equity-backed start up into a publicly traded building materials company with approximately $2 billion in revenue. Earlier in her career, Ms. Civitella held executive, strategy and advisory roles with CRH, McKinsey & Company, Accenture, and the World Bank. She earned an MBA from Yale School of Management, completed the Executive Leadership Program at Harvard Business School, and graduated summa cum laude in Economics from Amherst College. Ms. Civitella's qualifications to serve as a director include deep building materials industry expertise, public company leadership experience, M&A and capital allocation capabilities, operational transformation experience, and a demonstrated track record of building scalable organizations and delivering sustainable value creation.\n\nRimmy Malhotra\n\nR. Rimmy Malhotra, age 51, has served as the Managing Member and Portfolio Manager for the Nicoya Fund LP, a private investment partnership, since 2013. He earned an MBA in Finance from The Wharton School and a Master's degree in International Relations from the School of Arts & Sciences, both at the University of Pennsylvania where he is a Lauder Fellow. Mr. Malhotra holds a Bachelor of Science in Computer Science and Bachelor of Arts in Economics from Johns Hopkins University.\n\nMr. Malhotra currently serves as a director of HireQuest, Inc. (Nasdaq: HQI) (since April 2016), Optex Systems Holdings, Inc. (Nasdaq: OPXS) (since November 2019), FRMO Corporation (OTC: FRMO) (since November 2024), and Genasys Inc. (Nasdaq: GNSS) (since January 2025). Mr. Malhotra previously served as a director of Scott's Liquid Gold, Inc. (now Horizon Kinetics Holding Corp.) from January 2021 to August 2024 and Infusystem Holdings, Inc. from September 2022 to March 2024.\n\nJohn McAnnar\n\nJohn D. McAnnar, age 43, is the Chief Legal Officer, Vice President of Professional Services, and Secretary of HireQuest, Inc. He has fulfilled the General Counsel or Chief Legal Officer role for both HireQuest, Inc., and its predecessor, Hire Quest, L.L.C., since 2014. Previously, Mr. McAnnar served in the litigation departments of Carmody MacDonald, P.C., and Armstrong Teasdale, LLP. Beginning in July 2023 and until it was acquired in August 2024, he served on the Board of Directors and the Audit, Compensation, and Nominations and Governance Committees of Scott's Liquid Gold, Inc. (OTC:SLGD). He is the co-founder of ArchCity Defenders, a non-profit organization in St. Louis, Missouri. Mr. McAnnar holds a Bachelor of Arts degree from the University of Pittsburgh and a juris doctorate degree from St. Louis University School of Law.\n\nIan Patel\n\nIan Patel, age 52, has been a self-employed consultant since March 2026. Most recently, from August 2024 until February 2026, he served as Chief Financial Officer of QB Energy LLC, a private equity-backed upstream energy producer, where he led capital structure, capital allocation, risk management, and acquisitions. From January 2022 until May 2024, he served as Chief Financial Officer of CEA Industries Inc. (Nasdaq: CEAD), a publicly traded engineering and equipment company, where he oversaw SEC reporting, Sarbanes-Oxley compliance, and Nasdaq listing matters and advised the Board and Audit Committee. From May 2018 until October 2021, Mr. Patel served as Vice President of Finance at FourPoint Energy LLC and LongPoint Minerals, where he managed the firm's acquisitions and investor relations efforts, and he previously served as Chief Financial Officer of True Oil Company, LLC. Mr. Patel began his career as an attorney with Debevoise & Plimpton LLP and served as Special Counsel at the U.S. Securities and Exchange Commission, where he reviewed public-company registration statements, periodic reports, and proxies, issued comment letters, and advised on securities law and disclosure matters. He later served as a Director in the Global Energy group at Citigroup and an Associate in the Natural Resources group at Goldman Sachs & Co., advising energy companies on mergers and acquisitions and capital raises. Mr. Patel earned a Bachelor of Science in Business from the University of California, Riverside, a J.D. from Harvard Law School, and an MBA from The University of Pennsylvania.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/276720/000199937126017231/0001999371-26-017231-index.html" }, { "accession_no": "0001981744-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1866501, "issuer_name": "Wallbox N.V.", "issuer_cusip": "N94209124", "securities_class_title": "Class A Ordinary Shares, nominal value EUR 2.40 per share", "date_of_event": "2026-06-30", "filed_date": "2026-08-06", "item3_funds_source": "Item 3 of Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn June 30, 2026, Orilla Asset Management, S.L. acquired 501,361 Class A Ordinary Shares at a price of $2.7216 per share upon the conversion into Class A Ordinary Shares of the outstanding principal amount of, and accrued interest under, the Loan Agreement (as defined in Item 4 of this Amendment No. 1). The aggregate subscription price for such Class A Ordinary Shares was satisfied in full by set-off against the corresponding principal and accrued interest owed by the Issuer to Orilla Asset Management, S.L. under the Loan Agreement (as defined in Item 4 of this Amendment No. 1), and no additional cash consideration was paid by Orilla Asset Management, S.L. in connection with such acquisition.", "item4_transaction_purpose": "Item 4 of Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn April 8, 2026, Orilla Asset Management, S.L., the Issuer and certain other parties entered into a bridge loan facility agreement (the \"Loan Agreement\") in connection with the Issuer's restructuring. On June 30, 2026, pursuant to a subscription agreement entered into between Orilla Asset Management, S.L. and the Issuer (the \"2026 Subscription Agreement\") and a related deed of issuance, the Issuer issued 501,361 Class A Ordinary Shares to Orilla Asset Management, S.L. at a price of $2.7216 per share. The subscription price was satisfied by set-off against the outstanding principal amount of, and accrued interest under, the Loan Agreement, thereby converting such principal and accrued interest into Class A Ordinary Shares and discharging the corresponding indebtedness.\n\nThe foregoing description of the 2026 Subscription Agreement does not purport to be complete and is qualified in its entirety by reference to the form of subscription agreement filed as Exhibit 2.1 to the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on July 2, 2026, which is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1866501/000198174426000003/0001981744-26-000003-index.html" }, { "accession_no": "0001640334-26-001288", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 894556, "issuer_name": "CitroTech Inc.", "issuer_cusip": "369759204", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2025-08-22", "filed_date": "2026-08-06", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following:\r The information in Item 4 of this Amendment No. 1 is hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "The information in Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\r \r On August 22, 2025, the Reporting Person converted 550,000 shares of Series C Convertible Preferred Stock to 1,833,334 shares of Common Stock.\r \r On September 30, 2025, the Reporting Person entered into a securities purchase agreement (the \"Securities Purchase Agreement\") with the Issuer, pursuant to which the Reporting Person purchased 667 shares of Series C Convertible Preferred Stock for an aggregate purchase price of $10,005 ($15.00 per Series C Convertible Preferred Share). On April 16, 2026, the Reporting Person converted the 667 Series C Convertible Preferred Shares into 2,224 shares of Common Stock.\r \r In connection with the execution of the Securities Purchase Agreement, the Reporting Person also executed a common stock purchase warrant agreement (the \"Warrant Agreement\"), pursuant to which the Issuer issued a warrant to the Reporting Person. The Warrant Agreement entitles the Reporting Person to purchase from the Issuer up to 50% of the number of Common Shares issuable upon full conversion of all the Series C Convertible Preferred Stock purchased by the Reporting Person, subject to the terms and conditions of the Warrant Agreement.\r \r On July 24, 2026, the Reporting Person gifted 150,000 shares of Common Stock for no consideration.\r \r On August 4, 2026, the Reporting Person sold 275,001 shares of Common Stock for consideration of $3.00 per common share.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/894556/000164033426001288/0001640334-26-001288-index.html" }, { "accession_no": "0001493152-26-036428", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 840715, "issuer_name": "CLEARONE INC", "issuer_cusip": "18506U203", "securities_class_title": "Common Stock, Par Value $0.001 Per Share", "date_of_event": "2026-08-04", "filed_date": "2026-08-06", "item3_funds_source": "On March 2, 2026, First Finance Ltd. entered into a Securities Purchase Agreement with ClearOne, Inc. (the \"Issuer\") pursuant to which First Finance Ltd. agreed to acquire, for a total purchase price of $1,750,000, (i) 437,500 shares of the Issuer's common stock and (ii) a warrant to purchase up to 437,500 shares of common stock (the \"Warrant\"). The transaction closed on or around March 6, 2026.\n\nOn August 4, 2026, pursuant to the Agreement and Plan of Merger (the \"Merger Agreement\") by and among the Issuer, CLRO Merger Sub, Inc., a wholly-owned subsidiary of the Issuer (\"Merger Sub\"), Cortigent, Inc. (\"Cortigent\"), and Vivani Medical, Inc. (\"Vivani\"), pursuant to which Merger Sub will merge with and into Cortigent, with Cortigent surviving as a wholly-owned subsidiary of the Issuer, First Finance Ltd. entered into a Warrant Cancellation Agreement with the Issuer pursuant to which First Finance Ltd. surrendered and cancelled the Warrant in its entirety for no consideration. As a result of the Warrant Cancellation Agreement, First Finance Ltd. no longer holds any derivative securities of the Issuer.", "item4_transaction_purpose": "This Amendment No. 3 is being filed to report the cancellation of the Warrant in its entirety for no consideration. On July 1, 2026, the Issuer entered into the Merger Agreement, pursuant to which Merger Sub will merge with and into Cortigent, with Cortigent surviving as a wholly-owned subsidiary of the Issuer. As consideration for all of the issued and outstanding shares of common stock of Cortigent, Vivani will receive 12,500,000 shares of the Issuer's common stock. The Merger Agreement was disclosed by the Issuer in a Current Report on Form 8-K filed with the SEC on July 6, 2026. As the majority beneficial owner of the Issuer's common stock, the Reporting Persons are supportive of the Merger Agreement. Except as described herein, the Reporting Persons have no plans or proposals which relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to change their plans and intentions at any time, as they deem appropriate.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/840715/000149315226036428/0001493152-26-036428-index.html" }, { "accession_no": "0001493152-26-036387", "submission_type": "SCHEDULE 13D/A", "amendment_no": 17, "issuer_cik": 1828937, "issuer_name": "Finance of America Companies Inc.", "issuer_cusip": "31738L206", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-08-05", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828937/000149315226036387/0001493152-26-036387-index.html" }, { "accession_no": "0001213900-26-086254", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2029138, "issuer_name": "SAGTEC GLOBAL LIMITED", "issuer_cusip": "G32212105", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-08-05", "filed_date": "2026-08-06", "item3_funds_source": "PF and OO. Ng Chen Lok acquired 300,000 Class A Ordinary Shares beneficially owned by him from an existing public shareholder through a privately negotiated transaction completed on July 31, 2026.", "item4_transaction_purpose": "The Reporting Person acquired 300,000 Class A Ordinary Shares beneficially owned by him from an existing public shareholder through a privately negotiated transaction completed on July 31, 2026.\n\nThe Reporting Person serves as Chief Executive Officer, Chairman of the Board and Director of the Issuer and, as a result, may be asked to vote on or discuss matters related to items (a) through (j) of this Item 4 of Schedule 13D with representatives of the Issuer and others. Except as may be set forth herein, the Reporting Person has no current intention, plan or proposal with respect to items (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2029138/000121390026086254/0001213900-26-086254-index.html" }, { "accession_no": "0001193125-26-338826", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1848763, "issuer_name": "ReNew Energy Global plc", "issuer_cusip": "G7500M104", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-08-06", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment amends and supplements Item 4 of the Original Schedule 13D by adding the following:\n\nConfirmatory Letter\n\nOn August 6, 2026, the Consortium jointly submitted a confirmatory letter (the \"Confirmatory Letter\") to the Board to reaffirm the Cash Consideration of $7.02 per share set out in the Revised Proposal submitted by the Consortium on July 27, 2026, as its best and final non-binding offer and to confirm that the Consortium's due diligence exercise has been completed. The Confirmatory Letter further reaffirms that the Consortium is interested only in acquiring the Shares (on a fully diluted basis), and the Consortium does not intend to sell their Shares to any third party in any alternative takeover transaction. All other terms of the Revised Proposal and proposal made by the Consortium on May 28, 2026, including the Rollover, remain unchanged.\n\nThe Confirmatory Letter is non-binding, and no agreement, arrangement or understanding between the Consortium, on the one hand, and the Issuer, on the other hand, relating to the Confirmatory Letter, the Proposed Transaction or any other transaction will be created until such time as definitive agreements for the Proposed Transaction have been executed and delivered.\n\nThe Reporting Person does not intend to update this Schedule 13D to reflect developments relating to the Proposed Transaction except to the extent required by law.\n\nReferences to, and descriptions of, the Confirmatory Letter in this Schedule 13D are qualified in their entirety by the terms of the Confirmatory Letter, a copy of which is attached hereto as Exhibit 99.18 and is incorporated in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1848763/000119312526338826/0001193125-26-338826-index.html" }, { "accession_no": "0001193125-26-338651", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1326110, "issuer_name": "ImmunityBio, Inc.", "issuer_cusip": "45256X103", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1326110/000119312526338651/0001193125-26-338651-index.html" }, { "accession_no": "0001193125-26-338366", "submission_type": "SCHEDULE 13D/A", "amendment_no": 106, "issuer_cik": 1099219, "issuer_name": "MetLife, Inc.", "issuer_cusip": "59156R108", "securities_class_title": "Common Stock, par value $.01 per share", "date_of_event": "2026-08-06", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": "The Board of Directors (the \"Board\") is reporting beneficial ownership of 102,098,469 shares of Common Stock (the \"Shares\") held by the MetLife Policyholder Trust (the \"Trust\") under the Plan of Reorganization, dated September 28, 1999, as amended (the \"Plan\"), of Metropolitan Life Insurance Company (\"MetLife\").\n\nOn April 7, 2000, 494,466,664 Shares were issued to the Trust pursuant to Section 5.2(d) of the Plan, a copy of which is attached as an exhibit to this statement. No consideration has been separately provided therefor by any member of the Board, except for Shares allocated to such member pursuant to the Plan. Since April 7, 2000, transactions by Beneficiaries (i) under the Purchase and Sale Program provided for by the Trust Agreement (as defined below), (ii) pursuant to the Issuer's split-off of Reinsurance Group of America, Incorporated, in September 2008, and (iii) to withdraw Shares from the Trust, as well as escheatment of unclaimed Shares, have resulted in a decrease in the number of Shares held by the Trust from 494,466,664 to 102,098,469 (as adjusted to reflect refinements in the calculation of the number of Shares issued to the Trust under the Plan).\n\nUnder the Plan and the MetLife Policyholder Trust Agreement, dated as of November 3, 1999 (as amended, the \"Trust Agreement\"), by and among MetLife, the Issuer, Wilmington Trust Company (the \"Trustee\") and ChaseMellon Shareholder Services, L.L.C., as custodian (now known as Computershare Inc., the \"Custodian\"), a copy of which is attached as an exhibit to this statement, certain eligible policyholders of MetLife (\"Trust\nEligible Policyholders\") have been allocated a number of interests in the Trust (\"Trust Interests\") equal to the number of shares of Common Stock allocated to the Trust Eligible Policyholders in accordance with the Plan. The assets of the Trust principally are the Shares issued to the Trust for the benefit of the Trust Eligible Policyholders and permitted transferees (collectively, the \"Beneficiaries\"). The Shares are held in the name of the Trustee,\non behalf of the Trust, which has legal title over the Shares. The Beneficiaries do not have legal title to any part of the assets of the Trust. The Trust Interests represent undivided fractional interests in the Shares and other assets of the Trust beneficially owned by a Trust Beneficiary through the Custodian.\n\nThe Trust Agreement provides the Trustee with directions as to the manner in which to vote, assent or consent the Shares at all times during the term of the Trust. On all matters brought for a vote before the stockholders of the Issuer, with the exception of a Beneficiary Consent Matter (as defined below), the Trustee will vote in accordance with the recommendation given by the Board of the Issuer to its stockholders or, if no such recommendation\nis given, as directed by the Board. On all Beneficiary Consent Matters, the Trustee will vote all of the Shares in favor of, in opposition to or abstain from the matter in the same ratio as the Trust Interests of the Beneficiaries that returned voting instructions to the Trustee indicating preferences for voting in favor of, in opposition to or abstaining from such matter. The Trust Agreement also contains provisions allowing Beneficiaries to instruct the Custodian to withdraw their allocated Trust Shares to participate in any tender or exchange offer for the Common Stock and to make any cash or share election, or perfect any dissenter's rights, in connection with a merger of the Issuer.\n\n\nA \"Beneficiary Consent Matter\" is:\n(i) a contested election of directors or, subject to certain conditions, the removal of a director,\n\n(ii) a merger or consolidation, a sale, lease or exchange of all or substantially all of the assets or a recapitalization or dissolution of the Issuer, if it requires a vote of stockholders under applicable Delaware law,\n\n(iii) any transaction that would result in an exchange or conversion of the Shares for cash, securities or other property,\n\n(iv) issuances of Common Stock prior to the first anniversary of the effective date of the Plan (the \"Effective Date\") at a price materially below the prevailing market price, if a vote is required to approve the issuance under Delaware law, other than issuances in an underwritten public offering or pursuant to an employee benefit plan,\n\n(v) before the first anniversary of the Effective Date, any matter that requires approval by a vote of more than a majority of the outstanding stock of the Issuer entitled to vote thereon under Delaware law or the certificate of incorporation or the by-laws of the Issuer, and any amendment to the certificate of incorporation or by-laws of the Issuer that is submitted to a vote of stockholders for approval, and\n\n(vi) proposals submitted to stockholders requiring the Board to amend the Issuer's stockholder rights plan, or redeem rights under that plan, other than a proposal with respect to which the Issuer has received advice of nationally-recognized legal counsel to the effect that the proposal is not a proper subject for stockholder action under Delaware law. The Issuer does not currently have a stockholder rights plan.\n\n\nThe Trust Agreement contains provisions enabling the Beneficiaries to withdraw the Shares allocated to them under the Plan and the Trust Agreement for resale or otherwise and to receive dividends on such Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1099219/000119312526338366/0001193125-26-338366-index.html" }, { "accession_no": "0001193125-26-338311", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1848763, "issuer_name": "ReNew Energy Global plc", "issuer_cusip": "G7500M104", "securities_class_title": "Class A ordinary shares, nominal value of $0.0001", "date_of_event": "2026-08-06", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment amends and supplements Item 4 of the Original Schedule 13D by adding the following:\n\nConfirmatory Letter\n\nOn August 6, 2026, the Consortium jointly submitted a confirmatory letter (the \"Confirmatory Letter\") to the Board to reaffirm the Cash Consideration of $7.02 per share set out in the Revised Proposal submitted by the Consortium on July 27, 2026, as its best and final non-binding offer and to confirm that the Consortium's due diligence exercise has been completed. The Confirmatory Letter further reaffirms that the Consortium is interested only in acquiring the Shares (on a fully diluted basis), and the Consortium does not intend to sell their Shares to any third party in any alternative takeover transaction. All other terms of the Revised Proposal and proposal made by the Consortium on May 28, 2026, including the Rollover, remain unchanged.\n\nThe Confirmatory Letter is non-binding, and no agreement, arrangement or understanding between the Consortium, on the one hand, and the Issuer, on the other hand, relating to the Confirmatory Letter, the Proposed Transaction or any other transaction will be created until such time as definitive agreements for the Proposed Transaction have been executed and delivered.\nThe Reporting Person does not intend to update this Schedule 13D to reflect developments relating to the Proposed Transaction except to the extent required by law.\n\nReferences to, and descriptions of, the Confirmatory Letter in this Schedule 13D are qualified in their entirety by the terms of the Confirmatory Letter, a copy of which is attached hereto as Exhibit 99.26 and is incorporated in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1848763/000119312526338311/0001193125-26-338311-index.html" }, { "accession_no": "0001193125-26-337970", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1582961, "issuer_name": "DigitalOcean Holdings, Inc.", "issuer_cusip": "25402D102", "securities_class_title": "Common Stock, $0.000025 par value", "date_of_event": "2026-08-04", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1582961/000119312526337970/0001193125-26-337970-index.html" }, { "accession_no": "0001011438-26-000469", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1805077, "issuer_name": "Eos Energy Enterprises, Inc.", "issuer_cusip": "29415C101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-08-04", "filed_date": "2026-08-06", "item3_funds_source": "Item 3 is hereby amended and supplemented by the addition of the following:\r\n\r\nThe information in Item 4 is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the addition of the following:\r\n\r\nPursuant to the previously disclosed A&R Term Sheet, on August 4, 2026, the Issuer, CCM Frontier, and HBC MSF Capital Solutions Blocker II LLC, an affiliate of Hudson Bay Capital Management LP (\"HBC\"), consummated the closing of the funding (the \"Funding\") of Frontier Power USA Parent, LLC (the \"JV Company\"), a Delaware limited liability company and a joint venture among the Issuer, CCM Frontier and HBC. \r\n\r\nPursuant to a Contribution and Warrants Purchase Agreement (the \"Contribution and Warrants Purchase Agreement\"), dated as of August 4, 2026, by and between CCM Frontier and the JV Company, CCM Frontier (i) caused the JV Company to receive the benefit of certain contracts, contacts, investment opportunities, subject matter expertise and other going concern value with respect to the Frontier power platform developed by affiliates of CCM Frontier and (ii) contributed cash and certain assets to the JV Company as detailed in the Contribution and Warrants Purchase Agreement. In exchange therefor and for certain funds previously contributed by CCM Frontier to the JV Company, the JV Company (A) issued to CCM Frontier 50,000,001 Class A-1 Units of the JV Company and 100,000,000 Class A-2 Units of the JV Company and (B) sold and transferred to CCM Frontier warrants to purchase 20,017,772 shares of Common Stock of the Issuer (the \"JV Warrants\") that were previously contributed to the JV Company by the Issuer.\r\n\r\nThe foregoing description of the Contribution and Warrants Purchase Agreement is qualified in its entirety by reference to the full text of the Contribution and Warrants Purchase Agreement, which is filed as Exhibit 99.3 and is incorporated herein by reference.\r\n\r\nThe JV Warrants are governed by that certain Warrant Agreement, dated as of August 4, 2026, by and between the Issuer and Continental Stock Transfer & Trust Company, as warrant agent (the \"Warrant Agreement\"). The JV Warrants are exercisable at an exercise price of $5.481 per share of Common Stock and expire on the tenth anniversary of the date of issuance. The JV Warrants may be exercised for cash or on a cashless basis. The Issuer may lower the exercise price and extend the duration of the JV Warrants under certain conditions described in the Warrant Agreement. The Issuer has certain rights to redeem the JV Warrants beginning five years after the date of issuance of the JV Warrants under certain conditions described in the Warrant Agreement. The JV Warrants are subject to customary anti-dilution adjustments as described in the Warrant Agreement.\r\n\r\nThe foregoing description of the Warrant Agreement is qualified in its entirety by reference to the full text of the Warrant Agreement, the form of which is incorporated by reference as Exhibit 99.4 and is incorporated herein by reference.\r\n \r\nIn connection with the closing of the Funding, on August 4, 2026, the JV Company, the Issuer, CCM Frontier and HBC entered into an Amended and Restated Limited Liability Company Agreement of the JV Company, which provides for the governance, management and operations of the JV Company. In addition, on August 4, 2026, (i) the Issuer, the JV Company and HBC entered into an Exchange Agreement, which, among other things, provides HBC with the right, from time to time, to exchange Class C Units in the JV Company that it holds for shares of Common Stock of the Issuer and (ii) the JV Company, CCM Frontier and the Issuer entered into a letter agreement, which, among other things, provides that if HBC exercises its exchange right, 10% of the Class C Units in the JV Company that the Issuer receives in the exchange are cancelled and reissued to CCM Frontier and CCM Frontier will have the right to purchase up to the remaining 90% of such Class C Units from the Issuer at a price of $1.00 per Class C Unit.\r\n\r\nFurther, on August 4, 2026, the Issuer and CCM Frontier entered into a Registration Rights Agreement (the \"Registration Rights Agreement\") pursuant to which the Issuer agreed to customary resale registration rights for the shares of Common Stock issuable upon the exercise of the JV Warrants. Pursuant to the Registration Rights Agreement, the Issuer agreed to prepare and, as soon as practicable, but in no event later than the 30th calendar day after August 4, 2026, file with the SEC a registration statement on Form S-3 covering the resale of the shares of Common Stock issuable upon exercise of the JV Warrants. In addition, the Issuer agreed to use its best efforts to have such resale registration statement declared effective by the SEC as soon as practicable, but in no event later than the earlier of the (i) 60th calendar day after August 4, 2026, and (ii) the second business day after the date the Issuer is notified (orally or in writing, whichever is earlier) by the SEC that such registration statement will not be reviewed or will not be subject to further review.\r\n\r\nThe foregoing description of the Registration Rights Agreement is qualified in its entirety by reference to the full text of the Registration Rights Agreement, which is filed as Exhibit 99.5 and is incorporated herein by reference.\r\n\r\nIn addition, CCM Denali Equity has agreed to extend the lock-up restriction of Section 4.1(d) of the previously disclosed Securities Purchase Agreement to December 21, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1805077/000101143826000469/0001011438-26-000469-index.html" }, { "accession_no": "0000950142-26-002274", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2039497, "issuer_name": "Resolute Holdings Management, Inc.", "issuer_cusip": "76134H101", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-08-06", "filed_date": "2026-08-06", "item3_funds_source": "Item 3 is hereby amended and supplemented as specified in Annex A.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2039497/000095014226002274/0000950142-26-002274-index.html" }, { "accession_no": "0000921895-26-001981", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1985337, "issuer_name": "YY Group Holding Ltd.", "issuer_cusip": "G9888Q129", "securities_class_title": "Class A Ordinary Shares, each with no par value", "date_of_event": "2026-08-04", "filed_date": "2026-08-06", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 151,658 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $355,010, including brokerage commissions.\n\nThe aggregate purchase price of the 0.666667 of a Share beneficially owned by Mr. Ault that was purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $4,544, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985337/000092189526001981/0000921895-26-001981-index.html" }, { "accession_no": "0000921895-26-001979", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2114521, "issuer_name": "CSB Financial Inc.", "issuer_cusip": "12590S109", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-30", "filed_date": "2026-08-06", "item3_funds_source": "Stilwell Activist Fund has expended $239,400.00 to acquire 19,000 shares of Common Stock. Such funds were provided from Stilwell Activist Fund's working capital and may, from time to time, be provided in part by margin account loans from subsidiaries of Morgan Stanley extended in the ordinary course of business.\n\nStilwell Activist Investments has expended $1,261,624.61 to acquire 100,000 shares of Common Stock. Such funds were provided from Stilwell Activist Investments' working capital and may, from time to time, be provided in part by margin account loans from subsidiaries of Morgan Stanley extended in the ordinary course of business.\n\nStilwell Partners has expended a total of $252,656.00 to acquire 20,000 shares of Common Stock. Such funds were provided from Stilwell Partners' working capital and may, from time to time, be provided in part by margin account loans from subsidiaries of Morgan Stanley extended in the ordinary course of business.\n\nAll purchases of shares of Common Stock made by the Group using funds borrowed from subsidiaries of Morgan Stanley, if any, were made in margin transactions on their usual terms and conditions, except as disclosed below in Item 5. All or part of the shares of Common Stock owned by members of the Group may from time to time be pledged with one or more banking institutions or brokerage firms as collateral for loans made by such entities to members of the Group. Such loans generally bear interest at a rate based on the broker's call rate from time to time in effect. Such indebtedness, if any, may be refinanced with other banks or broker-dealers.", "item4_transaction_purpose": "We hope to work with management and the board to maximize shareholder value over the medium to long term.\n\nOur purpose in acquiring shares of Common Stock of the Issuer is to profit from the appreciation in the market price of the shares of Common Stock through asserting shareholder rights. We do not believe the value of the Issuer's assets is adequately reflected in the current market price of the Issuer's Common Stock.\n\nMembers of the Group may seek to make additional purchases or sales of shares of Common Stock. Except as described in this filing, no member of the Group has any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of Item 4 of Schedule 13D. Members of the Group may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto.\n\nSince 2000, members or affiliates of the Group have taken an 'activist position' in 80 other publicly-traded companies. In each instance, our purpose has been to profit from the appreciation in the market price of the shares we held by asserting shareholder rights. In addition, we believed that the values of the companies' assets were not adequately reflected in the market prices of their shares.\n\nOur actions with respect to such publicly-traded companies are described in Schedule A, attached hereto and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2114521/000092189526001979/0000921895-26-001979-index.html" }, { "accession_no": "0000919574-26-004826", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1766478, "issuer_name": "Angel Oak Mortgage REIT, Inc.", "issuer_cusip": "03464Y108", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-08-04", "filed_date": "2026-08-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1766478/000091957426004826/0000919574-26-004826-index.html" }, { "accession_no": "0001753037-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1736730, "issuer_name": "CAMP4 THERAPEUTICS CORPORATION", "issuer_cusip": "13463J101", "securities_class_title": "Common Stock", "date_of_event": "2026-08-03", "filed_date": "2026-08-05", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nAt the Second Closing, which occurred on August 3, 2026, the Issuer issued and sold 10,756,498 Shares at $1.53 per share and 21,925,368 Pre-Funded Warrants at $1.5299 per Pre-Funded Warrant. In addition, the Issuer issued and sold to certain members of management and the Issuer's co-founders, an additional 39,306 Shares at a purchase price of $1.65 per share. In the Second Closing, Ventures VII purchased 3,179,558 Pre-Funded Warrants for a total purchase price of $4.9 million, which was funded by capital contributions from the general and limited partners of Ventures VII.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1736730/000175303726000003/0001753037-26-000003-index.html" }, { "accession_no": "0001213900-26-085791", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2104391, "issuer_name": "Catalyst Acquisition Corp.", "issuer_cusip": "G1955J104", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-07-29", "filed_date": "2026-08-05", "item3_funds_source": "The aggregate purchase price for the Ordinary Shares currently beneficially owned by the Reporting Person was $2,725,000. The source of these funds was the working capital of the Sponsor.", "item4_transaction_purpose": "In connection with the organization of the Issuer, on January 7, 2026, the Sponsor paid $25,000 to cover certain of the Issuer's offering costs in exchange for 8,625,000 Class B Ordinary Shares (the \"Founder Shares\"), pursuant to the Securities Subscription Agreement dated as of January 7, 2026 between the Sponsor and the Issuer (the \"Founder Share Purchase Agreement\") as more fully described in Item 6 of this Section 13D, which information is incorporated by reference. On June 26, 2026, the Sponsor surrendered, for no consideration, 2,875,000 Founder Shares, which were canceled, resulting in the Sponsor holding 5,750,000 Founder Shares, at approximately $0.004 per share. Of the 5,750,000 Class B Ordinary Shares held, up to 462,500 shares remain subject to forfeiture in the event that the underwriter in the Issuer's initial public offering does not fully exercise its over-allotment option. On July 27, 2026, simultaneously with the consummation of the Issuer's Initial Public Offering (the \"IPO\"), the Sponsor purchased 270,000 units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Units Purchase Agreement, dated as of July 27, 2026, by and between the Issuer and the Sponsor (the \"Placement Units Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference. Each Placement Unit consists of one Class A Ordinary Share and one right to receive one seventh (1/7) of a Class A Ordinary Share upon the consummation of an initial business combination (as described more fully in the Issuer's Final Prospectus dated July 27, 2026). The Ordinary Shares owned by the Reporting Person have been acquired for investment purposes. The Reporting Person may make further acquisitions of the Ordinary Shares from time to time and, subject to certain restrictions, may dispose of any or all of the Ordinary Shares held by the Reporting Person at any time depending on an ongoing evaluation of the investment in such securities, prevailing market conditions, other investment opportunities and other factors. However, certain of such shares are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Person has no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Reporting Person as further described in Item 6 below, the Reporting Person has agreed (A) to vote its shares in favor of any proposed business combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Person may, at any time and from time to time, review or reconsider their position, change its purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2104391/000121390026085791/0001213900-26-085791-index.html" }, { "accession_no": "0001213900-26-085704", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1013488, "issuer_name": "BJs RESTAURANTS INC", "issuer_cusip": "09180C106", "securities_class_title": "Common Stock", "date_of_event": "2026-08-03", "filed_date": "2026-08-05", "item3_funds_source": null, "item4_transaction_purpose": "On August 3, 2026, the Reporting Persons completed a block trade (the \"Transaction\") with an investment bank, as principal (the \"Purchaser\"), pursuant to which the Reporting Persons sold to the Purchaser:\n\n- 710,724 shares of Common Stock; and - warrants to purchase 876,949 shares of Common Stock, which resulted in the issuance of 539,276 shares of Common Stock to the Purchaser upon the Purchaser's immediate cashless exercise of the warrants.\n\nThe Reporting Persons completed the Transaction solely for the purposes of portfolio diversification and liquidity management and was not related to any change in the Reporting Persons' assessment of the Issuer's business, management, financial condition or prospects.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1013488/000121390026085704/0001213900-26-085704-index.html" }, { "accession_no": "0001193805-26-001025", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 896156, "issuer_name": "ETHAN ALLEN INTERIORS INC", "issuer_cusip": "297602104", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-08-04", "filed_date": "2026-08-05", "item3_funds_source": "The Shares purchased by each of DGB Investment, the Residence Trust and the Nieces and Nephews Trust were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases.\n\nThe aggregate purchase price of the 775,000 Shares owned directly by DGB Investment is approximately $17,233,047, including brokerage commissions. The aggregate purchase price of the Call Options (as defined in Item 6 below) that are exercisable into 275,000 Shares owned directly by DGB Investment is approximately $1,079,555, including brokerage commissions.\n\nThe aggregate purchase price of the 90,000 Shares beneficially owned by Residence Trust is approximately $2,083,749, including brokerage commissions.\n\nThe aggregate purchase price of the 135,000 Shares beneficially owned by the Nieces and Nephews Trust is approximately $3,094,824, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nOn August 5, 2026, DGB Investment (together with its affiliates, \"DGB\"), delivered a letter to the Issuer nominating a slate of highly qualified director candidates, including Douglas G. Bergeron, Anna Brockway, Kristine E. Miller, Steve Oblak, Lindsay C. O'Reilly and Stefanie Tsen Ward (collectively, the \"Nominees\"), for election to the Board at the Issuer's 2026 annual meeting of stockholders (the \"2026 Annual Meeting\"). As evidenced by their biographies below, the Nominees are seasoned executives, who, collectively, have extensive experience in retail branding, technology, C-suite executive leadership, public company governance and operations, and are well qualified to serve on the Board.\n\nAlso on August 5, 2026, DGB issued a press release (the \"Press Release\") announcing that it had nominated the Nominees for election to the Board at the 2026 Annual Meeting. In the Press Release, DGB expressed its concern that despite the Issuer's exceptional brand assets, North American manufacturing capabilities, and a national retail footprint, the Issuer is underperforming with revenue consistently declining and urgent change is needed to address the Issuer's increasingly outdated strategy. In the Press Release, DGB also highlighted its plan to revitalize the Issuer's historic and undervalued American brand by embracing e-commerce and focusing on improving the customer experience to turn around decades of stagnant growth and a significant valuation discount. A copy of the Press Release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.\n\nThe Nominees are:\n\nAnna Brockway\n\nMs. Brockway founded and scaled America's leading online platform for high-end vintage home furnishings, and brings expertise in transforming heritage brands, including the revitalization of Levi Strauss & Co. (NYSE: LEVI).\n\n* Co-Founder and former President of Chairish, a luxury vintage home furnishings online marketplace that she helped build from a start-up to a successful exit in 2025.\n\n* Ms. Brockway led Chairish's brand and growth strategy, developing scalable customer acquisition and retention programs, implementing sophisticated attribution models to ensure disciplined marketing investment, pioneering retail pop-ups and tastemaker collaborations and guiding the company through strategic acquisitions in the U.S. and Europe.\n\n* Previously served as Vice President of Worldwide Marketing at Levi Strauss & Co. (NYSE: LEVI), helping to reconnect a new generation of consumers with the brand's authentic American heritage, craftsmanship and uncompromising quality by focusing on product innovation, retail presentation, partnerships and e-commerce.\n\nDoug Bergeron\n\nMr. Bergeron is a former public company CEO and Chairman who brings shareholder alignment, firsthand operating experience, insights into retail industry technology, M&A and capital allocation expertise, and a track record of value creation.\n\n* Led the acquisition of VeriFone Systems Inc. (formerly NYSE: PAY), a retail technology company, from Hewlett-Packard for $50 million in 2001, became CEO and partnered with GTCR to aggressively grow VeriFone into a multinational company by 2013 with an enterprise value of several billion dollars.\n\n* Former Chairman of Cantaloupe, Inc. (formerly NASDAQ: CTLP), where as Co-Managing Partner of Hudson Executive Capital LP, he led a proxy contest in 2020 when it was then known as USA Technologies, Inc., culminating in a full board turnover. He then presided over a period of significant growth, which culminated in an $848 million sale to 365 Retail Markets in 2026 - a more than 89% total shareholder return since the start of the proxy contest.(1)\n\n* Extensive, proven experience recruiting C-level executives, leading operational mentoring and revitalizing businesses.\n\nKristine Miller\n\nMs. Miller is a global strategy and transformation leader who has served as a C-suite executive and director at public companies and brings extensive experience in retail, consumer and technology sectors, management consulting and corporate governance.\n\n* Most recently served as the Chief Strategy Officer of eBay Inc. (NASDAQ: EBAY) for over five years, where she led major changes to the company's brand positioning, digital marketing, core product experience and payments strategy, and spent 24 years at Bain & Company, including as Partner and Director and Head of the North America retail practice.\n\n* An experienced public company and private company director, serving on the boards of directors of Grove Collaborative (NYSE: GROV), where she serves as Chair of the Compensation Committee and a member of the Audit Committee, Cinch Home Services and Rover Group.\n\n* Previously served on the boards of directors of Chairish, America's leading online platform for high-end vintage home furnishings, Neiman Marcus Group and Cable One Inc. (NYSE: CABO).\n\nSteve Oblak\n\nMr. Oblak is a former Chief Commercial Officer at Wayfair, bringing P&L responsibility and deep operating expertise in retail, commercial strategy and execution, global marketing, sales, pricing, customer experience, digital commerce and technology-enabled transformation.\n\n* Spent 14 years at Wayfair Inc. (NYSE: W), including most recently as Chief Commercial Officer, where he led Wayfair's global portfolio of brands and businesses and drove continuous innovation and expansion.\n\n* As a member of Wayfair's executive leadership team, he helped lead the company's expansion into new categories, business lines and international markets and its evolution into an omnichannel retailer. During his tenure, Wayfair grew from a $250 million start-up to a $12 billion revenue publicly traded leader in the home category.\n\n* Began his career in marketing and brand strategy consulting and entrepreneurial ventures, with roles at River West Brands, FutureBrand WorldWide and The Corporate Executive Board Company (formerly NYSE: CEB). Mr. Oblak also serves as a Non-Executive Director at Dorvie, Inc., a concierge services and technology platform focused on aging services.\n\nLindsay O'Reilly\n\nMs. O'Reilly is a senior financial services executive with more than two decades of senior leadership experience spanning audit, risk, controls, finance, data and enterprise transformation at global financial institutions. Throughout her career, she has built high-performing organizations, strengthened governance and operating models, and led complex enterprise transformation during periods of strategic and regulatory change.\n\n* Currently an Executive Advisor to PricewaterhouseCoopers LLP, advising boards and executive leadership teams on governance, enterprise data strategy, internal audit modernization and large-scale transformation.\n\n* Former Group Chief Internal Auditor at Barclays PLC (NYSE: BCS) and member of the Group Executive Committee, where she reported to the board of directors and executive management on governance, enterprise risk and the effectiveness of the firm's control environment. Previously served as Barclays' first Group Chief Data Officer and Group Chief Operating Officer for Risk and Finance, where she led the firm's enterprise data strategy and transformation of its risk and finance operating models and infrastructure.\n\n* Previously spent nearly two decades at JPMorgan Chase & Co. (NYSE: JPM), where she led enterprise regulatory remediation, developed and strengthened the firm's global internal control environment, and built enterprise operational risk reporting capabilities.\n\nStefanie Tsen Ward\n\nMs. Ward is a former operating executive at global luxury retail brands, with expertise in retail operations, commercial strategy, enterprise transformation, store modernization, merchandising and digital innovation.\n\n* Most recently served as Chief Integrated Retail and Customer Officer at Neiman Marcus Group, where she was responsible for transforming the $4.5 billion luxury retailer into a more profitable, customer-led omnichannel enterprise.\n\n* At Neiman Marcus Group, she oversaw approximately 70% of total company revenue, including more than 40 store locations and 6,000 associates.\n\n* Previously served as Vice President and General Manager of Studios and Omnichannel Services at Sephora, overseeing in-store digital tools, beauty studios and customer care, and as General Manager of Canada at Louis Vuitton, where she led the brand's retail and market strategy in Canada.\n\nNo Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in additional communications with management and the Board of the Issuer, engaging in discussions with stockholders of the Issuer or third parties, including potential acquirers and service providers about the Issuer and the Reporting Persons' investment, making proposals to the Issuer concerning changes to the capital allocation strategy, capitalization, ownership structure, including a sale of the Issuer as a whole or in parts, Board structure (including Board composition) or operations of the Issuer, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, or changing their intention with respect to any and all matters referred to in Item 4.\n\n(1) Bloomberg. Total shareholder return from May 20, 2019, the date of Hudson Executive Capital's Schedule 13D filing at Cantaloupe, through May 7, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/896156/000119380526001025/0001193805-26-001025-index.html" }, { "accession_no": "0001193125-26-335699", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1742692, "issuer_name": "InMode Ltd.", "issuer_cusip": "M5425M103", "securities_class_title": "Ordinary Shares, par value NIS 0.01 per ordinary share", "date_of_event": "2026-07-08", "filed_date": "2026-08-05", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended by adding the following:\nOn July 8, 2026, M.N. Business Strategy delivered a letter to the issuer extending the expiration date for the proposal to September, 15, 2026 (see Exhibit 99.2).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1742692/000119312526335699/0001193125-26-335699-index.html" }, { "accession_no": "0001193125-26-335146", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1101433, "issuer_name": "QuoteMedia, Inc.", "issuer_cusip": "749114104", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-08-03", "filed_date": "2026-08-05", "item3_funds_source": "On August 3, 2026, Harland Group used cash in the aggregate amount of $165,007 from its working capital to purchase an additional 1,051,000 shares of Common Stock reported herein. No borrowed funds were used to purchase any of those shares.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1101433/000119312526335146/0001193125-26-335146-index.html" }, { "accession_no": "0001140361-26-031415", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 712515, "issuer_name": "ELECTRONIC ARTS INC.", "issuer_cusip": "285512109", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-08-05", "filed_date": "2026-08-05", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by the addition of the following:\r\n\r\nOn August 4, 2026 (the \"Closing Date\"), Parent and Merger Sub completed the previously announced acquisition of Electronic Arts Inc. (the \"Issuer\"). Pursuant to the Merger Agreement and upon the terms and subject to the conditions set forth therein, on the Closing Date, Merger Sub merged with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the effective time of the Merger, the \"Effective Time\"). At the Effective Time, subject to certain exceptions, each share of common stock of the Issuer (the \"Common Stock\") issued and outstanding immediately prior to the Effective Time was cancelled and converted automatically into the right to receive $210.00 in cash, without interest (the \"Merger Consideration\").\r\n\r\nIn addition, pursuant to the Support and Rollover Agreement, immediately prior to the Effective Time, the Reporting Person contributed to an indirect parent entity of Parent its Rollover Shares, consisting of 24,807,932 shares of Common Stock with an aggregate value (based on the Merger Consideration) of approximately $5.21 billion in exchange for equity interests in an indirect parent entity of Parent. Immediately after the foregoing contribution, such Rollover Shares were contributed down the ownership structure until held by Parent, and as a result of the Merger, each share of Common Stock held by Parent automatically converted into one share of common stock of the Surviving Corporation.\r\n\r\nThe Common Stock was suspended from trading on the Nasdaq Global Select Market (\"Nasdaq\") prior to the opening of trading on August 5, 2026. Nasdaq has filed with the SEC a Notification of Removal from Listing and/or Registration under Section 12(b) of the Act on Form 25 to delist and deregister the Common Stock from Nasdaq. As a result, the Common Stock will no longer be listed on Nasdaq effective ten days after such filing (the \"Delisting\").\r\n\r\nIn addition, on or around August 14, 2026, the Issuer intends to file with the SEC a certification on Form 15 under the Exchange Act requesting the deregistration of the Common Stock (the \"Deregistration\") under Section 12(g) of the Act and the suspension of the Issuer's reporting obligations under Sections 13(a) and 15(d) of the Act as promptly as practicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/712515/000114036126031415/0001140361-26-031415-index.html" }, { "accession_no": "0001104659-26-091192", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 2074176, "issuer_name": "Viper Energy, Inc.", "issuer_cusip": "64361Q101", "securities_class_title": "Class A Common Stock, par value $0.000001 per share", "date_of_event": "2026-08-03", "filed_date": "2026-08-05", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nThe information contained in Item 4 is incorporated by reference to this Item 3.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nPurchase Agreement\n\nOn August 3, 2026, the Issuer, as parent, and Viper Energy Partners LP, as buyer, entered into a definitive purchase agreement to acquire certain mineral and royalty interests from the Reporting Persons and related subsidiaries in exchange for 3,654,979 OpCo units and an equivalent number of shares of the Issuer's Class B Common Stock, subject to transaction costs and certain customary post-closing adjustments (the \"Purchase Agreement\"). The Purchase Agreement is expected to close in September.\n\nThe foregoing description of the Purchase Agreement does not purport to be complete and is qualified in its entirety by the full text of such agreement, which is attached as an exhibit to this Schedule 13D and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2074176/000110465926091192/0001104659-26-091192-index.html" }, { "accession_no": "0001062993-26-004045", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 912147, "issuer_name": "Royce Micro-Cap Trust, Inc.", "issuer_cusip": "780915104", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-08-04", "filed_date": "2026-08-05", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $40,072,542 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/912147/000106299326004045/0001062993-26-004045-index.html" }, { "accession_no": "0000947871-26-000747", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1566044, "issuer_name": "Yarrow Bioscience, Inc.", "issuer_cusip": "92941V407", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-07-27", "filed_date": "2026-08-05", "item3_funds_source": "On July 27, 2026, a wholly owned subsidiary of VYNE Therapeutics Inc. (\"VYNE\") merged with and into the Issuer with the Issuer continuing as a wholly owned subsidiary of VYNE and the surviving corporation of the merger (the \"Merger\") under the name \"Yarrow Bioscience Operating Company Corp.\" In connection with the Merger, OrbiMed Private Investments X, LP (\"OPI X\") received 233,019 Shares and pre-funded warrants (\"Warrants\") to purchase 4,084,827 Shares, and OrbiMed Genesis Master Fund, L.P. (\"Genesis\") received 33,287 Shares and Warrants to purchase 583,545 Shares. The Warrants contain an exercise limitation that prohibits the holder from exercising the Warrants to the extent that after giving effect to such issuance after exercise the holder would beneficially own in excess of 9.99% of the number of Shares outstanding immediately after giving effect to the issuance of the Shares issuable upon exercise of the Warrants (the \"Blocker\"). The exercise price of the Warrants is $0.0001 per Share.", "item4_transaction_purpose": "This Statement on Schedule 13D relates to the acquisition of Shares by the Reporting Persons. The Shares acquired by the Reporting Persons were acquired for the purpose of making an investment in the Issuer and not with the intention of acquiring control of the Issuer's business on behalf of the Reporting Persons' respective advisory clients.\n\nThe Reporting Persons from time to time intend to review their investment in the Issuer on the basis of various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's Shares in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time. If the Reporting Persons believe that further investment in the Issuer is attractive, whether because of the market price of Shares or otherwise, they may acquire Shares or other securities of the Issuer either in the open market or in privately negotiated transactions. Similarly, depending on market and other factors, the Reporting Persons may determine to dispose of some or all of the Shares currently owned by the Reporting Persons or otherwise acquired by the Reporting Persons either in the open market or in privately negotiated transactions.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons have not formulated any plans or proposals which relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) a sale or transfer of a material amount of the assets of the Issuer or any of its subsidiaries, (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the Issuer's capitalization or dividend policy of the Issuer, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's charter or bylaws or other instrument corresponding thereto or other action which may impede the acquisition of control of the Issuer by any person, (h) causing a class of the Issuer's securities to be deregistered or delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1566044/000094787126000747/0000947871-26-000747-index.html" }, { "accession_no": "0000929638-26-002882", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1385613, "issuer_name": "GREENLIGHT CAPITAL RE, LTD.", "issuer_cusip": "G4095J109", "securities_class_title": "Ordinary Shares, par value $0.10", "date_of_event": "2026-08-04", "filed_date": "2026-08-05", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D filed by the Reporting Persons with respect to the Ordinary Shares, as amended, is supplemented as follows:\r\n\r\nIn order to reduce the likelihood of any adverse tax consequences to holders of Ordinary Shares due to the repurchase of Ordinary Shares made by the Company in the open market, through privately negotiated transactions and/or a 10b5-1 stock trading plan, on August 4, 2026 the Company and the Trust entered into an Ordinary Share Repurchase Agreement (the \"Agreement\"), pursuant to which the Company agreed to repurchase from the Trust and the Trust agreed to sell to the Company, on October 30, 2026, a number of Ordinary Shares calculated pursuant to the Agreement at the weighted average price per share determined pursuant to the Agreement.\r\n\r\nThe foregoing description of the Agreement is qualified in its entirety by reference to the full text of such document, a copy of which is filed as Exhibit 99.2 hereto and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1385613/000092963826002882/0000929638-26-002882-index.html" }, { "accession_no": "0000807249-26-000060", "submission_type": "SCHEDULE 13D/A", "amendment_no": 19, "issuer_cik": 26058, "issuer_name": "CTS CORP", "issuer_cusip": "126501105", "securities_class_title": "Common Stock", "date_of_event": "2026-08-04", "filed_date": "2026-08-05", "item3_funds_source": null, "item4_transaction_purpose": "The Reporting Persons file the long form Schedule 13D pursuant to Section 13d-1 of the Securities Exchange Act of 1934 (the \"Act\") even though they may be technically eligible to file the short form Schedule G. Because the Reporting Persons may regularly communicate with the Issuer's management, filing the Schedule 13D ensures that these conversations are compliant with the reporting obligations under the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/26058/000080724926000060/0000807249-26-000060-index.html" }, { "accession_no": "0002048309-26-000007", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1871638, "issuer_name": "Blaize Holdings, Inc.", "issuer_cusip": "092915107", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-08-02", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1871638/000204830926000007/0002048309-26-000007-index.html" }, { "accession_no": "0001708269-26-000005", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1703647, "issuer_name": "Korro Bio, Inc.", "issuer_cusip": "500946108", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-24", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1703647/000170826926000005/0001708269-26-000005-index.html" }, { "accession_no": "0001582328-26-000009", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1550913, "issuer_name": "MacKenzie Realty Capital, Inc.", "issuer_cusip": "55453W501", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": "The total amount of funds required by BPLT to purchase its shares was $87,774.79.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1550913/000158232826000009/0001582328-26-000009-index.html" }, { "accession_no": "0001493152-26-036078", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1847874, "issuer_name": "Mobile Infrastructure Corp", "issuer_cusip": "60739N101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": "Item 3 of the Prior Schedule 13D is hereby amended and supplemented by the addition of the following: the information in Item 4 is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of the Prior Schedule 13D is hereby amended and supplemented as follows:\n\nOn July 31, 2026, Bombe Asset Management, LLC, a Delaware limited liability company (\"Bombe\"), delivered to the board of directors of the Issuer (the \"Board\") a preliminary, non-binding indication of interest (the \"Proposal Letter\") regarding a potential take-private transaction involving the Issuer (the \"Proposed Transaction\"). The Proposal Letter is filed as Exhibit 99.1 to this Statement and is incorporated by reference into this Item 4 in its entirety.\n\nMr. Chavez is the founder and managing partner of Bombe and has been its chief executive officer since 2017. Ms. Hogue has been a managing partner of Bombe since 2020.\n\nBombe has not predetermined the structure of the Proposed Transaction or an exact purchase price. Certain stockholders, directors, officers or members of management may be offered an opportunity to participate in rollover or similar arrangements.\n\nThe Proposal Letter remains open for acceptance until 5:00 p.m. Eastern Time on August 12, 2026, unless extended or withdrawn in writing by Bombe.\n\nIf consummated, the Proposed Transaction could result in one or more of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, including the acquisition of additional Common Stock by the Reporting Persons, Bombe or their affiliates; an extraordinary corporate transaction; changes to the Board or management; changes in capitalization or dividend policy; delisting of the Common Stock from The Nasdaq Stock Market; and termination of registration of the Common Stock under the Exchange Act. The Reporting Persons and Bombe may modify, withdraw or terminate the Proposal Letter, may propose different terms or structures and reserve the right to take any action permitted by law. Except as described in this Statement and the Proposal Letter, the Reporting Persons do not presently have any plans or proposals that relate to or would result in any of the matters listed in clauses (a) through (j) of Item 4, although they may formulate such plans or proposals in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1847874/000149315226036078/0001493152-26-036078-index.html" }, { "accession_no": "0001493152-26-036048", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1001601, "issuer_name": "MGT Capital Investments, Inc.", "issuer_cusip": "55302P202", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": "The source of the purchase price for the Common Stock reported on this Schedule 13D as beneficially owned by the Reporting Persons was working capital available for investment from Project Nickel. The information required by Item 3, not otherwise provided herein, is set forth in Item 4 and is incorporated herein by reference.", "item4_transaction_purpose": "As disclosed in the Issuer's Form 8-K filed on September 14, 2022, the Issuer and Project Nickel entered into a Securities Purchase Agreement (the \"SPA\") on September 12, 2022. Pursuant to the SPA, Project Nickel provided $1,335,000 in funding to the Issuer, and in exchange, the Issuer issued to Project Nickel: (i) an Original Issue Discount Secured Convertible Promissory Note in the principal amount of $1,500,000, bearing interest at a rate of 6% per annum and maturing on December 31, 2023 (the \"2022 Note\"); and (ii) Series X, Series Y, and Series Z warrants (collectively, the \"Warrants\"). The 2022 Note was convertible into 30% of the Issuer's outstanding Common Stock on a post-conversion basis as of the date of conversion (the \"Conversion Shares\"). Each series of Warrants was exercisable for a number of shares equal to 60% of the Conversion Shares, with exercise prices as follows: (i) for the Series X Warrants, the lower of $0.02 and 120% of the closing price of the Common Stock on the date of exercise; (ii) for the Series Y Warrants, the lower of $0.05 and 150% of the closing price on the date of exercise; and (iii) for the Series Z Warrants, the lower of $0.06 and 200% of the closing price on the date of exercise. Both the 2022 Note and the Warrants were subject to a contractual beneficial ownership blocker provision, which limited Project Nickel's ability to convert or exercise such securities to the extent that doing so would result in beneficial ownership exceeding a specified threshold.\n\nAs disclosed in the Issuer's Form 8-K filed on December 20, 2023, the Issuer and Project Nickel entered into an agreement on December 19, 2023, pursuant to which the parties agreed to exchange the 2022 Note for a new note with substantially similar terms, except that (i) the maturity date was extended to December 31, 2024, and (ii) the conversion feature was modified to permit conversion into 40% of the Issuer's outstanding Common Stock on a post-conversion basis (the \"2023 Note\").\n\nAs disclosed in the Issuer's Form 8-K filed on November 4, 2024, the Issuer and Project Nickel entered into three separate agreements on November 1, 2024: (i) a Convertible Note Exchange Agreement (the \"Convertible Note Exchange Agreement\"); (ii) a Warrant Exchange and Extinguishment Agreement (the \"Warrant Exchange and Extinguishment Agreement\"); and (iii) a Promissory Note Exchange Agreement (the \"Promissory Note Exchange Agreement\").\n\nPursuant to the Convertible Note Exchange Agreement, Project Nickel agreed to exchange the 2023 Note for: (i) a new Secured Exchange Note with a principal amount of $1,620,240, bearing interest at 8% per annum and maturing on December 31, 2025 (the \"2024 Note\"); and (ii) 750,000,000 shares of Common Stock.\n\nUnder the Warrant Exchange and Extinguishment Agreement, Project Nickel agreed to extinguish all outstanding Series X, Y, and Z Warrants in exchange for: (i) 600,000,000 shares of Common Stock, and (ii) 650,000 shares of the Issuer's Series D Preferred Stock, each of which is convertible at any time into 1,000 shares of Common Stock.\n\nAs of November 1, 2024, the Issuer owed Project Nickel an aggregate default principal amount of $241,590 under promissory notes issued on November 20, 2023 ($25,000), March 6, 2024 ($125,000), and April 30, 2024 ($50,000) (collectively, the \"Promissory Notes\"). Pursuant to the Promissory Note Exchange Agreement, Project Nickel agreed to consolidate and exchange the Promissory Notes for a new consolidated promissory note with a principal amount of $241,590, bearing interest at 8% per annum and maturing on December 31, 2025 (the \"New Promissory Note\").\n\nOn September 22, 2025, the Issuer and Project Nickel entered into a Secured Exchange Note Exchange Agreement (the \"2025 Exchange Agreement\"), pursuant to which Project Nickel agreed to exchange the 2024 Note, then outstanding with a principal balance of $1,220,240, for: (i) a new secured convertible promissory note with a principal amount of $1,220,240, bearing interest at 8% per annum and maturing on December 31, 2027 (the \"2025 Note\"); and (ii) 500,000,000 newly-issued shares of Common Stock. The 2025 Note is convertible into shares of Common Stock at a price of $0.001 per share, adjusted for any stock splits.\n\nAdditionally, on September 22, 2025, the 650,000 shares of Series D Preferred Stock held by Project Nickel were converted into 650,000,000 shares of Common Stock, in accordance with the applicable conversion terms.\n\nOn June 30, 2026, the Issuer and Project Nickel entered into a Secured Convertible Promissory Note Exchange Agreement (the \"2026 Exchange Agreement\") pursuant to which Project Nickel agreed to exchange and extinguish the 2025 Note, then outstanding with a principal balance of $$1,220,240, for (i) 3,250,000 shares of Series E Convertible Preferred Stock, each of which is convertible at any time into 1,000 shares of Common Stock.; and, (ii) 750,131,126 newly-issued shares of Common Stock.\n\nFor purposes of this Schedule 13D, the 2022 Note, 2023 Note, 2024 Note, 2025 Note, the Promissory Notes, and the New Promissory Note are collectively referred to herein as the \"Notes.\"\n\nExcept as previously disclosed, DAXvest and Mr. Kittrell do not directly own any shares of Common Stock but are deemed to beneficially own the Common Stock held by Project Nickel. Each of DAXvest and Mr. Kittrell disclaims beneficial ownership of such securities except to the extent of their respective pecuniary interests therein.\n\nThe foregoing summary of certain terms of the SPA, the Notes, the Warrants, the Convertible Note Exchange Agreement, the Warrant Exchange and Extinguishment Agreement, the Promissory Note Exchange Agreement, 2025 Exchange Agreement and the 2026 Exchange Agreement is not intended to be complete and is qualified in its entirety by reference to the full text of such documents, which are referenced in the Issuer's current reports on Form 8-K identified above.\n\nThe Reporting Persons acquired the shares of Common Stock reported herein for investment purposes. Except as set forth herein, the Reporting Persons do not presently have any plan or proposal that would result in any of the actions enumerated in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons intend to evaluate their investment in the Issuer on an ongoing basis. Depending on various factors, including but not limited to the Issuer's financial condition and strategic direction, actions taken by its board of directors, prevailing market conditions, the price of the Common Stock, alternative investment opportunities, and general economic and industry developments, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate. Such actions may include, without limitation, acquiring additional securities of the Issuer, disposing of some or all of their holdings, engaging in discussions with management, the board of directors, other shareholders, or third parties, or modifying their current intentions with respect to any or all matters described in Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1001601/000149315226036048/0001493152-26-036048-index.html" }, { "accession_no": "0001486180-26-000003", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1287098, "issuer_name": "MAXCYTE, INC.", "issuer_cusip": "57777K106", "securities_class_title": "Equity", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": "N/A", "item4_transaction_purpose": "(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries.\nAs per the Announcement on 24 June 2026 (RNS Number: 4421J), the FCA has approved the change in control and proposed acquisition of River Global Holdings Limited. Subsequently, as of close of business on 31 July 2026, Liontrust Investment Partners (LIP) LLP assumed responsibility for the River Global Investors (RGI) LLP ICVC and ICAV funds. The relevant voting rights (approx 4.3%) attached to those holdings have therefore transferred from RGI LLP to LIP LLP. The remaining voting rights (approx 0.8%) continue to be held by RGI LLP and will be transferred at a later stage.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1287098/000148618026000003/0001486180-26-000003-index.html" }, { "accession_no": "0001477932-26-004693", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 819926, "issuer_name": "SHARING ECONOMY INTERNATIONAL INC.", "issuer_cusip": "819534108", "securities_class_title": "Common Stock, $0.001 Par Value", "date_of_event": "2026-08-02", "filed_date": "2026-08-04", "item3_funds_source": "Pursuant to the terms and conditions of that certain Share Exchange Agreement, dated August 2, 2026, by and among Sharing Economy International Inc., Light Across, Inc., a Delaware corporation (\"Light Across\"), and the holders of common stock of Light Across, the Issuer offered and sold an aggregate of 4,103,939,641 shares of common stock to the Mr. Huang.", "item4_transaction_purpose": "The Reporting Person acquired the shares of shares of common stock of the Issuer, as described in Item 3 herein, for investment purposes.\r \r Depending upon then prevailing market conditions, other investment opportunities available to the Reporting Person, the availability of shares of common stock at prices that would make the purchase of additional shares of common stock desirable and other investment considerations, the Reporting Person may endeavor to increase his position in the Issuer through, among other things, the purchase of shares of common stock on the open market if the Issuer's common stock is traded in the future, or in private transactions or otherwise, on such terms and at such times as the Reporting Person may deem advisable. The Reporting Person reserves the right to dispose of any or all of his respective shares of common stock in the open market, if such market is created in the future, or otherwise, at any time and from time to time and to engage in any hedging or similar transactions. \r \r The Reporting Person intends to review his respective investment in the Issuer on a continuing basis and may engage in communications with one or more stockholders of the Issuer, one or more officers of the Issuer, one or more members of the board of directors of the Issuer and/or one or more other representatives of the Issuer concerning the business, operations and future plans of the Issuer.\r \r The Reporting Person does not have any present plan or proposal which would relate to or result in:\r \r (a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer;\r \r (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries;\r \r (c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries;\r \r (d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\r \r (e) Any material change in the present capitalization or dividend policy of the issuer;\r \r (f) Any other material change in the issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940;\r \r (g) changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person;\r \r (h) Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\r \r (i) A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\r \r (j) Any action similar to any of those enumerated above.\r \r The Reporting Person may, at any time and from time to time, review or reconsider his respective position and/or change his respective purpose and/or formulate and adopt plans or proposals with respect thereto subject to compliance with applicable regulatory requirements.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/819926/000147793226004693/0001477932-26-004693-index.html" }, { "accession_no": "0001477932-26-004692", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 819926, "issuer_name": "SHARING ECONOMY INTERNATIONAL INC.", "issuer_cusip": "819534108", "securities_class_title": "Common Stock, $0.001 Par Value", "date_of_event": "2026-08-02", "filed_date": "2026-08-04", "item3_funds_source": "Pursuant to the terms and conditions of that certain Share Exchange Agreement, dated August 2, 2026, by and among Sharing Economy International Inc., Light Across, Inc., a Delaware corporation (\"Light Across\"), and the holders of common stock of Light Across, the Issuer offered and sold an aggregate of 724,224,643 shares of common stock to the Mr. Chen.", "item4_transaction_purpose": "The Reporting Person acquired the shares of shares of common stock of the Issuer, as described in Item 3 herein, for investment purposes.\r \r Depending upon then prevailing market conditions, other investment opportunities available to the Reporting Person, the availability of shares of common stock at prices that would make the purchase of additional shares of common stock desirable and other investment considerations, the Reporting Person may endeavor to increase his position in the Issuer through, among other things, the purchase of shares of common stock on the open market if the Issuer's common stock is traded in the future, or in private transactions or otherwise, on such terms and at such times as the Reporting Person may deem advisable. The Reporting Person reserves the right to dispose of any or all of his respective shares of common stock in the open market, if such market is created in the future, or otherwise, at any time and from time to time and to engage in any hedging or similar transactions. \r \r The Reporting Person intends to review his respective investment in the Issuer on a continuing basis and may engage in communications with one or more stockholders of the Issuer, one or more officers of the Issuer, one or more members of the board of directors of the Issuer and/or one or more other representatives of the Issuer concerning the business, operations and future plans of the Issuer.\r \r The Reporting Person does not have any present plan or proposal which would relate to or result in:\r \r (a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer;\r \r (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries;\r \r (c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries;\r \r (d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\r \r (e) Any material change in the present capitalization or dividend policy of the issuer;\r \r (f) Any other material change in the issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940;\r \r (g) changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person;\r \r (h) Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\r \r (i) A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\r \r (j) Any action similar to any of those enumerated above.\r \r The Reporting Person may, at any time and from time to time, review or reconsider his respective position and/or change his respective purpose and/or formulate and adopt plans or proposals with respect thereto subject to compliance with applicable regulatory requirements.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/819926/000147793226004692/0001477932-26-004692-index.html" }, { "accession_no": "0001361570-26-000013", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1519751, "issuer_name": "Fortune Brands Innovations, Inc.", "issuer_cusip": "34964C106", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": "The Reporting Person acquired the shares of common stock of Fortune Brands Innovations Inc on behalf of its institutional clients who are managed on a discretionary basis. The purchase cost is approximately USD 344,224,327.09 . The source of the funds comes from our institutional clients' assets\n\nThe funds used for the acquisition did not involve any financing or borrowing.", "item4_transaction_purpose": "The Reporting Person acquired shares of Fortune Brands Innovations Inc as part of its investment strategy, which includes considering the clarity and robustness of the issuer's long-term strategy; the functioning and calibre of governance structures and effective leadership; the financial strength and performance of issuers and the fair valuation of underlying securities; and financially-material sustainability risks & opportunities. The Reporting Person is therefore actively engaging with the Issuer to discuss and promote initiatives that align with these business practices.\n\nThis engagement is part of the Reporting Person's broader strategy to support companies in enhancing their approach, thereby potentially improving long-term shareholder value. As such, the Reporting Person may seek to influence the Issuer's policies and practices through discussions with the Boards and management of the companies in which we invest.\n\nThe Reporting Person does not currently have any plans or proposals that would result in a change in control of the Issuer, nor does it intend to acquire additional shares for the purpose of gaining control. However, the Reporting Person reserves the right to change its intentions and take any actions that it deems appropriate in light of its ongoing engagement and evaluation of the Issuer's policies and practices.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1519751/000136157026000013/0001361570-26-000013-index.html" }, { "accession_no": "0001213900-26-085176", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1887673, "issuer_name": "Wearable Devices Ltd.", "issuer_cusip": "M97838409", "securities_class_title": "Ordinary shares, no par value per share", "date_of_event": "2026-08-02", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following at the end thereof:\n\nOn July 31, 2026, the Issuer announced that it entered into a securities purchase agreement with a single institutional investor in a private placement transaction for the purchase and sale of 1,000,000 Ordinary Shares (or Ordinary Share equivalents in lieu thereof) and warrants to purchase up to 1,000,000 Ordinary Shares at a combined purchase price of $3.285 per share and accompanying warrant (the \"Private Placement\"). On August 1, 2026, the Reporting Persons communicated to the Issuer their objection to the proposed Private Placement and demanded that the Issuer refrain from consummating it. The Reporting Persons asserted, among other things, that the Private Placement would improperly alter the Issuer's capital structure and voting dynamics and affect matters that may be considered by the Issuer's shareholders in connection with the issues previously raised by the Reporting Persons in their prior demand for a special meeting of shareholders. The Reporting Persons further asserted that the Private Placement was not in the best interests of the Issuer and its shareholders and requested that the Issuer take no further action to proceed with the closing of the Private Placement. On August 2, 2026, the Issuer responded and rejected the Reporting Persons' position, asserting, among other things, that the Private Placement was a market-priced financing undertaken in the ordinary course of the Issuer's business, that the Issuer had a continuing need to raise capital to fund its operations and growth, and that the Private Placement would not impair the ability of shareholders to pursue the matters raised in the Reporting Persons' demand for a special meeting of stockholders.\n\nOn August 2, 2026, the Reporting Persons commenced proceedings in the Economic Department of the District Court of Haifa, Israel (the \"Court\"), seeking temporary injunctive relief in connection with the Private Placement. On August 2, 2026, the Court issued an ex parte temporary injunction, scheduled a hearing for August 16, 2026, and temporarily prohibited the Issuer from advancing the Private Placement or otherwise modifying its capital structure, pending further order. The Court noted that its decision was issued at a preliminary stage of the proceedings and on an ex parte basis, prior to receiving the positions of the Issuer or the investor in the Private Placement, and that its decision should not be construed as a determination regarding the outcome of the application.\n\nThe Reporting Persons intend to continue pursuing their rights and remedies in connection with the foregoing matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1887673/000121390026085176/0001213900-26-085176-index.html" }, { "accession_no": "0001213900-26-084909", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2003061, "issuer_name": "Star Fashion Culture Holdings Limited", "issuer_cusip": "G8437Q127", "securities_class_title": "Class B Ordinary Shares, par value US$0.0004 per share", "date_of_event": "2026-07-24", "filed_date": "2026-08-04", "item3_funds_source": "Ms. Pingting Zhang, the Chief Financial Officer, and a Director of the Company, owns the entire issued share capital of Xingji Zhangpingting Limited. Xingji Zhangpingting Limited, a company incorporated in British Virgin Islands with limited liability, holds 63.64% of the Class B issued shares of the Company.\n\nXingji Zhangpingting Limited, a company incorporated in the BVI with limited liability, received 1,300,000 Class B Shares from Star Fashion Culture Holdings Limited on October 12, 2023. As at March 13 2026, Xingji Zhangpingting Limited received 32,500 Class B Shares and 42,500 Class A Shares from Star Fashion Culture Holdings Limited. As at March 13 2026, Xingji Zhangpingting Limited disposed of 1,300,000 Class B Shares and 1,700,000 Class A Shares from Star Fashion Culture Holdings Limited. As at July 22 2026, Xingji Zhangpingting Limited received 2,000,000 Class B Shares from Star Fashion Culture Holdings Limited. As of July 23 2026, Xingji Zhangpingting Limited held 42,500 Class A Shares and 2,032,500 Class B Shares from Star Fashion Culture Holdings Limited.", "item4_transaction_purpose": "On July 22, 2026, the Company entered into entered into a subscription agreement (the \"Agreement\") with Xingji Zhangpingting Limited (\"Purchaser\") , pursuant to which the Company desires to issue and sell to such Purchaser, and such Purchaser desires to purchase from the Company 2,000,000 Class B Ordinary Shares for a total purchase price of $2,600,000, which is attached as Exhibit 1 hereto, and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2003061/000121390026084909/0001213900-26-084909-index.html" }, { "accession_no": "0001213900-26-084908", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2003061, "issuer_name": "Star Fashion Culture Holdings Limited", "issuer_cusip": "G8437Q127", "securities_class_title": "Class A Ordinary Shares, par value US$0.0004 per share", "date_of_event": "2026-07-24", "filed_date": "2026-08-04", "item3_funds_source": "Ms. Pingting Zhang, the Chief Financial Officer, and a Director of the Company, owns the entire issued share capital of Xingji Zhangpingting Limited. Xingji Zhangpingting Limited, a company incorporated in British Virgin Islands with limited liability, holds 1.33% of the Class A issued shares of the Company.\n\nXingji Zhangpingting Limited, a company incorporated in the BVI with limited liability, received 1,300,000 Class B Shares from Star Fashion Culture Holdings Limited on October 12, 2023. As at March 13 2026, Xingji Zhangpingting Limited received 32,500 Class B Shares and 42,500 Class A Shares from Star Fashion Culture Holdings Limited. As at March 13 2026, Xingji Zhangpingting Limited disposed of 1,300,000 Class B Shares and 1,700,000 Class A Shares from Star Fashion Culture Holdings Limited. As at July 22 2026, Xingji Zhangpingting Limited received 2,000,000 Class B Shares from Star Fashion Culture Holdings Limited. As of July 23 2026, Xingji Zhangpingting Limited held 42,500 Class A Shares and 2,032,500 Class B Shares from Star Fashion Culture Holdings Limited.", "item4_transaction_purpose": "Not Applicable", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2003061/000121390026084908/0001213900-26-084908-index.html" }, { "accession_no": "0001213900-26-084888", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1618835, "issuer_name": "Evofem Biosciences, Inc.", "issuer_cusip": "30048L302", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-08-04", "item3_funds_source": "On June 26, 2026, HUB entered into securities purchase agreements (each, a \"June Purchase Agreement\" and, collectively, the \"June Purchase Agreements\"; the form of which is filed as Exhibit 99.1 hereto and incorporated herein by reference) with certain holders (each, a \"June Seller\" and, collectively, the \"June Sellers\") of senior subordinated convertible notes of the Issuer (the \"Evofem Notes\") and of certain purchase rights to acquire securities of the Issuer (the \"June Purchase Rights\"). Pursuant to the June Purchase Agreements, HUB agreed to purchase from the June Sellers all of their respective Evofem Notes and June Purchase Rights, free and clear of liens, in exchange solely for the issuance of equity securities of HUB (such transactions, collectively, the \"June Private Placement\"). The closing of the June Private Placement occurred on June 30, 2026.\n\nOn July 20, 2026, HUB entered into a securities purchase agreement (the \"July Purchase Agreement\" and, together with the June Purchase Agreements, the \"Purchase Agreements\"; the form of which is filed as Exhibit 99.2 hereto and incorporated herein by reference) with a certain holder (the \"July Seller\" and, together with the June Sellers, the \"Sellers\") of certain purchase rights to acquire securities of the Issuer (the \"July Purchase Rights\" and, together with the June Purchase Rights, the \"Purchase Rights\"). Pursuant to the July Purchase Agreement, HUB agreed to purchase from the July Seller all of their respective July Purchase Rights, free and clear of liens, in exchange solely for the issuance of equity securities of HUB (the \"July Private Placement\"). The closing of the July Private Placement occurred on July 21, 2026.\n\nThe Evofem Notes acquired by HUB consist of senior subordinated convertible notes of the Issuer governed by a common form of note, comprising notes originally issued pursuant to securities purchase agreements between the Issuer and certain investors between December 2022 and September 2023 and exchanged for new notes in the same form pursuant to Restructuring Agreements, dated as of December 1, 2023, between the Issuer and the holders party thereto (such new notes, the \"Exchanged Notes\", maturing December 1, 2026; the form of which is filed as Exhibit 99.6 hereto and incorporated herein by reference), together with senior subordinated convertible notes issued in the same form pursuant to securities purchase agreements, dated as of April 8, 2025 and June 26, 2025, between the Issuer and Aditxt, Inc. (maturing April 8, 2028 and June 26, 2028; the form of which is filed as Exhibit 99.7 hereto and incorporated herein by reference). The Evofem Notes bear interest at 8% per annum, compounding monthly (payable at maturity), and are convertible, at the holder's election, into shares of Common Stock at a conversion price of $0.0154 per share (subject to customary adjustments), subject to the Beneficial Ownership Limitations described in Item 5. Based on the aggregate outstanding balance of the Evofem Notes acquired by HUB (approximately $5,373,556), the Evofem Notes would be convertible into approximately 348,932,233 shares of Common Stock, without giving effect to the Beneficial Ownership Limitations. The Purchase Rights acquired by HUB (the form of which is filed as Exhibit 99.8 hereto and incorporated herein by reference) are exercisable for Common Stock at the same $0.0154 per share price and, based on the aggregate amount of the June Purchase Rights acquired (approximately $10,153,890 and July Purchase Rights acquired (approximately $4,000,000)), would be exercisable for approximately 659,343,507 and 259,740,260 shares of Common Stock, respectively. In the aggregate, and before giving effect to the Beneficial Ownership Limitations and the limitations of the Issuer's available authorized Common Stock, the Evofem Notes and the Purchase Rights would be convertible into, and exercisable for, approximately 1,268,016,000 shares of Common Stock.\n\nThe aggregate purchase price paid by HUB for the Evofem Notes and the June Purchase Rights was approximately $49,331,891, which was paid solely through the issuance of securities of HUB, and not in cash. At the closing of the June Private Placement, HUB issued to the June Sellers an aggregate of 1,794,901 of its ordinary shares and pre-funded warrants to purchase an aggregate of 29,828,099 of its ordinary shares (the form of which is filed as Exhibit 99.3 hereto and incorporated herein by reference) (at $1.560 per ordinary share, the closing price of HUB's ordinary shares on the Nasdaq Stock Market on June 24, 2026). No funds were borrowed and no cash was used by HUB to acquire the Evofem Notes or the June Purchase Rights.\n\nThe aggregate purchase price paid by HUB for the July Purchase Rights was $15,200,000, which was paid solely through the issuance of securities of HUB, and not in cash. At the closing of the July Private Placement, HUB issued to the July Seller 590,107 of its ordinary shares and pre-funded warrants to purchase an aggregate of 9,543,226 of its ordinary shares (the form of which is filed as Exhibit 99.4 hereto and incorporated herein by reference) (at $1.50 per ordinary share). No funds were borrowed and no cash was used by HUB to acquire the July Purchase Rights.", "item4_transaction_purpose": "HUB acquired the Evofem Notes and the Purchase Rights for strategic investment purposes, as part of a broader transformation plan intended to strengthen HUB's financial position and expand into the women's health and wellness sector while preserving cash. HUB intends to explore opportunities to collaborate with the Issuer.\n\nOn July 8, 2026, the Issuer issued to HUB a subordinated promissory note in the principal amount of $706,304 (the \"Promissory Note\"; filed as Exhibit 99.5 hereto and incorporated herein by reference), the proceeds of which are to be used by the Issuer exclusively for payments to its suppliers in connection with the purchase, manufacture, production and distribution of the Issuer's products, PHEXX and SOLOSEC. The Promissory Note is described in Item 6 and contains, among other things, covenants restricting certain actions of the Issuer without the consent of HUB, including mergers or consolidations, sales of all or substantially all assets, dissolution or bankruptcy filings, amendments to organizational documents and material changes to the nature of the Issuer's business.\n\nSubject to the Beneficial Ownership Limitations described in Item 5, the availability of authorized but unissued Common Stock of the Issuer and market and other conditions, HUB may from time to time convert all or a portion of the Evofem Notes, exercise all or a portion of the Purchase Rights, acquire additional securities of the Issuer, or sell, transfer or otherwise dispose of some or all of the Evofem Notes, the Purchase Rights or any shares of Common Stock acquired upon conversion or exercise thereof, in each case in open market transactions, privately negotiated transactions or otherwise. HUB notes that the Issuer has disclosed that its stockholders approved a reverse stock split of the Common Stock at a ratio of between 1-for-500 and 1-for-1,500, which had not been effectuated as of the date of the Issuer's most recent Quarterly Report on Form 10-Q, and that the Evofem Notes contain anti-dilution and stock-combination adjustment provisions that would adjust their conversion terms upon certain events.\n\nHUB intends to review its investment in the Issuer on a continuing basis and, in connection therewith, may engage in discussions with management, the board of directors of the Issuer, other holders of securities of the Issuer and other relevant parties, and may make suggestions or proposals, concerning the business, operations, assets, capitalization, financial condition, strategy, governance and future plans of the Issuer, including with respect to potential commercial collaborations, financings, refinancings or restructurings of the Issuer's indebtedness (including the Evofem Notes and the Promissory Note), and other strategic transactions. Depending upon the factors described above and any other factors it deems relevant, HUB may in the future take any action with respect to its investment in the Issuer as it deems appropriate, including actions that could result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. Except as set forth in this Schedule 13D, HUB has no present plans or proposals that relate to or would result in any of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1618835/000121390026084888/0001213900-26-084888-index.html" }, { "accession_no": "0001193805-26-001017", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1227636, "issuer_name": "Neuronetics, Inc.", "issuer_cusip": "64131A105", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-08-03", "filed_date": "2026-08-04", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe 10,588,988 Shares held by Mr. Chernett were purchased with personal funds for an aggregate purchase price of approximately $20,682,236.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nThe information set forth in Item 6 related to the Understanding (as defined and described below) is incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1227636/000119380526001017/0001193805-26-001017-index.html" }, { "accession_no": "0001193125-26-333495", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1418819, "issuer_name": "Iridium Communications Inc.", "issuer_cusip": "46269C102", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1418819/000119312526333495/0001193125-26-333495-index.html" }, { "accession_no": "0001193125-26-333438", "submission_type": "SCHEDULE 13D/A", "amendment_no": 28, "issuer_cik": 1915657, "issuer_name": "HF Sinclair Corporation", "issuer_cusip": "403949100", "securities_class_title": "Common Stock", "date_of_event": "2026-08-02", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": "The information contained in the explanatory note and Items 3 and 6 of the Schedule 13D is incorporated herein by reference.\n\nOn August 2, 2026, the Issuer entered into a Stock Purchase Agreement (the \"Twenty-Second Purchase Agreement\") with the Reporting Person to repurchase 2,375,000 shares of Common Stock, for $89.41 per share, for the aggregate purchase price of $212,348,750 in a privately negotiated transaction (the \"Twenty-Third Repurchase Transaction\"). The Twenty-Third Repurchase Transaction is expected to close on or about August 5, 2026, subject to customary closing conditions. The foregoing description of the Twenty-Second Purchase Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Twenty-Second Purchase Agreement, which is filed as Exhibit 10.24 hereto and is incorporated herein by reference.\n\nAs previously reported, the Reporting Person has sold its Common Stock from time to time in both open market sales and sales to the Issuer. Subject to the terms of the Stockholders Agreement, the Reporting Person may engage in such sales (with a strong preference for sales to the Issuer), but the Reporting Person may both acquire additional Common Stock or dispose of any or all of the Common Stock, in each case, depending upon an ongoing evaluation of the investment in the Common Stock, prevailing market conditions, other investment opportunities, other investment considerations and/or other factors. The Reporting Person evaluates its investments in the Common Stock on a continual basis.\n\nAdditionally, while the Reporting Person reserves the right to make sales from time to time, it is its intent as of the date of this Amendment to maintain such sufficient ownership of Common Stock so the Reporting Person retains the right to appoint at least one director to the Board of the Issuer pursuant to the Stockholders Agreement. The Reporting Person may, at any time and from time to time, review or reconsider such position.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1915657/000119312526333438/0001193125-26-333438-index.html" }, { "accession_no": "0001140361-26-031060", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1133416, "issuer_name": "GALECTIN THERAPEUTICS INC", "issuer_cusip": "363225202", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": "Personal Funds", "item4_transaction_purpose": "The Shares were acquired for investment purposes and were not acquired with the purpose or effect of changing or influencing control of the Company.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1133416/000114036126031060/0001140361-26-031060-index.html" }, { "accession_no": "0001104659-26-090533", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 764897, "issuer_name": "Broad Street Realty, Inc.", "issuer_cusip": "111294104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-08-04", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented to incorporate the following at the end thereof:\n\nOn August 4, 2026, CF Flyer Mezz Holdings LLC delivered a notice to the Issuer pertaining to the Fortress Warrant, by which CF Flyer Mezz Holdings LLC irrevocably surrendered and forfeited without exercise, and consented to the termination and cancellation of the Fortress Warrant for no consideration, with immediate effect and without further right, obligation or liability of any kind or nature whatsoever on the part of CF Flyer Mezz Holdings LLC or the Issuer (the \"Warrant Surrender\"). Effective as of the Warrant Surrender, the Reporting Persons no longer beneficially own the 2,560,000 shares of Common Stock previously issuable upon the exercise of the Fortress Warrant.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/764897/000110465926090533/0001104659-26-090533-index.html" }, { "accession_no": "0001104659-26-090388", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1410428, "issuer_name": "XWELL, Inc.", "issuer_cusip": "98420U802", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2025-11-15", "filed_date": "2026-08-04", "item3_funds_source": "Between November 30, 2022 and December 1, 2022, the Reporting Person expended approximately $21,097 of his personal funds to purchase 7,065 shares of common stock.\n\nItem 4 below, which is incorporated herein by reference, summarizes certain agreements that pertain to the Reporting Person's other securities of the Issuer that were received by the Reporting Person from the Issuer in consideration of his service as Chairman of the Board of Directors of the Issuer (the \"Board\"), and no cash consideration was paid by the Reporting Person in connection therewith.", "item4_transaction_purpose": "Stock Option Agreement\n\nPursuant to the Issuer's 2020 Equity Incentive Plan (the \"Plan\") and the Stock Option Agreement between the Issuer and the Reporting Person (the \"Stock Option Agreement\"), the Reporting Person received a stock option award to purchase 30,000 shares of common stock on January 5, 2023. Such stock option award vested in equal quarterly installments over a one-year period, vesting one-fourth at the end of each fiscal quarter, such that the award fully vested as of December 31, 2023. On November 15, 2024, the Reporting Person received an additional stock option award to purchase 44,037 shares of common stock, which vested in full on the first anniversary of the date of grant. On June 2, 2025, the Reporting Person received an additional stock option award to purchase 220,528 shares of common stock, which vested in equal quarterly installments over a one-year period, vesting one-fourth at the end of each fiscal quarter, such that the award fully vested on June 2, 2026.\n\nThe foregoing description of the Stock Option Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Plan and a form of the Stock Option Agreement, which are incorporated herein by reference to Exhibits 99.1 and 99.2, respectively, of this Schedule 13D.\n\nRestricted Stock Agreement\n\nPursuant to the Plan and the Restricted Stock Agreement between the Issuer and the Reporting Person (the \"RSA Agreement\"), the Reporting Person received an award of 200,926 shares of restricted stock on June 2, 2025, which fully vested on the date of grant. On February 27, 2026, the Reporting Person received an additional award of 100,000 shares of restricted stock, which fully vested 30 days following the date of grant.\n\nThe foregoing description of the RSA Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the form of the RSA Agreement, which is incorporated herein by reference to Exhibit 99.3 of this Schedule 13D.\n\nSupport Agreement\n\nOn July 6, 2026, the Issuer entered into a Securities Purchase Agreement (the \"Purchase Agreement\"), by and among the Issuer, XpresSpa Holdings, LLC, a Delaware limited liability company (\"XpresSpa\"), XpresTest, Inc., a Delaware corporation (\"XpresTest\" and, together with XpresSpa, the \"Target Companies\"), and Express Wellness Group, LLC, a Delaware limited liability company (the \"Buyer\"), in accordance with the terms and subject to the conditions of which, among other things, the Issuer will sell, assign, transfer and convey to the Buyer all of Issuer's equity interests in the Target Companies (the \"Sale\").\n\nConcurrently and in connection with the execution of the Purchase Agreement, (i) each member of the Board, including the Reporting Person, and each executive officer of the Issuer who holds shares of the Issuer's common stock and (ii) American Ventures LLC Series XXIV XWELL (collectively, the \"Support Parties\") entered into Support Agreements (each, a \"Support Agreement\" and, collectively, the \"Support Agreements\"), in accordance with the terms and subject to the conditions of which the Support Parties have agreed to, among other things, vote all of their shares of common stock in favor of the approval and adoption of the Purchase Agreement and the Sale, vote against any alternative transaction, and be present at every stockholder meeting for quorum purposes. The Support Agreements also contain certain transfer restrictions and non-solicitation provisions applicable to the Support Parties (solely in their capacity as stockholders of the Issuer).\n\nThe foregoing description of the Support Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Support Agreement, which is incorporated herein by reference to Exhibit 99.4 of this Schedule 13D.\n\nGeneral\n\nThe Reporting Person acquired the securities described in this Schedule 13D in connection with the transactions and agreements. As discussed above, the Reporting Person intends to review his investments in the Issuer on a continuing basis. Subject to the Support Agreement and the Issuer's insider trading policy, any actions the Reporting Person might undertake may be made at any time and from time to time without prior notice and will be dependent upon the Reporting Person's review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nSubject to the Support Agreement and the Issuer's insider trading policy, the Reporting Person may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. In addition, the Reporting Person may engage in discussions with management, the Board, and stockholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or other transaction that could result in the de-listing or de-registration of the common stock of the Issuer; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nDepending upon each factor discussed above and any other factor (which may be unknown at this time) that is, or may become relevant, the Reporting Person may consider, among other things: (a) the acquisition by the Reporting Person of additional securities of the Issuer, the disposition of securities of the Issuer, or the exercise of convertible securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) changes in the present Board or management of the Issuer; (e) a material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's articles of incorporation, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing any class of the Issuer's securities to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) any action similar to those enumerated above.\n\nExcept to the extent that the foregoing may be deemed to be a plan or proposal, the Reporting Person does not currently have any plans or proposals that relate to or would result in any of the actions specified in clause (a) through (j) of this Item 4 of Schedule 13D. Depending upon the foregoing factors and to the extent deemed advisable in light of the Reporting Person's general investment policies, or other factors, the Reporting Person may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer or the common stock of the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in paragraphs (a) through (j) of this Item 4 of Schedule 13D. The foregoing is subject to change at any time, and there can be no assurance that the Reporting Person will take any of the actions set forth above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1410428/000110465926090388/0001104659-26-090388-index.html" }, { "accession_no": "0001104659-26-090354", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1740332, "issuer_name": "Resideo Technologies, Inc.", "issuer_cusip": "76118Y104", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by inserting the following at the end thereof.\n\nOn July 30, 2025, the Issuer announced its intention to separate its global specialty distributor segment from the Issuer into a new publicly traded company named ADI Global Distribution Inc. (\"ADI\") through a spin-off to its shareholders (the \"ADI Spin-Off\"). On August 3, 2026, to consummate the ADI Spin-Off, the Issuer distributed 100% of the outstanding shares of ADI's common stock to the Issuer's common stockholders on a pro rata basis in a distribution intended to be tax-free for U.S. federal income tax purposes, except for cash received in lieu of fractional shares.\n\nOn July 31, 2026, in connection with the ADI Spin-Off, CD&R Holdings entered into an exchange agreement (the \"Exchange Agreement\") with the Issuer providing for the exchange (the \"Exchange\") by CD&R Holdings of 149,550 shares of the Preferred Stock held by CD&R Holdings for 149,550 shares of ADI preferred stock. After giving effect to the Exchange, CD&R Holdings will retain all right, title and interest in and to the remaining 348,950 shares of the Preferred Stock, under the terms of an amended and restated certificate of designations (the \"Amended Certificate of Designations\") filed by the Issuer with the Secretary of State of the State of Delaware. The Amended Certificate of Designations will, among other things, (i) adjust the initial conversion price of the Preferred Stock from $26.92 to $18.844 and (ii) modify the Issuer's right to optionally redeem or convert the Preferred Stock such that this right is only exercisable after the termination or expiration of the lock-up restrictions under the terms of the amended Investment Agreement.\n\nAdditionally, concurrently with the Exchange, certain of the Reporting Persons will enter into an amendment to the Registration Rights Agreement (the \"Registration Rights Agreement Amendment\") and a second amendment to the Investment Agreement (the \"Investment Agreement Amendment\"). The Investment Agreement Amendment, among other things, (i) joins CD&R Holdings II (together with CD&R Holdings, the \"CD&R Stockholders\") to the Investment Agreement, (ii) extends the lock-up period applicable to the CD&R Stockholders to August 3, 2028, subject to certain exceptions described therein and (iii) expands the shares covered by the lock-up to cover any shares of Common Stock owned by the CD&R Stockholders as of immediately following the consummation of the ADI Spin-Off (in addition to the shares of Preferred Stock originally issued to CD&R Holdings as part of CD&R Holding's initial investment in the Issuer pursuant to the terms of the Investment Agreement and any shares of Common Stock issued upon the conversion of such shares of Preferred Stock). The Registration Rights Agreement Amendment, among other things, (i) joins CD&R Holdings II to the Registration Rights Agreement and (ii) adds an obligation for the Issuer to register any Registrable Securities (as defined in the Registration Rights Agreement) acquired by the CD&R Stockholders after the initial filing of a registration statement pursuant to the Registration Rights Agreement for resale on a continuous basis pursuant to Rule 415 under the Securities Act of 1933, as amended.\n\nIn connection with the ADI Spin-Off, Mr. Sleeper resigned from the Board, effective upon the ADI Spin-Off. To fill the vacancy created by Mr. Sleeper's resignation and pursuant to the Investment Agreement and the Certificate of Designations (each, as described in Item 6 of the Schedule 13D), CD&R Holdings has designated Andrew Campelli, a partner of CD&R, to fill the vacancy created by Mr. Sleeper's resignation.\n\nThe foregoing descriptions of the Exchange Agreement, the Amended Certificate of Designations, the Investment Agreement Amendment and the Registration Rights Agreement Amendment do not purport to be complete and are subject to, and qualified in their entirety by, the full text of such agreements, which are filed as Exhibit 99.12, 99.13, 99.14 and 99.15, respectively, hereto and are incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1740332/000110465926090354/0001104659-26-090354-index.html" }, { "accession_no": "0000921895-26-001957", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1638097, "issuer_name": "Entera Bio Ltd.", "issuer_cusip": "M40527109", "securities_class_title": "Ordinary Shares, par value NIS 0.0000769 per share", "date_of_event": "2026-07-28", "filed_date": "2026-08-04", "item3_funds_source": "The securities of the Issuer purchased by each of BVF, BVF2 and Trading Fund OS, and held in the Partners Managed Account, were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business).\n\n1,260,119 Ordinary Shares, par value NIS 0.0000769 per share (the \"Shares\"), 2,807,485 April Pre-Funded Warrants (as defined below) and 6,101,406 Warrants (as defined below) owned directly by BVF were purchased pursuant to the April Securities Purchase Agreement (as defined below) for an aggregate of approximately $5,196,294. 7,739,394 Shares and 6,265,789 July Pre-Funded Warrants (as defined below) owned directly by BVF were purchased pursuant to the July Securities Purchase Agreement (as defined below) for an aggregate of approximately $28,570,417.\n\n962,963 Shares, 2,145,437 April Pre-Funded Warrants and 4,662,600 Warrants owned directly by BVF2 were purchased pursuant to the April Securities Purchase Agreement for an aggregate of approximately $3,970,927. 5,722,517 Shares and 4,632,931 July Pre-Funded Warrants owned directly by BVF2 were purchased pursuant to the July Securities Purchase Agreement for an aggregate of approximately $21,124,998.\n\n162,302 Shares, 361,603 April Pre-Funded Warrants and 785,857 Warrants owned directly by Trading Fund OS were purchased pursuant to the April Securities Purchase Agreement for an aggregate of approximately $669,280. 962,027 Shares and 778,854 July Pre-Funded Warrants owned directly by Trading Fund OS were purchased pursuant to the July Securities Purchase Agreement for an aggregate of approximately $3,551,378.\n\n39,616 Shares, 88,264 April Pre-Funded Warrants and 191,820 Warrants held in the Partners Managed Account were purchased pursuant to the April Securities Purchase Agreement for an aggregate of approximately $163,364. 203,955 Shares and 165,121 July Pre-Funded Warrants held in the Partners Managed Account were purchased pursuant to the July Securities Purchase Agreement for an aggregate of approximately $752,911.", "item4_transaction_purpose": "The Reporting Persons purchased the securities reported owned herein based on the Reporting Persons' belief that such securities, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nApril Securities Purchase Agreement and Registration Rights Agreement\n\nOn April 1, 2026, the Issuer entered into a Securities Purchase Agreement (the \"April Securities Purchase Agreement\") with certain of the Reporting Persons providing for the private placement (the \"April Private Placement\") to the applicable Reporting Persons of an aggregate of 7,827,789 units (collectively, the \"Units\"), each Unit consisting of (i) one Share (or, in lieu thereof, one pre-funded warrant to purchase one Share (the \"April Pre-Funded Warrants\")) and (ii) one warrant to purchase one and a half Shares (the \"Warrants\"), for aggregate proceeds of approximately $10.0 million (or $1.2775 per Unit). The closing of the April Private Placement occurred on April 2, 2026 (the \"April Closing Date\").\n\nOn the April Closing Date, the Issuer and the applicable Reporting Persons entered into a Registration Rights Agreement (the \"April Registration Rights Agreement\"), pursuant to which the Issuer agreed to prepare and file a registration statement with the Securities and Exchange Commission (the \"SEC\") no later than 30 days following the April Closing Date, to register the resale of the Shares included in the Units and Shares issuable upon exercise of the April Pre-Funded Warrants and the Warrants.\n\nThe foregoing description of the April Securities Purchase Agreement, the April Pre-Funded Warrants, the Warrants and the April Registration Rights Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of such agreements, which are attached hereto as Exhibits 99.1, 99.2, 99.3 and 99.4, respectively, and are incorporated by reference herein.\n\nJuly Securities Purchase Agreement and Registration Rights Agreement\n\nOn July 26, 2026, the Issuer entered into a Securities Purchase Agreement (the \"July Securities Purchase Agreement\") with certain institutional and accredited investors (collectively, the \"Purchasers\"), including certain of the Reporting Persons, providing for the private placement (the \"July Private Placement\") to the Purchasers of an aggregate of 134,803,910 Shares (or, in lieu thereof, pre-funded warrants to purchase Shares (the \"July Pre-Funded Warrants\")), for aggregate proceeds of approximately $275.0 million, representing a price of $2.04 per Share. The July Private Placement closed on July 28, 2026 (the \"July Closing Date\"), on which date the Issuer issued an aggregate of 122,961,215 Shares and 11,842,695 July Pre-Funded Warrants to the Purchasers, including an aggregate of 14,627,893 Shares and 11,842,695 July Pre-Funded Warrants to the Reporting Persons.\n\nPursuant to the July Securities Purchase Agreement, effective as of the July Closing Date, the Issuer agreed to grant the Reporting Persons the right to designate two directors to the Issuer's board of directors (the \"Board\") (each, a \"BVF Designee\"), subject to each BVF Designee's satisfaction of all applicable requirements regarding service as a director under applicable law and Nasdaq rules and such other criteria and qualifications applicable to all directors of the Issuer. If the Reporting Persons cease to beneficially own at least 75.0% of the total securities (comprising of the Shares and the Shares issuable upon exercise of the July Pre-Funded Warrants) acquired by the Reporting Persons in the July Private Placement, then the Reporting Persons' designation right will be reduced to one BVF Designee; and if such ownership falls below 50.0% of such securities, or if the Reporting Persons' beneficial ownership falls below 10.0% of the Issuer's issued and outstanding Shares (without giving effect to any beneficial ownership, conversion or exercise limitation contained in the July Pre-Funded Warrants), then the Reporting Persons' designation right will terminate in full. In each such case, at the Board's written request, the applicable BVF Designee or BVF Designees will be required to resign from the Board, effective as of the 30th day following such request. For so long as the Reporting Persons have the right to designate at least one BVF Designee, one BVF Designee is expected to serve on the Nominating and Governance Committee of the Board, subject to applicable independence and other eligibility requirements.\n\nIn addition, the Issuer has agreed to use its commercially reasonable efforts, in reasonable consultation with each BVF Designee then serving, to identify and either appoint or put forth for election two additional independent members of the Board (each, a \"New Independent Director\"), anticipated to occur at or prior to the Issuer's 2027 annual general meeting and, subject to the qualification of such directors, no later than 18 months following the July Closing Date. Pursuant to the July Securities Purchase Agreement, the Issuer has agreed that prior to or at such a time as a New Independent Director is appointed to the Board, as part of an orderly succession plan and otherwise in accordance with good governance practices, a current independent director will resign from the Board.\n\nAdditionally, each Purchaser has agreed to vote all Shares beneficially held by it in favor of certain proposals relating to the increase in the number of Shares issuable under the Issuer's 2018 Equity Incentive Plan and the issuance of equity grants to the Issuer's executive officers intended to restore such person's post-July Private Placement beneficial ownership of the Issuer to their respective ownership percentages immediately prior to the July Closing Date (the \"Supported Proposals\"). The Issuer expects to seek shareholder approval of the Supported Proposals at a special meeting of shareholders anticipated to be held in the fourth quarter of 2026 and, in any event, no later than 12 months following the July Closing Date.\n\nOn the July Closing Date, the Issuer and the Purchasers, including the applicable Reporting Persons, entered into a Registration Rights Agreement (the \"July Registration Rights Agreement\"), pursuant to which the Issuer agreed to prepare and file a registration statement with the SEC no later than 30 days following the July Closing Date, to register the resale of the Shares and the Shares issuable upon exercise of the July Pre-Funded Warrants.\n\nThe foregoing description of the July Securities Purchase Agreement, the July Pre-Funded Warrants and the July Registration Rights Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of such agreements, which are attached hereto as Exhibits 99.5, 99.6 and 99.7, respectively, and are incorporated by reference herein.\n\nExcept in each BVF Designee's capacity as a director of the Issuer, if and when appointed, no Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position, the Reporting Persons' investment strategies, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in additional communications with management and the Board, engaging in discussions with stockholders of the Issuer and others about the Issuer and the Reporting Persons' investment, making proposals to the Issuer concerning changes to the capitalization, ownership structure, Board structure (including Board composition) or operations of the Issuer, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1638097/000092189526001957/0000921895-26-001957-index.html" }, { "accession_no": "0000921895-26-001942", "submission_type": "SCHEDULE 13D/A", "amendment_no": 24, "issuer_cik": 770460, "issuer_name": "PEOPLES FINANCIAL CORP /MS/", "issuer_cusip": "71103B102", "securities_class_title": "Common Stock, par value $1.00 per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": "Since we last reported purchases of Common Stock, Stilwell Value Partners VII has expended $104,391.84 to acquire 4,692 shares of Common Stock. Such funds were provided from Stilwell Value Partners VII's working capital and, from time to time, may be provided in part by margin account loans from subsidiaries of Morgan Stanley extended in the ordinary course of business.\n\nSince we last reported purchases of Common Stock, Stilwell Activist Fund has not expended any monies to acquire shares of Common Stock.\n\nSince we last reported purchases of Common Stock, Stilwell Activist Investments has expended $1,164,012.44 to acquire 52,918 shares of Common Stock. Such funds were provided from Stilwell Activist Investments' working capital and, from time to time, may be provided in part by margin account loans from subsidiaries of Morgan Stanley extended in the ordinary course of business.\n\nAll purchases of shares of Common Stock made by the Group using funds borrowed from Morgan Stanley, if any, were made in margin transactions on their usual terms and conditions. All or part of the shares of Common Stock owned by members of the Group may from time to time be pledged with one or more banking institutions or brokerage firms as collateral for loans made by such entities to members of the Group. Such loans generally bear interest at a rate based on the broker's call rate from time to time in effect. Such indebtedness, if any, may be refinanced with other banks or broker-dealers.", "item4_transaction_purpose": "We are filing this Twenty-Fourth Amendment to report that members of the Group have purchased shares of Common Stock.\n\nWe believe management and the directors have ill served the Issuer's shareholders, and the Issuer should explore all possibilities to maximize shareholder value.\n\nOur nominees for election as directors at the Issuer's annual meetings from 2021 through 2026 were not elected. Subsequent to the 2022 annual meeting, the Board of Governors of the Federal Reserve notified us that it would not object to our request to purchase additional shares of the Issuer up to 14.9%, and subsequent to the 2024 annual meeting, the Board of Governors of the Federal Reserve notified us that it would not object to our request to purchase additional shares of the Issuer up to 19.9%.\n\nOn May 31, 2022, pursuant to Mississippi law, we served a demand for inspection of the Issuer's books and records related to, among other things, reported losses and the employee(s) responsible for the losses associated with the Issuer's securities portfolio. When the Issuer refused to permit the inspection of its books and records, we filed, on July 22, 2022, a complaint in the Chancery Court of Harrison County, Mississippi, to compel the production of those books and records. After four Harrison County judges recused themselves, the Mississippi Supreme Court appointed a retired judge from Hinds County, Mississippi, as Special Chancellor to hear our books and records demand case against the Issuer. On July 18, 2023, the Special Chancellor partially granted our motion for summary judgment and ordered the Issuer to produce most of the records we sought in our books and records demand.\n\nOn June 30, 2023, we demanded that the Issuer pursue a derivative action against its directors for breach of their fiduciary duties for failure to oversee and properly supervise management. On September 29, 2023, we filed a derivative complaint on behalf of the Issuer against the Issuer's directors in the Chancery Court of Harrison County, Mississippi, for breach of fiduciary duty, seeking damages and other remedies. On October 17, 2024, the Court denied the Issuer's directors' motion to dismiss and on December 20, 2024, issued an order allowing us to seek discovery. On January 10, 2025, the Issuer's directors filed an interlocutory appeal, which the Mississippi Supreme Court denied on April 1, 2025. We are seeking compensation to the Issuer from the Issuer's directors for over $50 million in losses to the Issuer's securities portfolio.\n\nOur purpose in acquiring shares of Common Stock of the Issuer is to profit from the appreciation in the market price of the shares of Common Stock through asserting shareholder rights. We do not believe the value of the Issuer's assets is adequately reflected in the current market price of the Issuer's Common Stock.\n\nMembers of the Group may seek to make additional purchases or sales of shares of Common Stock. Except as described in this filing, no member of the Group has any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of Item 4 of Schedule 13D. Members of the Group may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto.\n\nSince 2000, members or affiliates of the Group have taken an 'activist position' in 79 other publicly-traded companies. In each instance, our purpose has been to profit from the appreciation in the market price of the shares we held by asserting shareholder rights. In addition, we believed that the values of the companies' assets were not adequately reflected in the market prices of their shares.\n\nOur actions with respect to such publicly-traded companies are described in Schedule A, attached hereto and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/770460/000092189526001942/0000921895-26-001942-index.html" }, { "accession_no": "0000919574-26-004796", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1839341, "issuer_name": "Core Scientific, Inc.", "issuer_cusip": "21874A106", "securities_class_title": "Common Stock, par value $0.00001 per share", "date_of_event": "2026-07-15", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1839341/000091957426004796/0000919574-26-004796-index.html" }, { "accession_no": "0000919574-26-004789", "submission_type": "SCHEDULE 13D/A", "amendment_no": 44, "issuer_cik": 1869467, "issuer_name": "OceanPal Inc.", "issuer_cusip": "Y6430L178", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment No. 44 is being filed to report that, on (i) as of March 30, 2026, the Reporting Person sold [x] Shares and (ii) on July 31, 2026, the Reporting Persons transferred all of their shares of the Issuer's Series C Preferred Stock to the Issuer for cancellation. As a result of the cancellation of the Series C Preferred Stock and the Reporting Person's prior sales of common stock, the Reporting Person beneficially owns 70,082 Shares, representing approximately 3.74% of the Issuer's outstanding common stock, and no longer beneficially owns any shares of the Issuer's Series C Preferred Stock.\n\nExcept as described herein, the Reporting Persons have no present plans or proposals that relate to or would result in any of the matters set forth in paragraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1869467/000091957426004789/0000919574-26-004789-index.html" }, { "accession_no": "0000919574-26-004788", "submission_type": "SCHEDULE 13D/A", "amendment_no": 18, "issuer_cik": 1869467, "issuer_name": "OceanPal Inc.", "issuer_cusip": "Y6430L178", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": "On December 1, 2025, the Reporting Persons sold all his shares of Series D Preferred Stock to the Issuer pursuant to a promissory note. On July 31, 2026, the Reporting Person transferred all his Series C Preferred Stock to the Issuer for cancellation. Following such transactions, the Reporting Person no longer beneficially owns any Series C Preferred Stock or Series D Preferred Stock of the Issuer.\n\nThe Reporting Person is a member of the Board of Directors and a member of the Executive Committee of the Issuer and may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nThe Reporting Person acquired the Shares in connection with the Issuer's equity awards and the Series D Preferred Stock in connection with the Distributions and the Share Purchase Agreement as described herein solely for investment purposes. The Reporting Person, at any time and from time to time, may acquire additional Shares, including in connection with the provision of any services or other strategic transactions with the Issuer, or dispose of any or all of the Shares they then own depending upon an ongoing evaluation of their investment in the Shares, prevailing market conditions, other investment opportunities, other investment considerations and/or other factors. The Reporting Person further reserves the right to act in concert with any other shareholders of the Issuer, or other persons, for a common purpose should they determine to do so, and/or to recommend courses of action to the Issuer's management, the Issuer's Board of Directors, the Issuer's shareholders and others. In addition, the Reporting Person is in contact with members of the Issuer's management, the other members of the Issuer's Board of Directors, other significant shareholders and others regarding alternatives that the Issuer could employ to increase shareholder value.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1869467/000091957426004788/0000919574-26-004788-index.html" }, { "accession_no": "0000919574-26-004787", "submission_type": "SCHEDULE 13D/A", "amendment_no": 24, "issuer_cik": 1869467, "issuer_name": "OceanPal Inc.", "issuer_cusip": "Y6430L178", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment No. 24 is being filed to report that, on July 31, 2026, the Reporting Persons transferred all of their shares of the Issuer's Series C Preferred Stock to the Issuer for cancellation. As of March 19, 2026, the Reporting Persons sold all Shares they owned of the Company. As a result of such transaction, the Reporting Persons no longer beneficially own any securities of the Issuer.\n\nExcept as described herein, the Reporting Persons have no present plans or proposals that relate to or would result in any of the matters set forth in paragraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1869467/000091957426004787/0000919574-26-004787-index.html" }, { "accession_no": "0000902664-26-003314", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 885508, "issuer_name": "Stratus Properties Inc.", "issuer_cusip": "863167201", "securities_class_title": "Common stock, $0.01 par value", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/885508/000090266426003314/0000902664-26-003314-index.html" }, { "accession_no": "0000315066-26-001481", "submission_type": "SCHEDULE 13D/A", "amendment_no": 22, "issuer_cik": 1949594, "issuer_name": "Fidelity Multi-Strategy Credit Fund", "issuer_cusip": "31625F304", "securities_class_title": "Common Shares", "date_of_event": "2026-07-31", "filed_date": "2026-08-04", "item3_funds_source": "Since its most recent Schedule 13D filing, the FMR Reporters acquired 54,603.53 Common Shares pursuant to the DRP.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1949594/000031506626001481/0000315066-26-001481-index.html" }, { "accession_no": "0002148029-26-000004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1342958, "issuer_name": "KUSTOM ENTERTAINMENT, INC.", "issuer_cusip": "25382T606", "securities_class_title": "Common Stock", "date_of_event": "2026-07-31", "filed_date": "2026-08-03", "item3_funds_source": "Personal Funds", "item4_transaction_purpose": "I sold my entire position", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1342958/000214802926000004/0002148029-26-000004-index.html" }, { "accession_no": "0002148029-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1342958, "issuer_name": "KUSTOM ENTERTAINMENT, INC.", "issuer_cusip": "25382T606", "securities_class_title": "Common Stock", "date_of_event": "2026-07-29", "filed_date": "2026-08-03", "item3_funds_source": "Personal Funds", "item4_transaction_purpose": "I sold 20,000 shares", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1342958/000214802926000003/0002148029-26-000003-index.html" }, { "accession_no": "0001753926-26-001299", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1787740, "issuer_name": "Valion Bio, Inc.", "issuer_cusip": "888705308", "securities_class_title": "Common Stock", "date_of_event": "2026-07-28", "filed_date": "2026-08-03", "item3_funds_source": "On December 9, 2025, the Issuer entered into a Securities Purchase Agreement (the \"Note Purchase Agreement\") with 3i, LP. Pursuant to the Note Purchase Agreement, on December 10, 2025, the Issuer issued to 3i, LP the Note and Warrants to purchase up to an aggregate of 4,553,213 shares of Common Stock at an exercise price of $2.2310 per share for an aggregate purchase price of $16,253,147.10 (the \"Note Offering\").\n\nOn December 9, 2025, the Issuer entered into a Securities Purchase Agreement (the \"Series C Preferred Purchase Agreement\") with certain institutional investors including 3i, LP (collectively, the \"Series C Preferred Offering Investors\"), pursuant to which, subject to the conditions set forth therein, the Issuer agreed to sell to the Series C Preferred Offering Investors, and the Series C Preferred Offering Investors agreed to purchase from the Issuer, up to 75,000 shares of Series C Preferred Stock and Warrants to purchase up to a number of shares of Common Stock equal to 50% of the shares of Common Stock issuable upon conversion in full of the shares of Series C Preferred Stock issued in connection with the same tranche closing (each, a \"Tranche Closing\") for an aggregate purchase price of up to $75,000,000 (the \"Series C Preferred Offering\") in several Tranche Closings. Pursuant to the Series C Preferred Purchase Agreement, on December 10, 2025, the Issuer issued to 3i, LP 6,000 shares of Series C Preferred Stock and Warrants to purchase up to 1,452,264 shares of Common Stock at an exercise price of $2.2310 per share for an aggregate purchase price of $6,000,000.\n\nOn April 29, 2025, the Issuer entered into a Securities Purchase Agreement (as subsequent assigned and amended, the \"Series B Preferred Purchase Agreement\") with an investor (the \"Investor\"), pursuant to which, subject to the conditions set forth therein, the Issuer agreed to sell to the Investor, and the Investor agreed to purchase from the Issuer, in several Tranche Closings, up to 8,400 shares of Series B Preferred Stock and Warrants to purchase up to a number of shares of Common Stock equal to 30% of the shares of Common Stock issuable upon conversion in full of the shares of Series B Preferred Stock issued at the same Tranche Closing, for an aggregate purchase price of up to $8,400,000. On December 9, 2025, the Investor assigned the Series B Preferred Purchase Agreement, including all of its rights and obligations thereunder, to 3i, LP, and 3i, LP purchased all of the then-outstanding shares of Series B Preferred Stock and Warrants from the Investor, consisting of 3,340 shares of Series B Preferred Stock and Warrants to purchase 509,897 shares of Common Stock at varying exercise prices per share (which exercise prices were adjusted to $0.61628 on June 17, 2026), for an aggregate purchase price of $4,442,000. Also on December 9, 2025, the Issuer and 3i, LP amended certain terms of the Series B Preferred\n\nPurchase Agreement. On June 17, 2026, pursuant to the Series B Preferred Purchase Agreement, the Issuer issued to 3i, LP (a) 250 shares of Series B Preferred Stock at $1,000 per share, and (b) Warrants to purchase 156,026 shares of Common Stock at an exercise price per share of $0.61628 for an aggregate purchase price of $250,000.\n\nOn February 6, 2026, the Issuer entered into a Common Stock Purchase Agreement (the \"ELOC Purchase Agreement\") with Tumim Stone, pursuant to which, the Issuer has the right, but not the obligation, to sell to Tumim Stone up to $50,000,000 of newly issued shares of Common Stock from time to time at the Issuer's sole discretion by delivering an irrevocable written notice to Tumim Stone at a price determined pursuant to a formula set forth in the ELOC Purchase Agreement. Also on February 6, 2026, the Issuer and Tumim Stone entered into a Registration Rights Agreement, pursuant to which the Issuer agreed to file with the SEC one or more registration statements to register under the Securities Act of 1933, as amended (the \"Securities Act\"), the offer and resale by Tumim Stone of all of the shares that may be issued by the Issuer to Tumim Stone from time to time under the ELOC Purchase Agreement. Tumim Stone's obligation to purchase shares of Common Stock pursuant to the ELOC Purchase Agreement is subject to such a registration statement being filed with the SEC and declared effective. On April 13, 2026, the Issuer filed such a registration statement, on Form S-1, with the SEC registering the resale by Tumim Stone of 956,222 shares of Common Stock issued or issuable pursuant to the ELOC Purchase Agreement, which registration statement was declared effective by the SEC on April 15, 2026. Pursuant of the ELOC Purchase Agreement, as of July 28, 2026, 129,000 shares of Common Stock have been issued and sold to Tumim Stone (excluding 437,012 shares of Common Stock issued to Tumin Stone upon exercises of the pre-funded warrants issued to Tumim Stone as a commitment fee under the ELOC Purchase Agreement) for an average price of $0.5355 per share, and 526,770 shares of Common Stock have been resold by Tumim Stone at an average price of $0.7104 per share.\n\nThe source of funds used for the purchase of the Issuer's securities by 3i, LP and Tumim Stone was the working capital of 3i, LP and Tumim Stone, respectively.", "item4_transaction_purpose": "The information reported in Item 3 is incorporated by reference into this Item 4.\n\nAll of the shares of Common Stock that may be deemed to be beneficially owned by the Reporting Persons, as reported herein, are held for investment purposes. Each Reporting Person may from time to time engage in discussions with the Issuer, its directors and officers, other stockholders of the Issuer and other persons on matters that relate to the management, operations, business, assets, capitalization, financial condition, strategic plans, governance and the future of the Issuer and/or its subsidiaries. Based upon such review and discussions, as well as general economic, market and industry conditions and prospects and each Reporting Person's liquidity requirements and investment considerations, the Reporting Persons may consider additional courses of action, which may include, in the future, formulating plans or proposals regarding the Issuer and/or its subsidiaries, including possible future plans or proposals concerning events or transactions of the kind described in Item 4(a) through (j) of Schedule 13D. On July 28, 2026, 3i, LP delivered a letter (dated July 29, 2026) to the Issuer's board of directors, a copy of which is attached hereto as Exhibit 2 and is incorporated herein by reference. In the letter, 3i, LP demanded the immediate removal of Michael Handley as the chief executive officer of the Issuer and the commencement of the search for his replacement. Except as otherwise described herein and the July 29, 2026 letter to the Issuer's board of directors, the Reporting Persons currently have no plan(s) or proposal(s) that relate to, or would result in, any of the events or transactions described in Item 4(a) through (j) of Schedule 13D, although each Reporting Person reserves the right, at any time and from time to time, to review or reconsider its or his position and/or change its or his purpose and/or formulate plans or proposals with respect thereto.\n\nIn addition, each Reporting Person reserves the right to increase or decrease its or his position in the Issuer through, among other things, the purchase or sale of securities of the Issuer on the open market or in private transactions or otherwise (including the continued purchases of shares of Common Stock by Tumim Stone pursuant to the ELOC Purchase Agreement), on such terms and at such times as such Reporting Person may deem advisable. Each Reporting Person reserves the right to change its or his intention with respect to any and all matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1787740/000175392626001299/0001753926-26-001299-index.html" }, { "accession_no": "0001493152-26-035792", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1964314, "issuer_name": "JBDI Holdings Ltd", "issuer_cusip": "G50883209", "securities_class_title": "Ordinary Shares, par value $0.001", "date_of_event": "2024-08-06", "filed_date": "2026-08-03", "item3_funds_source": "On October 10, 2022, the Reporting Person, as an officer and director of E U Holdings Pte. Ltd., and others entered into a sale and purchase agreement pursuant to which the Reporting Person and others transferred its entire shareholding interest in Jurong Barrels to JBDI. The consideration is settled by JBDI allotting and issuing 1 Ordinary Share to the Reporting Person. On May 30, 2023, the Reporting Person, as an officer and director of E U Holdings Pte. Ltd., and others entered into a reorganization agreement pursuant to which the Reporting Person and others transferred his 490 Ordinary Shares into the Issuer. The consideration was the Issuer issuing 4,704,179 Ordinary Shares to the Reporting Person. Upon completion of the reorganization, the Reporting Person, through E U Holdings Pte. Ltd. Indirectly owns 4,704,179 Ordinary Shares of the Issuer. On February 7, 2024, for purposes of the initial public offering, the Issuer effected a 1:2 share forward stock split resulting in the Reporting Person owning 9,408,368 Ordinary Shares of the Issuer. The Reporting Person subsequently sold 299,998 Ordinary Shares pursuant to a registration of resale shares during the initial public offering resulting in 9,108,360 Ordinary Shares held of record by E U Holdings Pte. Ltd. The Issuer effected a reverse stock split June 29, 2026 resulting in the current ownership of 3,947,910 ordinary shares by E U Holdings Pte. Ltd.", "item4_transaction_purpose": "The Reporting Person acquired its 3,947,910 shares of the Issuer pursuant to the reorganization and forward stock split described in Item 3, above. The Reporting Person does not have any plans or proposals that relate to items (a) through (j) above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1964314/000149315226035792/0001493152-26-035792-index.html" }, { "accession_no": "0001493152-26-035789", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1964314, "issuer_name": "JBDI Holdings Ltd", "issuer_cusip": "G50883209", "securities_class_title": "Ordinary Shares, par value $0.001", "date_of_event": "2024-08-06", "filed_date": "2026-08-03", "item3_funds_source": "On October 10, 2022, the Reporting Person, as an officer and director of E U Holdings Pte. Ltd., and others entered into a sale and purchase agreement pursuant to which the Reporting Person and others transferred its entire shareholding interest in Jurong Barrels to JBDI. The consideration is settled by JBDI allotting and issuing 1 Ordinary Share to E U Holdings Pte. Ltd. On May 30, 2023, the Reporting Person, as an officer and director of E U Holdings Pte. Ltd., and others entered into a reorganization agreement pursuant to which the Reporting Person and others transferred his 490 Ordinary Shares into the Issuer. The consideration was the Issuer issuing 4,704,179 Ordinary Shares to E U Holdings Pte. Ltd.. Upon completion of the reorganization, the Reporting Person, through E U Holdings Pte. Ltd. Indirectly owns 4,704,179 Ordinary Shares of the Issuer. On February 7, 2024, for purposes of the initial public offering, the Issuer effected a 1:2 share forward stock split resulting in E U Holdings Pte. Ltd. owning 9,408,368 Ordinary Shares of the Issuer. The Reporting Person subsequently sold 299,998 Ordinary Shares pursuant to a registration of resale shares during the initial public offering resulting in 9,108,360 Ordinary Shares held of record by E U Holdings Pte. Ltd. The Issuer effected a reverse stock split June 29, 2026 resulting in the current ownership of 3,947,910 ordinary shares held of record by E U Holdings Pte. Ltd.", "item4_transaction_purpose": "The Reporting Person acquired its 3,947,910 shares of the Issuer pursuant to the reorganization and forward stock split described in Item 3, above. The Reporting Person does not have any plans or proposals that relate to items (a) through (j) above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1964314/000149315226035789/0001493152-26-035789-index.html" }, { "accession_no": "0001213900-26-084729", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2133136, "issuer_name": "Market Technology Acquisition Corp", "issuer_cusip": "G58A7W104", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-07-27", "filed_date": "2026-08-03", "item3_funds_source": "The aggregate purchase price for the Ordinary Shares currently beneficially owned by the Reporting Persons was $4,550,000. The source of these funds was the working capital of the Sponsor.", "item4_transaction_purpose": "In connection with the organization of the Issuer, on April 28, 2026, 7,666,667 Class B Ordinary Shares (the \"Founder Shares\") were purchased by the Sponsor for the amount of $25,000, pursuant to a Securities Subscription Agreement, dated as of April 28, 2026, by and between the Sponsor and the Issuer (the \"Founder Share Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D which information is incorporated herein by reference. On July 27, 2026, simultaneously with the consummation of the Issuer's Initial Public Offering (the \"IPO\"), 833,334 Founder Shares were forfeited as a result of the underwriters of the IPO exercising some but not all of their over-allotment option and as a result, the Sponsor holds 6,833,333 Founder Shares. On July 23, 2026, the Sponsor purchased 452,500 units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Units Purchase Agreement, dated as of July 23, 2026, by and between the Issuer and the Sponsor (the \"Placement Units Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference. Each Placement Unit consists of one Class A Ordinary Share and one-half of one redeemable warrant, with each whole warrant exercisable into one Class A ordinary share at an exercise price of $11.50, subject to adjustment, commencing 30 days after the consummation of the Issuer's initial business combination (as described more fully in the Issuer's Final Prospectus dated July 23, 2026). The Ordinary Shares owned by the Reporting Persons have been acquired for investment purposes. The Reporting Persons may make further acquisitions of Ordinary Shares from time to time and, subject to certain restrictions, may dispose of any or all of the Ordinary Shares held by the Reporting Persons at any time depending on an ongoing evaluation of their investment in such securities, prevailing market conditions, other investment opportunities and other factors. However, certain of such shares are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed business combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purposes or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2133136/000121390026084729/0001213900-26-084729-index.html" }, { "accession_no": "0001213900-26-084715", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1566826, "issuer_name": "LogicMark, Inc.", "issuer_cusip": "67091J800", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2025-11-03", "filed_date": "2026-08-03", "item3_funds_source": "The shares of Common Stock reported in this Schedule 13D were granted to the Reporting Person pursuant to the Issuer's stock incentive plans, employment agreements and award agreements with the Reporting Person as partial compensation for her services as Chief Executive Officer and President of the Issuer. The Reporting Person holds an aggregate of 74,965 shares of Common Stock as a result of grants made by the Issuer between June 2021 and November 2025 (as adjusted for all applicable reverse stock splits).\n\nAs described in Item 6 of this Schedule 13D, on July 27, 2026, the Issuer entered into an amended and restated executive employment agreement with the Reporting Person (the \"Employment Agreement\"), which supersedes all prior employment agreements between the Issuer and the Reporting Person. Prior to the Employment Agreement, the Reporting Person was party to an executive employment agreement with the Issuer, dated November 2, 2022, the term of which was subsequently extended by such parties on May 15, 2025.\n\nAmong other terms and conditions, the Employment Agreement provides that the Reporting Person is required to be issued shares of Common Stock from time to time such that the aggregate number of shares of Common Stock held by the Reporting Person equals not less than six percent (6%) of the Issuer's issued and outstanding shares of Common Stock at all times.", "item4_transaction_purpose": "The Reporting Person is the President, Chief Executive Officer and a director of the Issuer. The Reporting Person holds the shares of Common stock reported in this Schedule 13D in connection with her services as an executive officer and director of the Issuer. See also the comment to Item 1 of this Schedule 13D and response to Item 3 of this Schedule 13D.\n\nThe Issuer entered into an Agreement and Plan of Merger (the \"Merger Agreement\"), dated as of July 31, 2026, with Langham Project, LLC, a Nevada limited liability company (\"Parent\"), and Langham Merger Sub, Inc., a Nevada corporation and wholly owned subsidiary of Parent (\"Merger Sub\"), pursuant to which Merger Sub will merge with and into the Issuer, with the Issuer surviving as a wholly owned subsidiary of Parent (the \"Merger\").\n\nPursuant to the Merger Agreement, among other things, at the effective time of the Merger, each share of Common Stock issued and outstanding immediately prior to such time will be cancelled and automatically converted into the right to receive cash merger consideration as set forth in the Merger Agreement. Reference is made to the Current Report on Form 8-Ks filed by the Issuer with the U.S. Securities and Exchange Commission (\"SEC\") on August 3, 2026, which further describes the Merger, changes to the Issuer's capitalization and corporate structure, and the anticipated termination of the registration and quotation of the Common Stock following consummation of the Merger. Such disclosure is incorporated herein by reference to the extent relevant to Items 4(a) through 4(j) of Schedule 13D.\n\nThe Reporting Person, in her capacity as the President and Chief Executive Officer and a member of the board of directors of the Issuer (the \"Board\"), participated in the approval of the Merger Agreement and, together with the other members of the Board, has approved and intends to recommend that the Issuer's shareholders vote \"FOR\" the proposal to approve and adopt the Merger Agreement, the Merger and the other transactions contemplated thereby. The Reporting Person also intends to vote, or direct the vote of, all of her shares of Common Stock in favor of the approval and adoption of the Merger Agreement, the Merger and such other transactions.\n\nIn addition to the above-referenced anticipated Merger, from time to time, subject to restrictions that may be applicable by virtue of the Reporting Person's role as President, Chief Executive Officer, a member of the Board and a shareholder of the Issuer, the Reporting Person may, via open market transactions or otherwise, acquire additional shares of Common Stock or determine to dispose of shares of Common Stock beneficially owned by her. The Reporting Person intends to review her investment in the Issuer on a continuing basis and, upon further developments, including with respect to the anticipated Merger, other investment and business opportunities available to her, general stock market and economic conditions, and tax considerations, may change her investment in the Issuer. The Reporting Person will periodically consider such sales opportunistically based on such factors and, as a result, the ultimate number of shares of Common Stock that may be acquired or disposed of, if any, is not currently ascertainable. Without limiting the generality of the foregoing, and notwithstanding the proposed Merger transaction, and also by virtue of such roles that the Reporting Person has with the Issuer, the Reporting Person reserves the right (in each case, subject to any applicable restrictions under law or contract and subject to market conditions, as applicable) to, at any time or from time to time, encourage or cause (including, without limitation, through communications with directors, management, and existing or prospective security holders, investors or lenders, of the Issuer, existing or potential strategic partners, industry analysts and other investment and financing professionals) the Issuer (A) to explore, consider and/or effect public or private offerings of the Issuer's securities, sales or acquisitions of assets or businesses, or other extraordinary corporate transactions, (B) to issue securities to third parties for services rendered or for other appropriate consideration, (C) to change the Board, including changing the number or term of Issuer director or filling existing vacancies, (D) to change the Issuer's capitalization or dividend policies, and (E) to modify the Issuer's articles of incorporation, bylaws or other organizational documents, each as amended to date, including taking other actions which may impede the acquisition of control of the Issuer by any third party (including, without limitation, with respect to the anticipated Merger). The Reporting Person has, in connection with the Merger, and intends to initiate, or continue to engage in, communications with one or more other shareholders or other security holders of the Issuer, one or more officers of the Issuer, one or more members of the Board and/or one or more representatives of the Issuer regarding ideas that, if effected, may relate to or result in any of the matters listed in paragraphs (a) through (j) of Schedule 13D. The Reporting Person intends to continue to conduct a detailed review of the Issuer's business, operations, capitalization and management on an ongoing basis and consider and determine what, if any, changes would be necessary, appropriate and desirable in light of the circumstances which then exist.\n\nExcept as described above, the Reporting Person does not currently have any plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1566826/000121390026084715/0001213900-26-084715-index.html" }, { "accession_no": "0001193125-26-330833", "submission_type": "SCHEDULE 13D/A", "amendment_no": 24, "issuer_cik": 1397187, "issuer_name": "lululemon athletica inc.", "issuer_cusip": "550021109", "securities_class_title": "Common Stock", "date_of_event": "2026-07-31", "filed_date": "2026-08-03", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1397187/000119312526330833/0001193125-26-330833-index.html" }, { "accession_no": "0001193125-26-330596", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1314727, "issuer_name": "Sonos, Inc.", "issuer_cusip": "83570H108", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-07-28", "filed_date": "2026-08-03", "item3_funds_source": "The source and amount of funds used in purchasing the Common Stock by the Reporting Persons and a separate account investment advisory client of CCM (the \"Separate Account\") were as follows:\n\nPurchaser Source of Fund Amounts\nCCP Working Capital $171,513,406.75\nCCC IV Working Capital $32,376,075.46\nSeparate Account Working Capital $38,313,508.49", "item4_transaction_purpose": "The Reporting Persons acquired the Common Stock for investment purposes, and such purposes were made in the Reporting Persons' ordinary course of business. In pursuing such investment purposes, the Reporting Persons may further purchase, hold, vote, trade, dispose or otherwise deal in the Common Stock at times, and in such manner (including pursuant to hedging transactions), as they deem advisable to benefit from changes in market prices of the Common Stock, changes in the Issuer's operations, business strategy or prospects, or from a sale or merger of the Issuer and evaluate plans and proposals for potential extraordinary transactions involving the Issuer such as potential business combinations, asset sales and financing transactions. To evaluate such alternatives, the Reporting Persons routinely will monitor the Issuer's operations, prospects, business development, management, competitive and strategic matters, capital structure, and prevailing market conditions, as well as alternative investment opportunities, liquidity requirements of the Reporting Persons and other investment considerations. Consistent with their investment research methods and evaluation criteria, the Reporting Persons may discuss such matters with management or directors of the Issuer, other shareholders, industry analysts, existing or potential strategic partners or competitors, legal, investment and financing professionals, sources of credit and other investors. Such factors and discussions may materially affect, and result in, the Reporting Persons' modifying their ownership of the Common Stock, exchanging information with the Issuer pursuant to appropriate confidentiality or similar agreements, proposing changes in the Issuer's operations, governance or capitalization, or in proposing one or more of the other actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to formulate other plans and/or make other proposals and take such actions with respect to their investment in the Issuer, including any or all of the actions set forth in paragraphs (a) through (j) of Item 4 of Schedule 13D, or acquire additional Common Stock or dispose of all Common Stock beneficially owned by them, in public market or privately negotiated transactions. The Reporting Persons may at any time reconsider and change their plans or proposals relating to the foregoing.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1314727/000119312526330596/0001193125-26-330596-index.html" }, { "accession_no": "0001178913-26-003747", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 946394, "issuer_name": "Ellomay Capital Ltd.", "issuer_cusip": "M39927120", "securities_class_title": "Ordinary Shares, par value NIS 10.00 per share", "date_of_event": "2026-07-29", "filed_date": "2026-08-03", "item3_funds_source": "This Amendment No. 1 to Schedule 13D (this \"Amendment No. 1\") is being filed jointly by: (i) O.Y. Nofar Energy Ltd., an Israeli company (\"Nofar\"); (ii) Yannay Group Ltd., an Israeli company (\"Yannay Group\"); and (iii) Ofer Yannay (\"Mr. Yannay\"), an individual (each, a \"Reporting Person\" and collectively, the \"Reporting Persons\"), to amend and supplement the Statement of Beneficial Ownership on Schedule 13D originally filed by the Reporting Persons with the SEC on March 11, 2026 (the \"Original Statement\"). Nofar directly holds the ordinary shares, par value NIS 10.00 per share (\"Ordinary Shares\") of Ellomay Capital Ltd. (the \"Issuer\") reported in this Amendment No. 1. Yannay Group is the controlling shareholder of Nofar, holding approximately 24.82% of Nofar's issued and outstanding share capital. Mr. Yannay is the controlling shareholder of Yannay Group, holding 80% of its outstanding share capital, and is therefore the indirect controlling shareholder, and Chief Executive Officer, of Nofar and, by virtue of such control, may be deemed to beneficially own the Ordinary Shares of the Issuer held by Nofar. Mr. Yannay also holds approximately 5.03% of Nofar's issued and outstanding share capital directly. Each of Yannay Group and Mr. Yannay disclaims beneficial ownership over the Ordinary Shares held by Nofar as reported herein except to the extent of its or his (as applicable) pecuniary interest therein.\n\nThis Amendment No. 1 is being filed to report Nofar's acquisition, on July 29, 2026, of an additional 4,022,000 Ordinary Shares (the \"Exchange Shares\"), in the aggregate, constituting approximately 29.2% of the issued and outstanding Ordinary Shares of the Issuer, pursuant to a share exchange transaction (the \"Exchange Transaction\") with ten Israeli qualified investors, in exchange for Nofar's issuance of 1,363,458 newly issued ordinary shares of Nofar, in the aggregate, to those investors, representing an exchange ratio of 0.339 Nofar ordinary shares per Ordinary Share of the Issuer. No cash consideration was paid by Nofar in connection with the acquisition of the Exchange Shares.", "item4_transaction_purpose": "As described in the Original Statement (which remains true currently), the Reporting Persons have acquired Ordinary Shares of the Issuer (including the Exchange Shares) for the purpose of acquiring control of the Issuer and as a long-term investment in the Issuer's business. In connection with the Reporting Persons' original acquisition of Ordinary Shares (as reported in the Original Statement), two directors nominated by Nofar were appointed to the board of directors of the Issuer (the \"Board\").\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on market conditions, the Issuer's business and prospects, and other factors, the Reporting Persons may acquire additional securities of the Issuer (including Ordinary Shares or securities convertible into or exchangeable for Ordinary Shares), or dispose of some or all of the securities held, in the open market, in privately negotiated transactions or otherwise, subject to market conditions and other factors. The Reporting Persons may also engage in discussions with management, the Board, shareholders, or other relevant parties concerning the business, operations, management, governance, or future plans of the Issuer. The Reporting Persons may also have conversations with other interested parties, including industry analysts, other shareholders, existing or potential strategic partners or competitors, and other professionals, regarding, but not limited to, the aforementioned items.\n\nOther than as described above, none of the Reporting Persons has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons may, in their sole discretion and at any time, formulate plans or proposals regarding any such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/946394/000117891326003747/0001178913-26-003747-index.html" }, { "accession_no": "0001104659-26-089960", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1770069, "issuer_name": "MapLight Therapeutics, Inc.", "issuer_cusip": "56565P103", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-07-30", "filed_date": "2026-08-03", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following information:\n\nDuring the last 60 days, the Reporting Persons acquired 1,209,225 Shares of the Issuer in multiple open market transactions for an aggregate purchase price of approximately $15.3 million, including commissions, as further disclosed in Item 5(c) of this Schedule 13D, which is incorporated by reference herein. The source of funds for the purchase of such Shares of the Issuer was the working capital of Catalyst. No part of the purchase price was represented by borrowed funds or other consideration obtained for the purpose of acquiring, holding, trading, or voting the securities, and there were no loans or financing arrangements involved in the transaction, with no other parties providing funds or consideration.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1770069/000110465926089960/0001104659-26-089960-index.html" }, { "accession_no": "0001104659-26-089956", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1793659, "issuer_name": "Rush Street Interactive, Inc.", "issuer_cusip": "782011100", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-07-30", "filed_date": "2026-08-03", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1793659/000110465926089956/0001104659-26-089956-index.html" }, { "accession_no": "0001104659-26-089819", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1829635, "issuer_name": "TransCode Therapeutics, Inc.", "issuer_cusip": "89357L501", "securities_class_title": "Common Stock", "date_of_event": "2026-08-03", "filed_date": "2026-08-03", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of Schedule 13D is hereby amended by adding the below disclosure following the last paragraph of Item 4:\n\nOn August 3, 2026, upon obtaining the consent of a majority of the holders of the Preferred Stock, and the approval of the Company's Board of Directors, the Company filed a Second Amended and Restated Certificate of Designation of Preferences, Rights and Limitations of Series A Non-Voting Convertible Preferred Stock and Series B Non-Voting Convertible Preferred Stock (the \"Second Amended and Restated Certificate of Designation\") with the Secretary of State of the State of Delaware.\n\nThe Second Amended and Restated Certificate of Designation amended Section 6.3.3 of the Amended and Restated Certificate of Designation of Preferences, Rights and Limitations of Series A Non-Voting Convertible Preferred Stock and Series B Non-Voting Convertible Preferred Stock (\"Amended and Restated Certificate of Designation\") to remove the requirement of 60 days' notice to change and/or waive the beneficial ownership limitation set forth in the Amended and Restated Certificate of Designation. The Second Amended and Restated Certificate of Designation effected no other changes to the Amended and Restated Certificate of Designation other than the foregoing, and no additional securities were issued or sold in connection with the filing.\n\nThe foregoing description of the Second Amended and Restated Certificate of Designation does not purport to be complete and is qualified in its entirety by reference to the full text of the Second Amended and Restated Certificate of Designation, a copy of which is filed as Exhibit 99.10 to this Amendment No. 5 and is incorporated herein by reference.\n\nOn August 3, 2026, DEFJ (i) submitted a notice to the Company providing that it waived the Beneficial Ownership Limitation (as defined in the Second Amended and Restated Certificate of Designation) set forth in Section 6.3.3 of the Second Amended and Restated Certificate of Designation, effective as of August 3, 2026, and (ii) submitted an irrevocable conversion notice to the Company providing that DEFJ converts 1,181.3859 shares of Series A Preferred Stock into 11,813,859 shares of Common Stock and 202.0582 shares of Series B Preferred Stock into 2,020,582 shares of Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1829635/000110465926089819/0001104659-26-089819-index.html" }, { "accession_no": "0001104659-26-089607", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1794338, "issuer_name": "International General Insurance Holdings Ltd.", "issuer_cusip": "G4809J106", "securities_class_title": "Common Shares $0.01 par value", "date_of_event": "2025-07-09", "filed_date": "2026-08-03", "item3_funds_source": "Item 3 of the Existing Schedule 13D is hereby amended to include the following after the final paragraph therefore:\n\nAt the time of the filing of Amendment No. 1 on March 2, 2023, the Reporting Person beneficially owned 9,575,138 Common Shares, representing approximately 20.4% of the Issuer's total outstanding Common Shares, based on 46,886,225 Common Shares outstanding as of September 30, 2022, as reported in the Issuer's report on Form 6-K filed with the SEC on January 31, 2023.\n\nSince the filing of Amendment No. 1, the Reporting Person has not acquired any Common Shares of the Issuer.\n\nAs reported in the Issuer's report on Form 6-K filed with the SEC on July 9, 2025, the Issuer had 44,633,099 Common Shares outstanding as of June 25, 2025. As a result of the decrease in the Issuer's total Common Shares outstanding, the Reporting Person's beneficial ownership percentage increased from approximately 20.4% to approximately 21.5%.\n\nThe Reporting Person subsequently disposed of an aggregate of 420,000 Common Shares in open market transactions, as follows: (i) 60,000 Common Shares were sold between May 26-27, 2026, as reported in the Reporting Person's Notice of Proposed Sale of Securities on Form 144 filed with the SEC on June 11, 2026; (ii) 180,000 Common Shares were sold between June 11-12, 2026, as reported in the Reporting Person's Notice of Proposed Sale of Securities on Form 144 filed with the SEC on June 16, 2026; (iii) 7,636 Common Shares were sold on June 15, 2026, as reported in the Reporting Person's Notice of Proposed Sale of Securities on Form 144 filed with the SEC on June 17, 2026; (iv) 92,364 Common Shares were sold between June 18-22, 2026, as reported in the Reporting Person's Notice of Proposed Sale of Securities on Form 144 filed with the SEC on June 22, 2026; and (v) 80,000 Common Shares were sold between June 29-30, 2026, as reported in the Reporting Person's Notice of Proposed Sale of Securities on Form 144 filed with the SEC on June 30, 2026. Following these dispositions, the Reporting Person beneficially owns 9,115,138 Common Shares, representing approximately 21.4% of the Issuer's outstanding Common Shares, based on 42,654,198 Common Shares outstanding as of June 10, 2026, as reported in the Issuer's report on Form 6-K filed with the SEC on June 25, 2026.", "item4_transaction_purpose": "Item 4 of the Existing Schedule 13D is hereby amended to include the following after the final paragraph thereof:\n\nThe Reporting Person acquired the Common Shares for investment purposes and has entered into sales in accordance with its investment strategy. The Reporting Person may sell additional Common Shares from time to time, in open market transactions, in privately negotiated transactions, or otherwise, depending upon prevailing market conditions, the market price of the Common Shares, and such other factors as the Reporting Person may deem relevant. There can be no assurance as to whether, when, or in what amounts any such additional dispositions will be made.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1794338/000110465926089607/0001104659-26-089607-index.html" }, { "accession_no": "0001062993-26-003987", "submission_type": "SCHEDULE 13D/A", "amendment_no": 37, "issuer_cik": 1864843, "issuer_name": "BlackRock ESG Capital Allocation Term Trust", "issuer_cusip": "09262F100", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-07-31", "filed_date": "2026-08-03", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $234,847,146 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1864843/000106299326003987/0001062993-26-003987-index.html" }, { "accession_no": "0001062993-26-003985", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1551047, "issuer_name": "Bluerock Private Real Estate Fund", "issuer_cusip": "000000000", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-07-30", "filed_date": "2026-08-03", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $106,365,405 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "The Reporting Persons acquired the Common Shares to which this Schedule 13D relates in the ordinary course of business for investment purposes because they believe that the Common Shares are undervalued and represent an attractive investment opportunity.\n\nThe Reporting Persons may engage in discussions with management, the Board of Trustees (the \"Board\"), other shareholders of the Issuer and other relevant parties, including representatives of any of the foregoing, concerning the Reporting Persons' investment in the Common Shares and the Issuer, including, without limitation, matters concerning the Issuer's business, operations, board appointments, governance, performance, management, capitalization, trading of the Common Shares at a discount to the Issuer's net asset value and strategic plans and matters relating to the open or closed end nature of the Issuer and timing of any potential liquidation of the Issuer. The Reporting Persons may exchange information with any persons pursuant to appropriate confidentiality or similar agreements or otherwise, work together with any persons pursuant to joint agreements or otherwise, propose changes in the Issuer's business, operations, board appointments, governance, management, capitalization, strategic plans or matters relating to the open or closed end nature of the Issuer or timing of any potential liquidation of the Issuer, or propose or engage in one or more other actions set forth herein.\n\nThe Reporting Persons may also propose or take one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D, including the solicitation of proxies, and may discuss such actions with the Issuer and Issuer's management and the Board, other stockholders of the Issuer and other interested parties. The Reporting Persons may make binding or non-binding shareholder proposals, or may nominate one or more individuals as nominees for election to the Board in connection with their investment in the Common Shares of the Issuer.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the outcome of any discussions referenced above, the Issuer's financial position and strategic direction, actions taken by management or the Board, price levels of the Common Shares, other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, purchasing additional Common Shares or selling some or all of their Common Shares, engaging in short selling of or any hedging or similar transactions with respect to the Common Shares and/or otherwise changing their intention with respect to any and all matters referred to in Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or additional proposals with respect to their investment in the Common Shares.\n\nThe Reporting Persons have not entered into any agreement with any third party to act together for the purpose of acquiring, holding, voting or disposing of the Common Shares reported herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1551047/000106299326003985/0001062993-26-003985-index.html" }, { "accession_no": "0001062993-26-003983", "submission_type": "SCHEDULE 13D/A", "amendment_no": 26, "issuer_cik": 1230869, "issuer_name": "ASA Gold and Precious Metals Limited", "issuer_cusip": "G3156P103", "securities_class_title": "Common Shares, $1 par value", "date_of_event": "2026-07-30", "filed_date": "2026-08-03", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $173,266,631 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "On July 30, 2026, Saba Capital enhanced its proposal to include the retention of a private credit manager as a potential subadviser for the proposed restructured Company (a BDC) to assist with the portfolio management of the BDC.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1230869/000106299326003983/0001062993-26-003983-index.html" }, { "accession_no": "0000921895-26-001927", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 18498, "issuer_name": "GENESCO INC", "issuer_cusip": "371532102", "securities_class_title": "Common Stock, $1.00 par value", "date_of_event": "2026-08-03", "filed_date": "2026-08-03", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares directly owned by Mr. Radoff were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 480,000 Shares directly owned by Mr. Radoff is approximately $13,776,359, including brokerage commissions.\n\nThe Shares purchased by Jumana Capital were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 535,000 Shares directly owned by Jumana Capital is approximately $16,438,218, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/18498/000092189526001927/0000921895-26-001927-index.html" }, { "accession_no": "0000807249-26-000059", "submission_type": "SCHEDULE 13D/A", "amendment_no": 67, "issuer_cik": 69488, "issuer_name": "MYERS INDUSTRIES INC", "issuer_cusip": "628464109", "securities_class_title": "Common Stock", "date_of_event": "2026-07-31", "filed_date": "2026-08-03", "item3_funds_source": null, "item4_transaction_purpose": "The Reporting Persons file the long form Schedule 13D pursuant to Section 13d-1 of the Securities Exchange Act of 1934 (the \"Act\") even though they may be technically eligible to file the short form Schedule G. Because the Reporting Persons may regularly communicate with the Issuer's management, filing the Schedule 13D ensures that these conversations are compliant with the reporting obligations under the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/69488/000080724926000059/0000807249-26-000059-index.html" }, { "accession_no": "0000038777-26-000218", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-07-30", "filed_date": "2026-08-03", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000218/0000038777-26-000218-index.html" }, { "accession_no": "0001999371-26-016673", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1913724, "issuer_name": "TPG Twin Brook Capital Income Fund", "issuer_cusip": "00840T100", "securities_class_title": "Class I common shares of beneficial interest, par value $0.001 per share", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended to include the following:\n\n\"Effective on July 1, 2026, BDC Holdings accepted a $50 million capital contribution from an investor for investment purposes. In connection with such capital contribution, BDC Holdings purchased additional Common Shares from the Issuer in its ongoing public offering. From time to time, to the extent BDC Holdings receives additional capital contributions, BDC Holdings may purchase additional Common Shares.\n\nIn addition, each of Angelo Gordon and BDC Holdings may participate in the Issuer's distribution reinvestment plan (the \"DRIP\") from time to time. Each of Angelo Gordon and BDC Holdings directly holds 1,126.168 Common Shares and 253,608.496 Common Shares, respectively, received upon the reinvestment of distributions pursuant to the DRIP.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1913724/000199937126016673/0001999371-26-016673-index.html" }, { "accession_no": "0001683168-26-005875", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1982444, "issuer_name": "Baird Medical Investment Holdings Ltd", "issuer_cusip": "G0705H103", "securities_class_title": "Ordinary Shares, par value $0.0001 per share", "date_of_event": "2024-10-01", "filed_date": "2026-07-31", "item3_funds_source": "The Ordinary Shares beneficially owned by ExcelFin consist of (i) 2,620,625 shares acquired in connection with the business combination involving the Issuer and ExcelFin Acquisition Corp. (the \"Business Combination\"), including founder or sponsor shares issued to ExcelFin; and (ii) 278,406 shares converted from the aggregate outstanding balance of certain working capital loans provided by ExcelFin and its affiliates at a conversion price of $10.20 per share.\n\nGFCHK acquired 2,464,985 Ordinary Shares in connection with the Business Combination, which includes 564,437 shares subject to an earnout.\n\nGFC acquired 290,000 shares of Series A Preferred Shares of the Issuer in connection with the Business Combination for $2.9 million, which are convertible into 290,000 Ordinary Shares.\n\nThe consideration for each Reporting Person's acquisitions consisted of cash and/or securities contributed prior to or in connection with the Business Combination and related financing transactions.", "item4_transaction_purpose": "The Reporting Persons acquired the securities of the Issuer for investment purposes. Depending on market conditions, the Issuer's financial position and strategic direction, and other factors, each Reporting Person may from time to time acquire additional securities of the Issuer or dispose of some or all of the securities of the Issuer that it beneficially owns, in the open market, in privately negotiated transactions, or otherwise. The Reporting Persons may engage in discussions with the Issuer's management and board of directors regarding the Issuer's business, operations, capitalization, corporate governance, strategic transactions (including financings, asset sales, mergers or other business combinations), and other matters relating to the Issuer. Except as set forth in this Item 4, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions enumerated in Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1982444/000168316826005875/0001683168-26-005875-index.html" }, { "accession_no": "0001628873-26-000051", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1059213, "issuer_name": "Bexil Investment Trust", "issuer_cusip": "25538A204", "securities_class_title": "Shares of Beneficial Interest", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "BSL and BXLC used working capital to acquire Shares. Each of Thomas B. Winmill, William M. Winmill, and Woodworth B. Winmill used personal funds to acquire his directly owned Shares. BXLC, MSG, WCI, the Trust, Thomas B. Winmill, Mark C. Winmill, William M. Winmill and Woodworth B. Winmill may be deemed to have indirect beneficial ownership of Shares held by BSL and BAL, which each of them disclaim.", "item4_transaction_purpose": "This amendment relates to the acquisition of Shares by the Reporting Persons for investment purposes.\n\nNotwithstanding any of the foregoing, the Reporting Persons may at any time modify, change, abandon, or replace, some or all of the foregoing purposes and plans and discussions relating thereto or discontinue or re-continue such modifications, changes, abandonments, or replacements at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1059213/000162887326000051/0001628873-26-000051-index.html" }, { "accession_no": "0001388325-26-000034", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1770069, "issuer_name": "MAPLIGHT THERAPEUTICS, INC.", "issuer_cusip": "56565P103", "securities_class_title": "Voting Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-30", "filed_date": "2026-07-31", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1770069/000138832526000034/0001388325-26-000034-index.html" }, { "accession_no": "0001213900-26-084165", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 16859, "issuer_name": "Scully Royalty Ltd.", "issuer_cusip": "G7T96K107", "securities_class_title": "Common Shares, par value $0.001 per share", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is amended as follows:\n\nThe Reporting Persons previously nominated individuals to stand for election as directors at the Issuer's annual general meeting of shareholders (the \"MILFAM Nominees\") which was scheduled to be held on December 27, 2025 (the \"2025 AGM\"). The Reporting Persons and the Kellogg Parties and certain of their affiliates each submitted proxies to vote in favor of the MILFAM Nominees and against the current directors of the Company. The directors of the Company alleged that the Reporting Persons' notice nominating the MILFAM Nominees had invalidly been delivered out of time. MILFAM applied to the Grand Court of the Cayman Islands for a declaration that the notice had validly been delivered in compliance with the applicable timing requirements, and the Grand Court granted the declaration. Thereafter, the directors purported to postpone the 2025 AGM. MILFAM still attempted to proceed with the 2025 AGM on the basis that MILFAM considered the directors to not have the power to postpone the 2025 AGM but, in the absence of the directors at the 2025 AGM, this became the subject of further litigation in the Grand Court of the Cayman Islands. At the conclusion of that litigation, the Court determined that the Company directors did not have the authority to postpone the 2025 AGM. The Court also determined that the Company directors had exclusive power to appoint a chairman of the meeting and, accordingly, the MILFAM proxyholders did not have the authority to do so and were unable to transact any business at the 2025 AGM. Therefore, there was a failure to appoint any directors and the Company directors remain in office until either their successors are elected or they otherwise cease to hold office. MILFAM is entitled to appeal the Court's decision with respect to the election of the MILFAM Nominees.\n\nThe members of Reporting Group have engaged in discussions for the Reporting Persons to nominate the MILFAM Nominees for election at the next annual general meeting of shareholders held by the Issuer, or for the Reporting Group to requisition an extraordinary general meeting of shareholders that will result in the removal of the current directors (subject to the below concerning Mr. Samuel Morrow) and the election of the MILFAM Nominees. The Reporting Group intends to vote together in favor of the MILFAM Nominees and against the current directors of the Issuer, whether at an annual general meeting of the shareholders or at an extraordinary general meeting of the shareholders, which may involve the Reporting Group delivering proxies to a representative of MILFAM, who will attend such meeting and vote the Reporting Groups' common shares. The Reporting Group expects that the MILFAM Nominees, if elected to the board, would replace the current management of the Issuer. Notwithstanding the foregoing, the Reporting Group is also considering whether to keep Samuel Morrow in his position as director and officer of the Issuer going forward with the election of the MILFAM nominees as directors. The Reporting Group may engage in further discussions regarding the foregoing, including with other shareholders of the Issuer, or take other actions concerning the business, operations, assets, governance, strategy and future plans of the Issuer, which discussions or actions may include proposing or considering one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons, in connection with any such discussions, may enter into one or more confidentiality agreements and may enter into voting agreements, or other similar agreements with the purpose or effect of facilitating such actions. The Reporting Persons may also increase their ownership position in the Issuer, including by purchasing additional common shares or other securities in open market or privately negotiated transactions. The Reporting Persons may change their plans or proposals in the future, including by disengaging from any dialogue with the Kellogg Parties or other shareholders of the Issuer or decreasing their ownership position in the Issuer. Except for the foregoing, the Reporting Persons do not have, as of the date of this filing, any plans or proposals that relate to or would result in any of the actions or events specified in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nOn July 15, 2026, the Issuer filed a complaint in U.S. District Court for the Southern District of Florida, captioned Scully Royalty Ltd. v. IAT Reinsurance Co. Ltd., et. al, No. 2:26-cv-14257 (S.D. Fla.). The following description is qualified in its entirety by reference to the complaint, which contains the Issuer's allegations described below. The Reporting Persons do not adopt or concede any allegation contained in the complaint.\n\nThe complaint alleges that, since November 2025, a \"group\" was formed under Section 13(d) of the Securities Exchange Act of 1934 between IAT Reinsurance Co. Ltd. (\"IAT\"), Peter Kellogg, Charles Kellogg, MILFAM, Neil Subin, Skyler Wichers, Alan Howe and Mark Holliday, for the purpose of helping MILFAM's director nominees obtain control of the Issuer in connection with the disputed 2025 Annual General Meeting. The complaint alleges that \"later events revealed that, on information and belief,\" the defendants formed an undisclosed group to facilitate that attempt to obtain control. Among other things, the complaint alleges that the Chief Financial Officer of a subsidiary of IAT attended multiple meetings and/or had other discussions with MILFAM and MILFAM nominees on behalf of Peter Kellogg from December 2025 into 2026, activities that the Issuer alleges \"strongly suggest\" coordination. The lawsuit alternatively asserts that, even if a group was not formed, MILFAM and Peter Kellogg were required to file updated Schedule 13D disclosures. The complaint further alleges that, by not disclosing the existence of a group, the defendants threaten irreparable harm to the Issuer, warranting an injunction that orders the defendants to file accurate Schedule 13D disclosures.\n\nMILFAM and Messrs. Subin, Wichers, Howe, and Holliday deny that they acted as a group with any of the other defendants during the period addressed in the Issuer's complaint. The Reporting Persons did not decide to act as a group (on a go-forward basis) with any of the other defendants named in the complaint until immediately prior to the filing of this Amendment No. 7. The allegations in the complaint regarding formation of a group are based \"on information and belief\" and concern interactions that current Issuer management believe are \"suggestive\" of group activity. None of the allegations in the complaint supports that a \"group\" was formed for purposes of Section 13(d). The defendants intend to rigorously defend the lawsuit. The current management of the Issuer previously raised these allegations in court proceedings in the Cayman Islands, but abandoned the claims when it became clear following discovery in that litigation that the \"group\" allegations lacked any merit.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/16859/000121390026084165/0001213900-26-084165-index.html" }, { "accession_no": "0001213900-26-083951", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1581804, "issuer_name": "Navigator Holdings Ltd.", "issuer_cusip": "Y62132108", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1581804/000121390026083951/0001213900-26-083951-index.html" }, { "accession_no": "0001193805-26-001013", "submission_type": "SCHEDULE 13D/A", "amendment_no": 17, "issuer_cik": 102109, "issuer_name": "UNIVERSAL SAFETY PRODUCTS, INC.", "issuer_cusip": "913821302", "securities_class_title": "Common Stock", "date_of_event": "2026-07-30", "filed_date": "2026-07-31", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe aggregate purchase price of the 6,200 Shares beneficially owned by A&C that were purchased directly by A&C with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $18,824.80, including brokerage commissions.\n\nThe aggregate purchase price of the 20,000 Shares beneficially owned by Alpha Fund that were purchased directly by Alpha Fund with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $91,770.26, including brokerage commissions.\n\nThe aggregate purchase price of the 385,252 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $1,928,173.42, including brokerage commissions. The aggregate purchase price of the 300,000 Shares beneficially owned by Ault Lending that were purchased by Ault Lending pursuant to the Stock Purchase Agreement (the \"January Purchase Agreement\") with JLA Realty Associates LLC (\"JLA\") dated January 16, 2026, is $1,800,000. Pursuant to the January Purchase Agreement, in consideration of the purchase of such Shares, Ault Lending issued promissory notes in favor of JLA in an aggregate initial principal amount of $1,800,000. The aggregate purchase price of the 340,000 Shares beneficially owned by Ault Lending that were purchased by Ault Lending pursuant to the Stock Purchase Agreement (the \"Purchase Agreement\") with SJC Lending, LLC (\"SJC\") dated April 30, 2026, as amended on May 15, 2026, is $1,955,000. Pursuant to the Purchase Agreement, in consideration of the purchase of such Shares, Ault Lending issued promissory notes in favor of SJC in an aggregate principal amount of $1,955,000.\n\nMr. Ault has been awarded stock options to purchase 50,000 Shares in his capacity as a director of the Issuer, which have a strike price of $3.40 per share, expire on August 26, 2035, and all of which vested on October 20, 2025. The aggregate purchase price of the 2,600 Shares beneficially owned by Mr. Ault that were purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $13,062.60, including brokerage commissions.\n\nMr. Nisser has been awarded stock options to purchase 25,000 Shares in his capacity as a director of the Issuer, which have a strike price of $3.40 per share, expire on August 26, 2035, and all of which vested on October 20, 2025.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/102109/000119380526001013/0001193805-26-001013-index.html" }, { "accession_no": "0001193125-26-328687", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 28823, "issuer_name": "Diebold Nixdorf, Incorporated", "issuer_cusip": "253651202", "securities_class_title": "Common Shares", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/28823/000119312526328687/0001193125-26-328687-index.html" }, { "accession_no": "0001193125-26-328646", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1978024, "issuer_name": "Apollo S3 Private Markets Fund", "issuer_cusip": "000000000", "securities_class_title": "Class I common shares of beneficial interest, no par value per share", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by the following:\n\nThe information set forth in Item 5 hereof is hereby incorporated by reference into this Item 3.\n\nApollo S3 RIC Management, L.P. (the \"Adviser\") is the Issuer's investment adviser and an entity indirectly owned and controlled by APO Corp. (\"APO\"). The Adviser and/or its affiliates may purchase shares on behalf of investors (or deliver to such investors shares from the assets of the Adviser or its affiliates) that contributed capital to the Issuer on or before June 30, 2025, up to 3% of such investors' shares (the \"Adviser Transfer Transactions\"). Apollo Principal Holdings B, L.P. (\"Holdings\"), an affiliate of the Adviser, may from time to time, pursuant to the Adviser Transfer Transactions, transfer shares to such eligible investors for no consideration. Apollo S3 Holdings (ASPM AIV), L.P. (\"ASPM S3 AIV\"), contributed capital to the Issuer and may receive shares pursuant to the Adviser Transfer Transactions.\n\nOn each of October 29, 2025, January 29, 2026, April 29, 2026 and July 29, 2026, pursuant to the Adviser Transfer Transactions, Holdings disposed of 23,543, 23,601.925, 23,622.078 and 23,657.383 Class I Shares, respectively, and ASPM S3 AIV acquired 5,050, 5,062.528, 5,082.814 and 5,095.521 Class I Shares, respectively.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1978024/000119312526328646/0001193125-26-328646-index.html" }, { "accession_no": "0001193125-26-328603", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 34956, "issuer_name": "Tenax Therapeutics, Inc.", "issuer_cusip": "88032L605", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-07-31", "filed_date": "2026-07-31", "item3_funds_source": "This Schedule 13D/A is filed solely as a result of the increase in the number of issued and outstanding shares of the Issuer's Common Stock. As of the date of this filing, the Reporting Person is deemed to own in the aggregate and on a beneficial ownership basis, 11,324 shares of Common Stock and 1,679,282 shares of Common Stock underlying stock options comprised of (i) 1,241,500 shares of Common Stock underlying options with an exercise price of $5.94 per share, (ii) 437,500 shares of Common Stock underlying options with an exercise price of $5.89 per share, (iii) 125 shares of Common Stock underlying options with an exercise price of $992 per share, and (iv) 157 shares of Common Stock underlying options with an exercise price of $3,152 per share. The filing of this Amendment No. 1 represents the final amendment to this Schedule 13D and constitutes an exit filing for the Reporting Person. The Reporting Person reports his beneficial ownership in accordance with the filing requirements of Section 16(a) of the Act.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/34956/000119312526328603/0001193125-26-328603-index.html" }, { "accession_no": "0001193125-26-328063", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2097545, "issuer_name": "AMG BBH Asset-Backed Credit Fund, LLC", "issuer_cusip": "03116N203", "securities_class_title": "Class I, Class M, and Class S Units of Beneficial Interest", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to add the following:\n\nOn July 29, 2026, the Issuer issued 81,859.825 Class S Units to the Reporting Person for an aggregate purchase price of: $897,363.20, or $10.962193 per Class S Unit.\n\nThe Class S Units were purchased using working capital of the Reporting Person.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2097545/000119312526328063/0001193125-26-328063-index.html" }, { "accession_no": "0001193125-26-327564", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1804583, "issuer_name": "Cloopen Group Holding Limited", "issuer_cusip": "18900M203", "securities_class_title": "Class A Ordinary Shares, par value US$0.0001 per share", "date_of_event": "2026-07-30", "filed_date": "2026-07-31", "item3_funds_source": "Item 3 of the Schedule 13D is hereby supplemented by adding the following:\n\nThe descriptions of the New Debt Commitment Letter (as defined below) set forth in Item 4 of this Amendment are incorporated by reference in this Item 3.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented by adding the following:\n\nOn May 22, 2026, for the purpose of streamlining the holding structure in connection with the Transactions, Tencent caused THL H Limited to transfer 1,249,998 Class A Ordinary Shares to Image Frame as an internal reorganization for no consideration (the \"Internal Transfer\"). The Internal Transfer was effected as a private, off-market transaction between affiliates, following which Image Frame directly holds an aggregate of 13,049,682 Class A Ordinary Shares, all of which are subject to the Support Agreement.\n\nOn July 30, 2026, AutumnX Holdings Limited (\"HoldCo\") entered into separate joinder agreements with each of Mirae Asset LP and Mirae Asset Growth 1, respectively (each, a \"Joinder Agreement\" and collectively, the \"Joinder Agreements\"), pursuant to which each of Mirae Asset LP and Mirae Asset Growth 1 acknowledged, agreed and confirmed that it would be deemed to be a party to, and a Rollover Shareholder and a Supporting Shareholder under, the Support Agreement as of the date thereof, and would have all rights and obligations of a Rollover Shareholder and a Supporting Shareholder as if it had executed the Support Agreement.\n\nFor the purposes of the Statement, and where the context so provides, all references to the \"Rollover Shareholders\" shall be deemed to include Mirae Asset LP and Mirae Asset Growth 1.\n\nOn July 30, 2026, SpringX Holdings Limited (\"Parent\") and China Merchants Bank Co., Ltd. Shanghai Branch (the \"New Lender\") entered into a debt commitment letter (the \"New Debt Commitment Letter\").\n\nUnder the terms and subject to the conditions of the New Debt Commitment Letter, the New Lender has committed to underwrite, provide and fund a term loan facility up to RMB 300,000,000 to fund the Transactions.\n\nIn connection with the execution of the New Debt Commitment Letter, on July 31, 2026, Parent delivered a notice to China Minsheng Banking Corp., Ltd. Shanghai Pilot Free Trade Zone Branch (the \"Prior Lender\") terminating the debt commitment letter, dated as of May 12, 2026 (the \"Prior Debt Commitment Letter\"), by and between Parent and the Prior Lender pursuant to the terms thereof.\n\nAs a result of the execution of the New Debt Commitment Letter and the termination of the Prior Debt Commitment Letter, the Transactions will be funded through a combination of (a) cash contributions contemplated by the Equity Commitment Letters, (b) proceeds from a committed term loan facility contemplated by the New Debt Commitment Letter, and (c) the contribution of Ordinary Shares by the Rollover Shareholders to HoldCo pursuant to the Support Agreement (the \"Rollover Shares\"), which Rollover Shares will be cancelled and cease to exist without payment of any consideration or distribution therefor.\n\nThe information disclosed in this Item 4 does not purport to be complete and is qualified in its entirety by reference to the New Debt Commitment Letter, a copy of which is attached hereto as Exhibit 99.20, and which is incorporated herein by reference in its entirety.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1804583/000119312526327564/0001193125-26-327564-index.html" }, { "accession_no": "0001104659-26-089335", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1333274, "issuer_name": "Mercer International Inc.", "issuer_cusip": "588056101", "securities_class_title": "Common Stock, par value $1.00", "date_of_event": "2021-01-19", "filed_date": "2026-07-31", "item3_funds_source": "The 6,300,000 Shares held directly by Goose Creek Capital, Inc. were acquired using its general working capital. The 5,703,000 Shares held directly by IAT Reinsurance Company Ltd. were acquired using its general working capital. The 889,141 Shares held directly by Harco National Insurance Company, and its direct and indirect subsidiaries -- TransGuard Insurance Company of America, Inc. (1,055,000 Shares), Commercial Alliance Insurance Company (310,000 Shares), Acceptance Indemnity Insurance Company (535,000 Shares), Acceptance Casualty Insurance Company (410,000 Shares), Occidental Fire & Casualty Company of North Carolina (510,000 Shares), and Wilshire Insurance Company (630,000 Shares) -- were each acquired using the general working capital of the respective entity.\n\nThe 2,000,000 shares held by Bermuda Partners, the 630,000 Shares held by the Kellogg Family Trust, the 1,000,000 Shares held by the Peter & Cynthia Kellogg Foundation, the 1,360,000 Shares held by the Non-Marital Trust FBO PRK, the 10,0000 Shares held by the Kirkland \"A\" Trust, the 10,000 Shares held by the Kirkland \"B\" Trust, the 35,000 Shares held by the Myth & Barnegat Restoration Society, were each acquired using the general assets of the respective entity. The 1,385,672 Shares held directly by Peter Kellogg and 2,300,000 Shares held directly by Cynthia Kellogg were acquired from their personal funds.\n\nThe 100,005 shares of Class A Voting Preferred Stock of Goose Creek Capital, Inc. held by Charles Kellogg were acquired from Peter Kellogg pursuant to the Stock Purchase Agreement dated December 2, 2019.", "item4_transaction_purpose": "On December 2, 2019, Peter Kellogg (as seller) and Charles Kellogg (as buyer) entered into a Stock Purchase Agreement (the \"Purchase Agreement\") pursuant to which Peter Kellogg sold to Charles Kellogg all 100,005 issued and outstanding shares of Class A Voting Preferred Stock, par value $1.00 per share, of Goose Creek Capital, Inc., representing all of the voting equity of Goose Creek Capital, Inc. The transaction closed on January 19, 2021, at which time, subject to the oral agreement described in Item 6 below, Charles Kellogg indirectly acquired voting control over the Shares held by Goose Creek Capital, Inc. and its direct and indirect subsidiaries, including IAT Reinsurance Company Ltd., IAT Insurance Group, Inc., Harco National Insurance Company, and Harco's direct and indirect insurance subsidiaries. This Amendment also reflects the addition as Reporting Persons of IAT Reinsurance Company Ltd., IAT Insurance Group, Inc., and Harco National Insurance Company, each of which was omitted as a named Reporting Person from prior filings notwithstanding that the Shares held through each such entity were included in the aggregate beneficial ownership figures reported therein.\n\nThe Reporting Persons acquired their respective Shares in the ordinary course of business and/or for investment purposes. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price and availability of Shares, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations, and other factors, may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, purchasing additional Shares in the open market, in privately negotiated transactions, or otherwise; selling all or a portion of the Shares beneficially owned by them in the open market, in privately negotiated transactions, or otherwise; or engaging in discussions with management and/or the board of directors of the Issuer concerning the business, operations, strategy, and/or future plans of the Issuer.\n\nExcept as set forth in this Schedule 13D, none of the Reporting Persons currently has any plans or proposals that relate to or would result in any of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1333274/000110465926089335/0001104659-26-089335-index.html" }, { "accession_no": "0001104659-26-089334", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 829365, "issuer_name": "NAM TAI PROPERTY INC.", "issuer_cusip": "629865205", "securities_class_title": "Common Shares, $0.01 Par Value", "date_of_event": "2021-01-19", "filed_date": "2026-07-31", "item3_funds_source": "The 7,786,252 Shares held directly by IAT Reinsurance Company Ltd. were acquired using its general working capital. The 700,000 Shares held by Harco National Insurance Company and its direct and indirect subsidiaries -- TransGuard Insurance Company of America, Inc. (760,000 Shares), Commercial Alliance Insurance Company (150,000 Shares), Acceptance Indemnity Insurance Company (600,000 Shares), Acceptance Casualty Insurance Company (150,000 Shares), Occidental Fire & Casualty Company of North Carolina (565,000 Shares), and Wilshire Insurance Company (400,000 Shares) -- were each acquired using the general working capital of the respective entity.\n\nThe 200,000 Shares held by the Kellogg Family Trust, the 10,000 Shares held by Myth & Barnegat Restoration Society, the 3,000 Shares held by Kirkland \"A\" Trust, the 1,208,944 Shares held by Cynthia Kellogg, and the Shares held by Bermuda Partners and the other non-Goose Creek entities reflected in the ownership schedule were each acquired using the general assets of the respective holder. The 170,000 Shares held directly by Peter Kellogg were acquired from his personal funds, and the additional 290,264 Shares held directly by Peter Kellogg were received as director compensation.\n\nThe 100,005 shares of Class A Voting Preferred Stock of Goose Creek Capital, Inc. held by Charles Kellogg were acquired from Peter Kellogg pursuant to the Stock Purchase Agreement dated December 2, 2019. The 170,000 Shares held by Bermuda Partners were acquired using the general assets of that entity and are attributed to Charles Kellogg by reason of his ownership and control of Bermuda Partners. The managing member of Bermuda Partners is an LLC that is equally owned by Charles Kellogg and Lee Sadrian.", "item4_transaction_purpose": "On December 2, 2019, Peter Kellogg (as seller) and Charles Kellogg (as buyer) entered into a Stock Purchase Agreement (the \"Purchase Agreement\") pursuant to which Peter Kellogg sold to Charles Kellogg all 100,005 issued and outstanding shares of Class A Voting Preferred Stock, par value $1.00 per share, of Goose Creek Capital, Inc., representing all of the voting equity of Goose Creek Capital, Inc. The transaction closed on January 19, 2021, at which time, subject to the oral agreement described in Item 6 below, Charles Kellogg indirectly acquired voting control over the Shares held by Goose Creek Capital, Inc. and its direct and indirect subsidiaries, including IAT Reinsurance Company Ltd., IAT Insurance Group, Inc., Harco National Insurance Company, and Harco's direct and indirect insurance subsidiaries. This Amendment also reflects the addition as Reporting Persons of IAT Reinsurance Company Ltd., IAT Insurance Group, Inc., and Harco National Insurance Company, each of which was omitted as a named Reporting Person from the prior filings notwithstanding that the Shares held through each such entity were included in the aggregate beneficial ownership figures reported therein.\n\nThe Reporting Persons acquired their respective Shares in the ordinary course of business and/or for investment purposes. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price and availability of Shares, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations, and other factors, may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, purchasing additional Shares in the open market, in privately negotiated transactions, or otherwise; selling all or a portion of the Shares beneficially owned by them in the open market, in privately negotiated transactions, or otherwise; or engaging in discussions with management and/or the board of directors of the Issuer concerning the business, operations, strategy, and/or future plans of the Issuer.\n\nExcept as set forth in this Schedule 13D, none of the Reporting Persons currently has any plans or proposals that relate to or would result in any of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/829365/000110465926089334/0001104659-26-089334-index.html" }, { "accession_no": "0001104659-26-089333", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 16859, "issuer_name": "Scully Royalty Ltd.", "issuer_cusip": "G7T96K107", "securities_class_title": "Common Shares", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "The 200,000 Shares held directly by Goose Creek Capital, Inc. were acquired using its general working capital. The 94,176 Shares held directly by IAT Reinsurance Company Ltd. were acquired using its general working capital. The 889,141 Shares Shares held by Harco National Insurance Company and its direct and indirect subsidiaries -- TransGuard Insurance Company of America, Inc. (730,803 Shares), Commercial Alliance Insurance Company (176,580 Shares), Acceptance Indemnity Insurance Company (306,784 Shares), Acceptance Casualty Insurance Company (283,679 Shares), Occidental Fire & Casualty Company of North Carolina (430,875 Shares), and Wilshire Insurance Company (304,626 Shares) -- were each acquired using the general working capital of the respective entity.\n\nThe 50,041 Shares held by the Kellogg Family Trust, the 637,112 Shares held by the Peter & Cynthia Kellogg Foundation, the 227,994 Shares held by the Non-Marital Trust FBO PRK, the 256,199 Shares held by Peter R. Kellogg Corp., and the 45,000 Shares held by PeterVest Partners were each acquired using the general assets of the respective entity. The 35,000 Shares held directly by Peter R. Kellogg were acquired from his personal funds.\n\nThe 100,005 shares of Class A Voting Preferred Stock of Goose Creek Capital, Inc. held by Charles Kellogg were acquired from Peter Kellogg pursuant to the Stock Purchase Agreement dated December 2, 2019. The 170,000 Shares held by Bermuda Partners were acquired using the general assets of that entity and are attributed to Charles Kellogg by reason of his ownership and control of Bermuda Partners. The managing member of Bermuda Partners is an LLC that is equally owned by Charles Kellogg and Lee Sadrian.", "item4_transaction_purpose": "On December 2, 2019, Peter Kellogg (as seller) and Charles Kellogg (as buyer) entered into a Stock Purchase Agreement (the \"Purchase Agreement\") pursuant to which Peter Kellogg sold to Charles Kellogg all 100,005 issued and outstanding shares of Class A Voting Preferred Stock, par value $1.00 per share, of Goose Creek Capital, Inc., representing all of the voting equity of Goose Creek Capital, Inc. The transaction closed on January 19, 2021, at which time, subject to the oral agreement described in Item 6 below, Charles Kellogg indirectly acquired voting control over the Shares held by Goose Creek Capital, Inc. and its direct and indirect subsidiaries, including IAT Reinsurance Company Ltd., IAT Insurance Group, Inc., Harco National Insurance Company, and Harco's direct and indirect insurance subsidiaries. This Amendment also reflects the addition as Reporting Persons of IAT Reinsurance Company Ltd., IAT Insurance Group, Inc., and Harco National Insurance Company, each of which was omitted as a named Reporting Person from prior filings notwithstanding that the Shares held through each such entity were included in the aggregate beneficial ownership figures reported therein.\n\nThe Reporting Persons acquired their respective Shares in the ordinary course of business and/or for investment purposes. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price and availability of Shares, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations, and other factors, may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, purchasing additional Shares in the open market, in privately negotiated transactions, or otherwise; selling all or a portion of the Shares beneficially owned by them in the open market, in privately negotiated transactions, or otherwise; or engaging in discussions with management and/or the board of directors of the Issuer concerning the business, operations, strategy, and/or future plans of the Issuer.\n\nMILFAM previously nominated individuals to stand for election as directors at the Issuer's annual general meeting of shareholders (the \"MILFAM Nominees\") which was scheduled to be held on December 27, 2025 (the \"2025 AGM\"). The Reporting Persons, certain of their affiliates, and MILFAM each submitted proxies to vote in favor of the MILFAM Nominees and against the current directors of the Issuer. The directors of the Issuer alleged that MILFAMs' notice nominating the MILFAM Nominees had invalidly been delivered out of time. MILFAM applied to the Grand Court of the Cayman Islands for a declaration that the notice had validly been delivered in compliance with the applicable timing requirements, and the Grand Court granted the declaration. Thereafter, the directors purported to postpone the 2025 AGM. MILFAM still attempted to proceed with the 2025 AGM on the basis that MILFAM considered the directors to not have the power to postpone the 2025 AGM but, in the absence of the directors at the 2025 AGM, this became the subject of further litigation in the Grand Court of the Cayman Islands. At the conclusion of that litigation, the Court determined that the Issuer directors did not have the authority to postpone the 2025 AGM. The Court also determined that the Issuer directors had exclusive power to appoint a chairman of the meeting and, accordingly, the MILFAM proxyholders did not have the authority to do so and were unable to transact any business at the 2025 AGM. Therefore, there was a failure to appoint any directors, and the Issuer directors remain in office until either their successors are elected or they otherwise cease to hold office. MILFAM is entitled to appeal the Court's decision with respect to the election of the MILFAM Nominees.\n\nThe members of Reporting Group have engaged in discussions for the Reporting Persons to nominate the MILFAM Nominees for election at the next annual general meeting of shareholders held by the Issuer, or for the Reporting Group to requisition an extraordinary general meeting of shareholders that will result in the removal of the current directors (subject to the below concerning Mr. Samuel Morrow) and the election of the MILFAM Nominees. The Reporting Group intends to vote together in favor of the MILFAM Nominees and against the current directors of the Issuer, whether at an annual general meeting of the shareholders or at an extraordinary general meeting of the shareholders, which may involve the Reporting Group delivering proxies to a representative of MILFAM, who will attend such meeting and vote the Reporting Groups' common shares. The Reporting Group expects that the MILFAM Nominees, if elected to the board, would replace the current management of the Issuer. Notwithstanding the foregoing, the Reporting Group is also considering whether to keep Samuel Morrow in his position as director and officer of the Issuer going forward with the election of the MILFAM nominees as directors. The Reporting Group may engage in further discussions regarding the foregoing, including with other shareholders of the Issuer, or take other actions concerning the business, operations, assets, governance, strategy and future plans of the Issuer, which discussions or actions may include proposing or considering one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons, in connection with any such discussions, may enter into one or more confidentiality agreements and may enter into voting agreements, or other similar agreements with the purpose or effect of facilitating such actions. The Reporting Persons may also increase their ownership position in the Issuer, including by purchasing additional common shares or other securities in open market or privately negotiated transactions. The Reporting Persons may change their plans or proposals in the future, including by disengaging from any dialogue with MILFAM or other shareholders of the Issuer or decreasing their ownership position in the Issuer. Except for the foregoing, the Reporting Persons do not have, as of the date of this filing, any plans or proposals that relate to or would result in any of the actions or events specified in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nOn July 15, 2026, the Issuer filed a complaint in U.S. District Court for the Southern District of Florida, captioned Scully Royalty Ltd. v. IAT Reinsurance Co. Ltd., et. al., No. 2:26-cv-14257 (S.D. Fla.). The following description is qualified in its entirety by reference to the complaint, which contains the Issuer's allegations described below. The Reporting Persons do not adopt or concede any allegation contained in the complaint.\n\nThe complaint alleges that, since November 2025, a \"group\" was formed under Section 13(d) of the Securities Exchange Act of 1934 between IAT Reinsurance Co. Ltd. (\"IAT\"), Peter Kellogg, Charles Kellogg, MILFAM, Neil Subin, Skyler Wichers, Alan Howe and Mark Holliday, for the purpose of helping MILFAM's director nominees obtain control of the Issuer in connection with the disputed 2025 Annual General Meeting. The complaint alleges that \"later events revealed that, on information and belief,\" the defendants formed an undisclosed group to facilitate that attempt to obtain control. Among other things, the complaint alleges that the Chief Financial Officer of a subsidiary of IAT attended multiple meetings and/or had other discussions with MILFAM and MILFAM nominees on behalf of Peter Kellogg from December 2025 into 2026, activities that the Issuer alleges \"strongly suggest\" coordination. The lawsuit alternatively asserts that, even if a group was not formed, MILFAM and Peter Kellogg were required to file updated Schedule 13D disclosures. The complaint further alleges that, by not disclosing the existence of a group, the defendants threaten irreparable harm to the Issuer, warranting an injunction that orders the defendants to file accurate Schedule 13D disclosures.\n\nThe Reporting Persons deny that they acted as a group with any of the other defendants during the period addressed in the Issuer's complaint. The Reporting Persons did not decide to act as a group (on a go-forward basis) with any of the other defendants named in the complaint until immediately prior to the filing of this Amendment No. 5. The allegations in the complaint regarding formation of a group are based \"on information and belief\" and concern interactions that current Issuer management believe are \"suggestive\" of group activity. None of the allegations in the complaint supports that a \"group\" was formed for purposes of Section 13(d). The defendants intend to rigorously defend the lawsuit. The current management of the Issuer previously raised these allegations in court proceedings in the Cayman Islands, but abandoned the claims when it became clear following discovery in that litigation that the \"group\" allegations lacked any merit.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/16859/000110465926089333/0001104659-26-089333-index.html" }, { "accession_no": "0001104659-26-089218", "submission_type": "SCHEDULE 13D/A", "amendment_no": 69, "issuer_cik": 1415404, "issuer_name": "EchoStar CORP", "issuer_cusip": "278768106", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "Item 3 is not applicable to the transaction described in this Amendment No. 69.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nDuring the third quarter of each year, Mr. Ergen receives an annuity amount from the 2025 July GRAT, assuming that the 2025 July GRAT has not expired. The number of shares of Class B Common Stock to be distributed as an annuity payment is based in part on the price of the Class A Common Stock on the distribution date and therefore cannot be calculated until the date of distribution. In addition to shares of Class B Common Stock, the annuity payments (and their associated timing) may include, and be based upon, amounts generated from the holdings of the 2025 July GRAT including, among other things, stock recapitalizations or dividends paid or payable with respect to the shares of Class B Common Stock held by the 2025 July GRAT. On July 29, 2026, the 2025 July GRAT distributed 1,502,440 shares of Class B Common Stock held by the 2025 July GRAT to Mr. Ergen as an annuity payment. Therefore, the 2025 July GRAT has beneficial ownership of 6,497,560 shares of Class B Common Stock. The 2025 July GRAT is scheduled to expire in accordance with its terms on July 29, 2027.\n.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1415404/000110465926089218/0001104659-26-089218-index.html" }, { "accession_no": "0001104659-26-089193", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1631487, "issuer_name": "CollPlant Biotechnologies Ltd", "issuer_cusip": "19516R107", "securities_class_title": "Ordinary Shares, par value NIS 1.5 per share", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "The information concerning the ownership of Ordinary Shares of the Reporting Persons set forth on the cover pages hereto is expressly incorporated by reference herein.", "item4_transaction_purpose": "On June 29, 2026, The Loewenbaum 1992 Trust entered into a Securities Purchase Agreement with the Issuer for the purchase of 1,764,706 Ordinary Shares, Series A Warrants to purchase 1,764,706 Ordinary Shares (the \"Series A Warrants\"), and Series B Warrants to purchase 3,529,412 Ordinary Shares (the \"Series B Warrants\" and, together with the Series A Warrants, the \"Warrants\"). The transaction was completed on July 6, 2026.\n\nThe Series A Warrants have an exercise price of $0.34 per share and are exercisable as of July 29, 2026, the date of shareholder approval (the \"Shareholder Approval Date\"). The Series A Warrants expire on July 16, 2028. The Series B Warrants have an exercise price of $0.34 per share and are exercisable as of the Shareholder Approval Date. The Series B Warrants expire on July 16, 2031. The Loewenbaum 1992 Trust is only permitted to exercise the Warrants up to a beneficial ownership limitation of 24.99% (the \"Beneficial Ownership Limitation\").\n\nThe acquisitions of Ordinary Shares and Warrants by the Reporting Persons was for investment purposes.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price of and other market conditions relating to the Ordinary Shares or other securities of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations, and other factors deemed relevant, may form a plan or proposal to take any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, in which case the Reporting Persons will file an amendment to this Schedule 13D. No Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1631487/000110465926089193/0001104659-26-089193-index.html" }, { "accession_no": "0001011438-26-000451", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1919369, "issuer_name": "VISTA CREDIT STRATEGIC LENDING CORP.", "issuer_cusip": "U9224Y103", "securities_class_title": "Class I Common Stock, par value $0.01", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "Item 3 of this Schedule 13D is supplemented and superseded, as the case may be, as follows:\r\n\r\nThe information in Item 4 is incorporated herein by reference. The shares of Class I Common Stock, par value $0.01 per share (\"Class I Common Stock\") of the Issuer were purchased by Sapphire II with the working capital of Sapphire II.", "item4_transaction_purpose": "Item 4 of this Schedule 13D is supplemented and superseded, as the case may be, as follows:\r\n\r\nOn June 17, 2026, the Issuer delivered a Drawdown Notice to Sapphire II to fund an amount equal to $24,017,081.88 (the \"Ninth Drawdown Amount\") with a Drawdown Date of July 1, 2025. Sapphire II paid the Ninth Drawdown Amount to the Issuer to purchase 1,255,423.591 shares of Class I Common Stock at a per share purchase price of $19.13066, with such price and number of shares of Class I Common Stock being determined by the Issuer on July 29, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1919369/000101143826000451/0001011438-26-000451-index.html" }, { "accession_no": "0000921895-26-001915", "submission_type": "SCHEDULE 13D/A", "amendment_no": 16, "issuer_cik": 918541, "issuer_name": "NN INC", "issuer_cusip": "629337106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "Item 3 is hereby amended and restated in its entirety as follows:\n\nThe securities of the Issuer purchased by each of Legion Partners I, Legion Partners II, Legion Partners XI and Legion Partners Holdings were purchased with working capital.\n\nThe aggregate purchase price of the 3,519,420 Shares owned directly by Legion Partners I is approximately $32,766,696, including brokerage commissions. The aggregate purchase price of the 214,095 Shares underlying certain Warrants (as previously defined and described in Amendment No. 4 to the Schedule 13D) owned directly by Legion Partners I is approximately $155,283, including brokerage commissions. The aggregate purchase price of the 395,144 Shares owned directly by Legion Partners II is approximately $934,088, including brokerage commissions. The aggregate purchase price of the 10,905 Shares underlying certain Warrants owned directly by Legion Partners II is approximately $7,909, including brokerage commissions. The aggregate purchase price of the 858,283 Shares owned directly by Legion Partners XI is approximately $7,483,246, including brokerage commissions. The aggregate purchase price of the 300 Shares owned directly by Legion Partners Holdings is approximately $2,568, including brokerage commissions.\n\nMr. White was awarded 49,079 shares of restricted stock in connection with his service as a director of the Issuer, which vested on July 29, 2026, as further described in Item 4.\n\nBecause Mr. White served on the Board as a representative of Legion Partners Asset Management and the Reporting Persons, he does not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his former Board position. As a result, when the Issuer delivered such securities to Mr. White, Legion Partners Asset Management was entitled to receive all of the economic interests in securities granted to Mr. White by the Issuer in respect of Mr. White's former Board position, for no consideration.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn July 29, 2026, the Reporting Persons entered into a letter agreement with the Issuer (the \"Letter Agreement\"). Pursuant to the Letter Agreement, the Issuer agreed to immediately accelerate the vesting of the 49,079 shares of the Issuer's restricted stock awarded on March 18, 2026 to Mr. White in connection with his service as a director of the Issuer. In addition, the Reporting Persons irrevocably waived their replacement rights pursuant to Section 1(f) of the Cooperation Agreement (as defined and described in Amendment No. 13 to the Schedule 13D) and acknowledged that the Issuer's obligations under Section 1 of the Cooperation Agreement have been terminated.\n\nThe foregoing description of the Letter Agreement does not purport to be complete and is qualified in its entirety by reference to the Letter Agreement, which is attached as Exhibit 99.1 hereto and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/918541/000092189526001915/0000921895-26-001915-index.html" }, { "accession_no": "0000912282-26-001018", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1591956, "issuer_name": "Sphere 3D Corp.", "issuer_cusip": "84841L506", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-07-29", "filed_date": "2026-07-31", "item3_funds_source": "The common shares (the \"Shares\") of Sphere 3D Corp. (the \"Issuer\") purchased by Endeavor Blockchain were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases. The aggregate purchase price of the 500,000 Shares beneficially owned by Endeavor Blockchain is approximately $988,384, excluding brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Person's belief that when purchased, the Shares were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable. The Reporting Persons intend to engage with the Issuer's management and Board of Directors regarding opportunities for value creation.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1591956/000091228226001018/0000912282-26-001018-index.html" }, { "accession_no": "0002148029-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1342958, "issuer_name": "KUSTOM ENTERTAINMENT, INC.", "issuer_cusip": "25382T606", "securities_class_title": "Common Stock", "date_of_event": "2026-07-22", "filed_date": "2026-07-30", "item3_funds_source": null, "item4_transaction_purpose": "passive investment", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1342958/000214802926000002/0002148029-26-000002-index.html" }, { "accession_no": "0002148029-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1342958, "issuer_name": "KUSTOM ENTERTAINMENT, INC.", "issuer_cusip": "25382T606", "securities_class_title": "Common Stock", "date_of_event": "2026-07-22", "filed_date": "2026-07-30", "item3_funds_source": "Personal Funds", "item4_transaction_purpose": "Passive Investment", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1342958/000214802926000001/0002148029-26-000001-index.html" }, { "accession_no": "0001437749-26-025133", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 744825, "issuer_name": "AMERICAN SHARED HOSPITAL SERVICES", "issuer_cusip": "029595105", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-07-22", "filed_date": "2026-07-30", "item3_funds_source": "This Schedule 13D/A No. 10 supplements Item 3 of the Original Schedule 13D by adding the following:\n\nSource of Mr. Stachowiak's Shares. The aggregate number of Common Shares reported as beneficially owned (the \"Total Beneficial Ownership Amount\") by Mr. Stachowiak in this Schedule 13 D/A No. 10 includes the Common Shares acquired or disposed of in the transactions described below that occurred since Mr. Stachowiak's reporting of beneficial ownership in the Schedule 13D/A No. 9.\n\n- On March 26, 2026, Mr. Stachowiak was granted an award of 100,000 RSUs (the \"2026 RSUs\"), of which 25,000 vested on April 1, 2026, and 25,000 will vest on each of July 1, 2026, October 1, 2026, and January 1, 2027. The Total Beneficial Ownership Amount reported for Mr. Stachowiak in this Schedule 13D/A No. 10 includes an aggregate of 50,000 Common Shares underlying 50,000 of the 2026 RSUs that have vested as of the Filing Date, consisting of (i) 25,000 RSUs that vested on April 1, 2026 and (ii) 25,000 RSUs that vested on July 1, 2026. The 50,000 Common Shares underlying the remaining 50,000 RSUs that will vest on October 1, 2026 and January 1, 2027 have been excluded from Mr. Stachowiak's Total Beneficial Ownership Amount in this Schedule 13D/A No. 10 because such RSUs will not vest within 60 days of the Filing Date.\n\n- On June 22, 2026, the Issuer issued a warrant to RCS/TIG exercisable for 220,000 shares of Common Stock (the \"Warrant\"). RCS/TIG may exercise the warrant at any time, and from time to time, on or prior to July 21, 2027 for an exercise price of $1.45. The Warrant was issued in connection with a Promissory Note and Security Agreement dated July 22, 2026, issued by the Issuer to RCS/TIG. The Warrant and the Note were issued by the Issuer pursuant to a Note and Warrant Purchase Agreement dated June 22, 2026 between the Issuer and RCS/TIG.", "item4_transaction_purpose": "This Schedule 13D/A No. 10 amends and restates Item 4 of the Original Schedule 13D as follows:\n\nThe information reported in Item 3 of this Schedule 13D/A No. 10 is incorporated by reference into this Item 4. The Common Shares reported as beneficially owned by the Reporting Persons will be held for investment purposes.\n\nOn July 22, 2026, the Issuer issued the Warrant to RCS/TIG exercisable for 220,000 shares of Common Stock pursuant to a Note and Warrant Purchase Agreement.\n\nMr. Stachowiak is a director and the Executive Chairman of the Board of the Issuer, the owner-president of RCS, the owner-manager of Stachowiak Equity, and the owner-manager of RCS/TIG. Except as set forth herein and to the extent that Mr. Stachowiak may have influence over the corporate activities of the Issuer, including activities that may relate to the items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, the Reporting Persons do not have any present plan or proposal that relate to or would result in any of the matters set forth in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nThe Reporting Persons reserve the right to increase or decrease their position in the Issuer through, among other things, the purchase or sale of securities of the Issuer on the open market or in private transactions or otherwise on such terms and at such times as the Reporting Persons may deem advisable. The Reporting Persons reserve the right to change their intention with respect to any and all matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/744825/000143774926025133/0001437749-26-025133-index.html" }, { "accession_no": "0001213900-26-083036", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1848275, "issuer_name": "TOP Financial Group Ltd", "issuer_cusip": "G989A6102", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-07-12", "filed_date": "2026-07-30", "item3_funds_source": "Ms. Yang is a pre-IPO shareholder holding 20,000,000 Class A Ordinary Shares through Zhong Yang Holdings. Ms. Yang is the majority shareholder and sole director of Zhong Yang Holdings and, as such, may be deemed to exercise sole voting and sole dispositive power over these shares. Zhong Yang funded its purchase using working capital.\n\nOn July 12, 2026, Quantum Leap purchased from certain investors, in privately negotiated transactions, Warrants to purchase an aggregate of 100,000,000 Class A Ordinary Shares, for an aggregate purchase price of US$12,000,000.00. The Warrants had been issued by the Issuer to such investors in a private placement that closed on July 9, 2026. Quantum Leap funded its purchase using working capital.\n\nOn July 19, 2026, Quantum Leap exercised its Warrants in full on a cashless basis pursuant to Section 3(c) of the Warrants, as amended, and, on July 20, 2026, received 84,067,616 Class A Ordinary Shares upon such exercise. No cash consideration was paid by Quantum Leap in connection with the exercise, and no Warrants held by Quantum Leap remain outstanding. The Class A Ordinary Shares received upon exercise are subject to a six-month lock-up period from the date of issuance, during which they may not be offered, sold, transferred, pledged or otherwise disposed of, pursuant to the terms of the Warrants, as amended.", "item4_transaction_purpose": "Ms. Yang is a pre-IPO shareholder of the Issuer holding 20,000,000 Class A Ordinary Shares through Zhong Yang Holdings. Ms. Yang is the majority shareholder and sole director of Zhong Yang Holdings and, as such, may be deemed to exercise sole voting and sole dispositive power over these shares. The Reporting Persons acquired with the intent to exercise control over the Issuer. Quantum Leap, which is wholly owned by Ms. Yang, acquired Warrants to purchase 100,000,000 Class A Ordinary Shares as described in Item 3. On July 19, 2026, Quantum Leap exercised its Warrants in full on a cashless basis pursuant to Section 3(c) of the Warrants, as amended. On July 20, 2026, Quantum Leap received 84,067,616 Class A Ordinary Shares upon the cashless exercise of the Warrants in full, and no Warrants held by Quantum Leap remain outstanding. The Reporting Persons intend to continue actively participating in the Issuer's management and strategic direction. Except as set forth herein, the Reporting Persons do not have any present plans or proposals which relate to or would result in any of the transactions described in paragraphs (a) through (j) of this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1848275/000121390026083036/0001213900-26-083036-index.html" }, { "accession_no": "0001193125-26-326456", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1951067, "issuer_name": "C3is Inc.", "issuer_cusip": "Y18284300", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": "Item 3 of the statement is hereby amended by adding the following paragraphs to the end of Item 3:\n\nThis Amendment No. 12 updates the number of shares of Common Stock beneficially owned by Imperial Petroleum as a result of changes in the conversion price of the 5.0% Series A Cumulative Convertible Perpetual Preferred Stock, par value $0.01 per share (the \"Series A Convertible Preferred Stock\"), of the Issuer. The conversion price has been adjusted to $0.52 pursuant to the terms of the Series A Convertible Preferred Stock as a result of as a result of the Issuer's sale of its Common Stock in a registered offering, as reported in the Issuer's prospectus filed with the Securities and Exchange Commission (the \"SEC\") on July 28, 2026.\n\nThis Amendment No. 12 is also being filed to update the percentage of shares of Common Stock of the Issuer beneficially owned by Imperial Petroleum to reflect dilution in percentage ownership based on the revised total number of outstanding shares of Common Stock following the offering.\n\nHarry N. Vafias, the Chairman, Chief Executive Officer and President of Imperial Petroleum, is the Non-Executive Chairman of the Issuer and is the beneficial owner of 753 shares of Common Stock, including through Arethusa Properties LTD and Flawless Management, Inc., as of the date hereof. John Kostoyannis and George Xiradakis, each a director of Imperial Petroleum, are each a director of the Issuer and own nil and nil shares of Common Stock, respectively, as of the date hereof.", "item4_transaction_purpose": "The Reporting Person involved in the securities described in this Schedule 13D in connection with the Spin-Off Distribution, and intends to review its investment in the Issuer on a continuing basis. The Reporting Person may from time to time acquire additional securities of the Issuer, or retain or sell all or portion of the shares then held by the Reporting Person, in the open market, block trades, underwritten public offerings or privately negotiated transactions. Any actions the Reporting Person might undertake with respect to its investment in the Issuer may be made at any time and from time to time and will be dependent upon the Reporting Person's review of numerous factors, including, but not limited to: ongoing evaluation of the Issuer's business, financial condition, operations, prospects and strategic alternatives; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; tax considerations; liquidity of the Issuer's securities; and other factors and future developments. Mr. Vafias serves as the Non-Executive Chairman of the Issuer and John Kostoyannis and George Xiradakis each serve as a director of the Issuer, other shareholders of the Issuer and other relevant parties, which discussions may include matters ranging from the operations and conduct of the Issuer's business to considering or exploring extraordinary corporate transactions including the events listed in Item 4(a) through 4(j) of Schedue 13D. In connection with these discussions, the Reporting Person may, either directly or through one or more affiliates, determine to take any available course of action or to take no course of action and may at any time and from time to time take steps to further or implement such course of action, including any of the events listed in Item 4(a) through 4(j) of Schedule 13D. Any action or actions the Reporting Person may undertake with respect to its investment in the Issuer or the operations and conduct of the Issuer's business will be dependent upon the Reporting Person's review of numerous factors, including those listed above, and the Reporting Person specifically reserves the right to change its intentions, or to formulate plans and proposals, with respect to any or all of the matters described in this paragraph, subject to applicable law and regulations.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1951067/000119312526326456/0001193125-26-326456-index.html" }, { "accession_no": "0001193125-26-326369", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1806201, "issuer_name": "OPEN LENDING CORPORATION", "issuer_cusip": "68373J104", "securities_class_title": "COMMON STOCK, $0.01 PAR VALUE PER SHARE", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nAgreement and Plan of Merger\n\nAs previously disclosed, on June 15, 2026, Open Lending Corporation, a Delaware corporation (the \"Company\"), entered into an Agreement and Plan of Merger (the \"Merger Agreement\") with ANV Group Holdings Ltd., a private limited company incorporated under the laws of England and Wales (\"Parent\"), and Lakers Acquisition Sub, Inc., a Delaware corporation and an indirect wholly-owned subsidiary of Parent (\"Merger Sub\"), pursuant to which Merger Sub would merge with and into the Company (the \"Merger\") with the Company continuing as the surviving corporation (the \"Surviving Corporation\").\n\nPursuant to the Merger Agreement, and upon the terms and subject to the conditions thereof, on June 29, 2026, Merger Sub commenced a tender offer (the \"Offer\") to purchase any and all of the issued and outstanding shares of common stock, par value $0.01 per share, of the Company (other than shares of common stock owned by the Company or any direct or indirect wholly-owned subsidiary of the Company) (the \"Shares\"), at a purchase price of $3.15 per Share (the \"Offer Price\"), net to the holder thereof, in cash, without interest thereon and less any applicable tax withholding.\n\nThe Offer and withdrawal rights in connection therewith expired at one minute after 11:59 p.m., New York City time, on July 27, 2026 (the \"Expiration Time\"). All conditions to the Offer having been satisfied or waived, on July 28, 2026, Merger Sub accepted for payment all Shares validly tendered into and not validly withdrawn pursuant to the Offer.\n\nFollowing consummation of the Offer and the satisfaction or waiver of all conditions to the Merger set forth in the Merger Agreement, on July 30, 2026 (the \"Closing Date\"), Parent completed its acquisition of the Company by consummating the Merger without a meeting of stockholders of the Company in accordance with the Merger Agreement and Section 251(h) of the DGCL. Pursuant to the Merger Agreement, at the effective time (the \"Effective Time\") of the Merger, each Share that was issued and outstanding immediately prior to the Effective Time (other than Shares owned by Parent, Merger Sub or the Company, or by any of their respective direct or indirect wholly-owned subsidiaries, and Shares held by stockholders of the Company who are entitled to demand and who have properly and validly demanded their statutory rights of appraisal in compliance with Section 262 of the DGCL) was converted into the right to receive the Offer Price, to the holder thereof, without interest thereon and less any applicable tax withholding (the \"Per Share Merger Consideration\"). As a result, at the Effective Time, a change in control of the Company occurred, and the Company became an indirect wholly-owned subsidiary of Parent.\n\nIn connection with the completion of the Merger and the Offer, the Reporting Persons validly tendered all of their shares of Common Stock of the Company in the Offer and all of the shares owned by the Reporting Persons have been cancelled and converted into the right to receive the Offer Price, without interest thereon and less any applicable tax withholding.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1806201/000119312526326369/0001193125-26-326369-index.html" }, { "accession_no": "0001193125-26-326325", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1806201, "issuer_name": "Open Lending Corporation", "issuer_cusip": "68373J104", "securities_class_title": "Common Stock", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn July 28, 2026, the Offer described in Amendment No. 3 to this Schedule 13D closed. Pursuant to the terms of the Offer, the 7,545,144 shares of Common Stock held by Nebula Holdings were sold in the Offer at a price of $3.15 per Share, net to the holder thereof, in cash, without interest thereon and subject to reduction for any applicable tax withholding.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1806201/000119312526326325/0001193125-26-326325-index.html" }, { "accession_no": "0001193125-26-325428", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1919369, "issuer_name": "Vista Credit Strategic Lending Corp.", "issuer_cusip": "92839L107", "securities_class_title": "Common Stock, par value $0.01 per share (\"Common Stock\")", "date_of_event": "2026-07-29", "filed_date": "2026-07-30", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn July 1, 2026, the Issuer issued a $6,230,021.72 capital call drawdown notice to VHG. On July 29, 2026, the Issuer determined the purchase price per share of $19.13 and fixed the number of shares of Common Stock acquired in respect of such subscription at 325,656.392 shares of Common Stock. After giving effect to the reported purchase, VHG's remaining uncalled capital commitment is $10,385,041.79. The source of funds for these shares was working capital.\n\nIn addition, amounts reported on this Schedule 13D include 83.232 shares of Common Stock received subsequent to January 30, 2026 (the date that the Schedule 13D was initially filed with the SEC) pursuant to the Issuer's distribution reinvestment plan. The source of funds for these shares was distributions received with respect to shares of Common Stock owned by the Reporting Persons and reinvested into shares of Common Stock pursuant to the Issuer's distribution reinvestment plan.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1919369/000119312526325428/0001193125-26-325428-index.html" }, { "accession_no": "0001140361-26-030302", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1869198, "issuer_name": "Life Time Group Holdings, Inc.", "issuer_cusip": "53190C102", "securities_class_title": "Common stock, $0.01 par value per share", "date_of_event": "2026-07-30", "filed_date": "2026-07-30", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following information:\n\nEffective July 30, 2026, JSS LTF Holdings Ltd terminated the Stockholders Agreement only as to Section 1 thereof (relating to the coordination of voting of securities among parties to the Stockholders Agreement) and, as a result, each Reporting Person ceased to be a member of any group with such other parties to the Stockholders Agreement for purposes of Regulation 13D-G under the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1869198/000114036126030302/0001140361-26-030302-index.html" }, { "accession_no": "0001104659-26-088829", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1834026, "issuer_name": "Gold Royalty Corp.", "issuer_cusip": "38071H106", "securities_class_title": "Common Shares, without par value", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1834026/000110465926088829/0001104659-26-088829-index.html" }, { "accession_no": "0001104659-26-088640", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1923622, "issuer_name": "PGIM Private Credit Fund", "issuer_cusip": "71710E309", "securities_class_title": "Class I common shares of beneficial interest, par value $0.001", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by the following:\n\nOn July 28, 2026, the Issuer repurchased 214,746.359 Class I Common Shares from Pruco Life Insurance Company at a purchase price of $24.75 per share for an aggregate purchase price of $5,314,972.39.\n\nPGIM Strategic Investments, Inc. and Pruco Life Insurance Company participate in the dividend reinvestment plan (the \"DRIP\") of the Issuer, through which holders of Common Shares may choose to have cash dividends or cash distributions automatically reinvested in Common Shares and, consequently, was issued additional Common Shares in lieu of receiving cash payments as set forth on Exhibit 10 hereto and incorporated herein by reference.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1923622/000110465926088640/0001104659-26-088640-index.html" }, { "accession_no": "0001062993-26-003938", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 916618, "issuer_name": "MORGAN STANLEY INDIA INVESTMENT FUND, INC.", "issuer_cusip": "61745C105", "securities_class_title": "Common Shares, $0.01 par value", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $22,209,345 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/916618/000106299326003938/0001062993-26-003938-index.html" }, { "accession_no": "0001011438-26-000448", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1965934, "issuer_name": "Overland Advantage", "issuer_cusip": "000000000", "securities_class_title": "Common Shares of Beneficial Interest, par value $0.001 per share", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": "Item 3 of this Schedule 13D is supplemented and superseded, as the case may be, as follows:\r\n\r\nThe information in Item 4 is incorporated herein by reference. The Common Shares of the Issuer were purchased by Platinum Falcon with the working capital of Platinum Falcon.", "item4_transaction_purpose": "Item 4 of this Schedule 13D is supplemented and superseded, as the case may be, as follows:\r\n\r\nOn June 15, 2026, the Issuer delivered a Drawdown Notice to Platinum Falcon to purchase Common Shares in an aggregate amount equal to $22,935,782 (the \"Seventh Purchase Amount\"). Platinum Falcon paid the Seventh Purchase Amount to the Issuer to purchase 932,916.765 Common Shares at a per share purchase price of $24.585025, with such number of shares and purchase price being determined by the Issuer on July 28, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1965934/000101143826000448/0001011438-26-000448-index.html" }, { "accession_no": "0000919574-26-004693", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 39020, "issuer_name": "Frequency Electronics, Inc.", "issuer_cusip": "358010106", "securities_class_title": "Common Stock, par value $1.00 per share", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": "The net investment costs (including commissions, if any) of the Common Stock directly owned by the private investment funds advised by Edenbrook is approximately $11,226,336.\n\nThe RSUs were acquired by Mr. Brolin in consideration for his service on the board of directors of the Issuer.", "item4_transaction_purpose": "On July 28, 2026, Edenbrook Value Fund, LP, a private fund managed by Edenbrook, and Edenbrook Long Only Value Fund, LP (the \"Fund\"), as selling stockholders, and the Issuer entered into an underwriting agreement (the \"Underwriting Agreement\") with Morgan Stanley & Co. LLC, (the \"Underwriter\"), providing for the offer and sale of 97,826 shares of Common Stock by Edenbrook Value Fund, LP and 554,348 shares of Common Stock by the Fund (the \"Offering\"), and purchase by the Underwriter of the shares of Common Stock, at a gross price to Edenbrook Value Fund, LP and the Fund of $57.50 per share. The Offering closed on July 30, 2026. The Offering was made pursuant to the Issuer's shelf registration statement on Form S-3 (File No. 333-297549), as supplemented by a preliminary prospectus supplement dated July 28, 2026. Pursuant to the Underwriting Agreement, Edenbrook Value Fund, LP and the Fund have entered into a lock-up agreement (the \"Lock-Up Agreement\") with the Underwriter pursuant to which each has agreed with the Underwriter, subject to customary exceptions, for a period of 60 days after the date of the final prospectus for the offering, not to dispose of any shares of Common Stock or any securities convertible into or exercisable or exchangeable for Common Stock, subject to certain exceptions and excluding the transactions described herein. The descriptions of the Underwriting Agreement and Lock-Up Agreement contained in this Item 4 are not intended to be complete and are qualified in their entirety by reference to the Underwriting Agreement and Form of Lock-Up Agreement, each of which is filed as an exhibit hereto and incorporated by reference herein.\n\nEdenbrook remains a significant shareholder and Mr. Brolin continues to serve as a director on the board of directors of the Issuer. Edenbrook and Mr. Brolin are supportive of the Issuer and the management team and believe the Issuer is uniquely positioned to take advantage of significant profitable growth opportunities in the years ahead, as detailed in the Issuer's most recent earnings press release and conference call of July 15, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/39020/000091957426004693/0000919574-26-004693-index.html" }, { "accession_no": "0000919574-26-004689", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1564180, "issuer_name": "KNOT Offshore Partners LP", "issuer_cusip": "Y48125101", "securities_class_title": "Common Units Representing Limited Partner Interests", "date_of_event": "2026-07-28", "filed_date": "2026-07-30", "item3_funds_source": "The funds used for the acquisition of the Common Units beneficially owned by the Reporting Persons came from the working capital of private funds and managed account clients advised by Astaris Capital Management LLP. No borrowed funds were used to purchase the Common Units of the Issuer other than any borrowed funds used for working capital purposes in the ordinary course of business.", "item4_transaction_purpose": "This Schedule 13D Amendment No. 5 is being filed in connection with the matters discussed below.\n\nOn July 28, 2026, Astaris Capital Management LLP delivered a letter to the Issuer (the \"July 2026 Letter\") regarding, among other things, the potential appointment of additional independent directors to the board of directors of the Issuer (the \"Board\"). The foregoing description of the July 2026 Letter contained in this Item 4 is not intended to be complete and is qualified in its entirety by reference to the July 2026 Letter, a copy of which is attached as Exhibit B to this Schedule 13D.\n\nThe Reporting Persons acquired the securities reported herein for investment purposes and intend to review their investments in the Issuer on a continuing basis. Subject to various factors, including but not limited to the Issuer's financial position and strategic direction, price levels of the Common Units, conditions in the securities markets, various laws and regulations applicable to the Issuer and companies in its industry and the Reporting Persons' ownership in the Issuer, and general economic and industry conditions, the Reporting Persons may in the future take actions with respect to their investment in the Issuer as they deem appropriate, including changing their current intentions, with respect to any or all matters required to be disclosed in this Schedule 13D. The Reporting Persons may, from time to time, acquire, or cause affiliates to acquire, additional Common Units or other securities of the Issuer (including any combination or derivative thereof), dispose, or cause affiliates to dispose, of some or all of their Common Units or other securities of the Issuer or continue to hold, or cause affiliates to hold, Common Units or other securities of the Issuer (or any combination or derivative thereof). In addition, on October 31, 2025, Knutsen NYK Offshore Tankers AS, a Norway limited company (\"KNOT\"), delivered a non-binding offer (the \"Offer Letter\") to the Board, to acquire all of the issued and outstanding Common Units that are not already beneficially owned by KNOT in exchange for cash. The Reporting Persons have discussed and/or may discuss from time to time, with management, the Board and any of its committees, other shareholders of the Issuer and/or other third parties regarding the July 2026 Letter and other matters relating to board composition and management, the Offer Letter or any subsequent proposed or negotiated transaction, and the proposed terms contained therein, and the Issuer's business, operations, strategy (including with respect to capital allocation policies and procedures), plans and prospects and governance matters generally and in relation to the Reporting Persons' investment in the Issuer and requesting information from the Issuer related thereto.\n\nExcept as described in this Schedule 13D, none of the Reporting Persons has any present plans or proposals that relate to or would result in any of the actions described in Item 4 of this Schedule 13D, although, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or purpose and/or develop such plans and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1564180/000091957426004689/0000919574-26-004689-index.html" }, { "accession_no": "0000902664-26-003281", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1853921, "issuer_name": "Scribe Therapeutics, Inc.", "issuer_cusip": "811033109", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-07-24", "filed_date": "2026-07-30", "item3_funds_source": "Of the 3,088,888 shares of Common Stock reported herein, 697,650 shares, consisting of 474,402 shares held directly by Avoro Life Sciences and 223,248 shares held directly by Avoro Ventures Fund, were issued upon the automatic conversion of the Funds' shares of the Issuer's Series B Preferred Stock at the closing of the Issuer's initial public offering (\"IPO\") on July 27, 2026, each share of Series B Preferred Stock having converted into Common Stock on a one-for-0.1689 basis without the payment of any additional consideration.\n\nA total of 2,333,333 shares of Common Stock reported herein were purchased from the underwriters in the IPO at the initial public offering price of $15.00 per share, consisting of 2,066,666 shares acquired on behalf of Avoro Life Sencises for an aggregate purchase price of approximately $31 million and 266,667 shares acquired on behalf of Avoro Ventures Fund for an aggregate purchase price of $4 million, in each case using the working capital of such Fund. An additional 57,905 shares of Common Stock reported herein were acquired on behalf of Avoro Life Sciences by the Investment Manager in open market transactions for an aggregate purchase price of approximately $1.26 million, excluding brokerage commissions, using the working capital of Avoro Life Sciences.\n\nPositions in the shares of Common Stock may be held in margin accounts. Because other securities may be held in such margin accounts, it may not be possible to determine the amounts, if any, of margin used to purchase the shares of Common Stock.", "item4_transaction_purpose": "The Reporting Persons acquired the shares of Common Stock reported herein for investment purposes. Dr. Aghazadeh serves as a member of the board of directors of the Issuer.\n\nThe Issuer and certain of its stockholders, including Avoro Life Sciences and Avoro Ventures Fund, are parties to the Amended and Restated Investors' Rights Agreement, dated March 17, 2021, among the Issuer and certain of its stockholders (the \"IRA\"). Pursuant to the IRA, holders of Registrable Securities (as defined in the IRA), including the Funds, are entitled to certain registration rights with respect to shares of Common Stock issued upon conversion of the Issuer's preferred stock, with such rights terminating upon the earliest to occur of (i) the closing of a Deemed Liquidation Event (as defined in the IRA), (ii) such time as Rule 144 under the Securities Act of 1933, as amended, is available for the sale of all of a holder's shares without limitation during a three-month period without registration and (iii) the third anniversary of the closing of the IPO. The IRA also contains customary lock-up provisions pursuant to which the Funds have agreed not to sell, dispose of, transfer, make any short sale of, grant any option for the purchase of, or enter into any hedging or similar transaction with the same economic effect as a sale of, any Common Stock or other securities of the Issuer held immediately prior to the effective date of the registration statement IPO for a period of 180 days following the effective date of the registration statement for the IPO. The foregoing description of the IRA does not purport to be complete and is qualified in its entirety by reference to the full text of the IRA, the form of which is filed as Exhibit 99.1 hereto and incorporated herein by reference.\n\nIn connection with the IPO, holders of the requisite majorities of Registrable Securities under the IRA, including the Funds, delivered a Waiver of Registration Rights and Related Notice waiving (i) all registration rights of Registrable Securities with respect to the IPO and (ii) all demand registration rights provided for in the IRA until the date that is 180 days after the effective date of the registration statement for the IPO.\n\nAlso in connection with the IPO, each of Avoro Life Sciences and Avoro Ventures Fund entered into a lock-up agreement, dated April 10, 2026, with certain financial institution counterparties, as representatives of the several underwriters of the IPO (each, a \"Lock-Up Agreement\"), pursuant to which each Fund agreed, subject to the terms and conditions set forth therein, not to offer, sell, pledge or otherwise transfer or dispose of, or engage in any hedging or similar transaction with respect to, any shares of Common Stock or securities convertible into or exercisable or exchangeable for Common Stock, whether owned at the time or thereafter acquired, and not to cause or direct any of its affiliates to do so, in each case, for a period of 180 days after the date of the final prospectus for the IPO, which is dated July 23, 2026. The restrictions are subject to specified exceptions, including sales of shares of Common Stock acquired from the underwriters in the IPO or acquired in open market transactions after the closing of the IPO. By Notice of Extension to the Funds, dated June 29, 2026, the Issuer informed the Funds it had extended the termination date of each Lock-Up Agreement to September 28, 2026 (unless earlier terminated pursuant to the agreements' terms). The foregoing description of the Lock-Up Agreements do not purport to be complete and are qualified in their entirety by reference to the full text of a form of the Lock-Up Agreements, a copy of which is filed as Exhibit 99.2 hereto and incorporated herein by reference.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position and strategic direction, the outcome of any discussions referenced herein, actions taken by the board of directors, price levels of the Common Stock, other investment opportunities available to the Reporting Persons, market conditions and general economic and industry conditions, the Reporting Persons may take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, purchasing additional shares of Common Stock or other financial instruments related to the Issuer or selling some or all of their holdings, subject to the restrictions described in Item 6 and applicable law, and, alone or with others, engaging in communications with the board of directors and management of the Issuer, other stockholders of the Issuer and other persons regarding the Issuer. Dr. Aghazadeh may receive compensation from the Issuer for his service as a director, including equity awards, in accordance with the Issuer's non-employee director compensation policy.\n\nExcept as set forth herein, the Reporting Persons do not have, as of the date of this Schedule 13D, any present plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to formulate plans or proposals, and to take such actions with respect to their investment in the Issuer, including any or all of the actions set forth in clauses (a) through (j) of Item 4 of Schedule 13D, and any other actions, as they may determine.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1853921/000090266426003281/0000902664-26-003281-index.html" }, { "accession_no": "0000059478-26-000072", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1853921, "issuer_name": "Scribe Therapeutics, Inc.", "issuer_cusip": "811033109", "securities_class_title": "Common stock, $0.001 par value per share", "date_of_event": "2026-07-23", "filed_date": "2026-07-30", "item3_funds_source": "The Reporting Person beneficially owns an aggregate of 1,388,161 shares of Common Stock of the Issuer, consisting of (a) 1,054,828 shares of Common Stock that were issued on July 10, 2026 to the Reporting Person upon conversion of the Issuer's 8% Convertible Promissory Note (\"Promissory Note\") previously acquired for an aggregate purchase price of $30.0 million; and (b) 333,333 shares of Common Stock purchased by the Reporting Person in the IPO at the public offering price of $15.00 per share, for an aggregate purchase price of approximately $5.0 million. The funds used by the Reporting Person to acquire the Promissory Note and the Common Stock purchased in the IPO consisted of cash on hand.", "item4_transaction_purpose": "The Reporting Person acquired the securities reported herein for investment purposes and intends to continue to review its investments in the Issuer on an ongoing basis. Except as set forth herein, the Reporting Person does not currently have any specific plan or proposal to acquire or dispose of Common Stock of the Issuer or any securities exercisable for or convertible into Common Stock of the Issuer, but the Reporting Person, consistent with its investment purpose, may at any time and from time to time directly or indirectly acquire additional or all shares of Common Stock, securities exercisable for or convertible into Common Stock of the Issuer, or other securities of the Issuer, or dispose of any or all of its shares of Common Stock, securities exercisable for or convertible into Common Stock of the Issuer, or other securities of the Issuer. The Reporting Person's determination to make any such acquisitions or dispositions, in each such case, will depend upon a variety of factors, including, but not limited to, an ongoing evaluation of its investment in such securities, applicable legal and/or contractual restrictions, prevailing market conditions, other investment opportunities, liquidity requirements of the Reporting Person and/or other investment considerations. In addition, in connection with the foregoing, the Reporting Person may engage in hedging or other transactions with respect to securities of the Issuer, including but not limited to, swaps and other derivative instruments.\n\nAs part of its ongoing evaluation of its investment in the Issuer, the Reporting Person expects to engage in discussions with directors, officers, members of management and representatives of the Issuer, and may engage in discussions with stockholders, security holders or other interested parties, from time to time covering a range of topics concerning its investment and the Issuer, including operational, financial and strategic initiatives. Furthermore, without limitation, the Reporting Person may also evaluate and discuss other ideas, that if effected, may relate to, or result in, any other matter listed in Items 4(a)-(j) of Schedule 13D. To facilitate its consideration of such matters, the Reporting Person may retain consultants and advisors and may enter into discussions with potential sources of capital and other third parties. The Reporting Person may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements. The Reporting Person will likely take some or all of the foregoing steps at preliminary stages in its consideration of various possible courses of action before forming any intention to pursue any specific plan or proposal.\n\nOther than as described above, the Reporting Person reports that neither it nor, to its knowledge, any of the other persons listed on Schedule A attached to this Schedule 13D, currently has any specific plan or proposal which relates to, or may result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although the Reporting Person may, at any time and from time to time, review or reconsider its position and/or change its purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1853921/000005947826000072/0000059478-26-000072-index.html" }, { "accession_no": "0001929980-26-000394", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2116230, "issuer_name": "Southern Cross Acquisition I Corp.", "issuer_cusip": "G82934103", "securities_class_title": "Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-07-22", "filed_date": "2026-07-29", "item3_funds_source": "The information set forth in Items 4 and 5 of this Schedule 13D are hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "On April 15, 2026, the Issuer issued 2,875,000 ordinary shares as founder shares to the Sponsor for an aggregate purchase price of $25,000. On July 16, 2026, the Sponsor transferred (i) 5,000 founder shares to Ally Tong Zhang, Chairwoman and Chief Executive Officer of the Issuer, (ii) 3,000 founder shares to Siu Wai Lam, Chief Financial Officer of the Issuer, and (iii) 2,000 founder shares to each of Qian Xu, Zhuo Liang, and Zhiqiang Du, independent directors of the Issuer. On July 22, 2026, simultaneously with the Issuer's initial public offering, the Sponsor acquired 239,300 private placement units in the private placement. Each private placement unit consists of one ordinary share of the Issuer, one warrant exercisable for one ordinary share at an exercise price of $11.50, and one right to receive one-fourth (1/4) of one ordinary share of the Issuer.\r \r Depending on prevailing market, economic and other conditions, the Reporting Persons may from time to time acquire additional ordinary shares or engage in discussions with the Issuer concerning future acquisitions of its shares. Such acquisitions may be made by means of open-market purchases, privately negotiated transactions, direct acquisitions from the Issuer or otherwise. Except as set forth in this Item 4, the Reporting Persons have no plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors of the Issuer (the \"Board\") or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the Issuer is a registered closed-end investment company; (g) changes in the Issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to\r \r Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action similar to any of those enumerated above. The Reporting Persons may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2116230/000192998026000394/0001929980-26-000394-index.html" }, { "accession_no": "0001493152-26-035149", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1964314, "issuer_name": "JBDI Holdings Ltd", "issuer_cusip": "G50883100", "securities_class_title": "Ordinary Shares, par value $0.0005", "date_of_event": "2024-08-06", "filed_date": "2026-07-29", "item3_funds_source": "The Reporting Person acquired the Ordinary Shares on May 30, 2023 from the Issuer in exchange for shares of another entity in a corporate reorganization and pursuant to 2:1 forward stock split effective February 7, 2024.", "item4_transaction_purpose": "The Reporting Person acquired the 2,497,148 Ordinary Shares of the Issuer pursuant to the reorganization and forward stock split described in Item 3, above. The Reporting Person does not have any plans or proposals that relate to items (a) through (j) above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1964314/000149315226035149/0001493152-26-035149-index.html" }, { "accession_no": "0001493152-26-035147", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1964314, "issuer_name": "JBDI Holdings Ltd", "issuer_cusip": "G50883100", "securities_class_title": "Ordinary Shares, par value $0.0005", "date_of_event": "2024-08-06", "filed_date": "2026-07-29", "item3_funds_source": "The Reporting Person acquired the Ordinary Shares on May 30, 2023 from the Issuer in exchange for shares of another entity in a corporate reorganization and pursuant to 2:1 forward stock split effective February 7, 2024.", "item4_transaction_purpose": "The Reporting Person acquired the 2,497,148 Ordinary Shares of the Issuer pursuant to the reorganization and forward stock split described in Item 3, above. The Reporting Person does not have any plans or proposals that relate to items (a) through (j) above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1964314/000149315226035147/0001493152-26-035147-index.html" }, { "accession_no": "0001493152-26-035145", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1964314, "issuer_name": "JBDI Holdings Ltd", "issuer_cusip": "G50883209", "securities_class_title": "Ordinary Shares, par value $0.001", "date_of_event": "2024-08-06", "filed_date": "2026-07-29", "item3_funds_source": "On October 10, 2022, the Reporting Person and others entered into the Acquisition Agreement pursuant to which Arc Development acquired an aggregate 490 Ordinary Shares of JBDI Investments Limited (representing approximately 4.9% shareholding interest in JBDI Investments Limited, the wholly-owned subsidiary of the Issuer) from the Reporting Person and others for aggregate consideration of US$800,000. As a term of the acquisition, the Reporting Person and others transferred the entire issued share capital of Jurong Barrels to JBDI Investments Limited. On January 12, 2023, the Reporting Person and others entered into a sale and purchase agreement pursuant to which the Reporting Person and others transferred his entire shareholding interest in Jurong Barrels to JBDI. The consideration is settled by JBDI allotting and issuing 1 Ordinary Share to the Reporting Person. On May 30, 2023, the Reporting Person and others entered into a reorganization agreement pursuant to which the Reporting Person and others transferred his 490 Ordinary Shares into the Issuer. The consideration was the Issuer issuing 4,704,179 Ordinary Shares to the Reporting Person. Upon completion of the reorganization, the Reporting Person owns 4,704,179 Ordinary Shares of the Issuer. On February 7, 2024, for purposes of the initial public offering, the Issuer effected a 1:2 share forward stock split resulting in the Reporting Person owning 9,408,368 Ordinary Shares of the Issuer. The Reporting Person subsequently sold 299,998 Ordinary Shares pursuant to a registration of resale shares during the initial public offering resulting in 9,108,360 Ordinary Shares current held of record by the Reporting Person. The Issuer effected a reverse stock split June 29, 2026 resulting in the current ownership of 3,947,910 ordinary shares.", "item4_transaction_purpose": "The Reporting Person acquired its 3,947,910 shares of the Issuer pursuant to the reorganization and forward stock split described in Item 3, above. The Reporting Person does not have any plans or proposals that relate to items (a) through (j) above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1964314/000149315226035145/0001493152-26-035145-index.html" }, { "accession_no": "0001437749-26-024897", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1710680, "issuer_name": "HIGHLAND OPPORTUNITIES & INCOME FUND", "issuer_cusip": "43010E404", "securities_class_title": "Common Shares, par value $0.001 per share", "date_of_event": "2026-07-27", "filed_date": "2026-07-29", "item3_funds_source": "Since the last transaction reported in the Schedule 13D, GAF has purchased 470,400 Common Shares in open market transactions with the Reporting Person's working capital, with an aggregate purchase price of $2,927,625.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1710680/000143774926024897/0001437749-26-024897-index.html" }, { "accession_no": "0001213900-26-083008", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 319654, "issuer_name": "PERMIAN BASIN ROYALTY TRUST", "issuer_cusip": "714236106", "securities_class_title": "Units of Beneficial Interest", "date_of_event": "2026-07-28", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented by adding the following:\n\nCombination Agreement\n\nOn July 28, 2026, a combination agreement was entered into by PBT Land and Minerals, Inc. (\"New PBT\"), PBT Sub, Inc. (a wholly owned subsidiary of New PBT, \"New PBT Sub\"), PBT Land and Minerals OpCo, LLC (\"OpCo\"), Blackbeard Holdings, LLC (\"Blackbeard Holdings\"), Blackbeard Security Holdings, LLC (\"Blackbeard Security\"), and Greybeard Energy, LLC (\"Greybeard Energy\") (the \"Combination Agreement\"), pursuant to which, subject to the satisfaction or waiver of certain conditions and on the terms set forth therein, the parties will consummate a business combination (the \"Business Combination\") whereby New PBT would acquire (i) a majority of the assets and liabilities of the Trust and (ii) approximately 68,000 acres of surface estate and a 15% effective royalty interest associated with certain acreage and certain mineral interests owned directly or indirectly by Blackbeard Holdings. The Combination Agreement is attached as Exhibit 6 hereto and incorporated by reference herein.\n\nNew PBT is a wholly-owned subsidiary of SoftVest. SoftVest created New PBT to facilitate the Business Combination and certain other transactions related thereto; SoftVest will transfer full ownership of New PBT to the Trust before the Business Combination is completed.\n\nFollowing the Business Combination, (i) former holders of Units (\"Unitholders\") will own approximately 59.3% of the outstanding Class A common stock, par value $0.0001 per share, of New PBT (\"Class A Shares\") and Class B common stock, par value $0.0001 per share, of New PBT (\"Class B Shares\" and, together with the Class A Shares, the \"New PBT Common Stock\"), (ii) Blackbeard Security and Greybeard Energy, together, will own approximately 40.7% of the outstanding New PBT Common Stock and (iii) New PBT will be the managing member of OpCo.\n\nIn connection with entrance into the Combination Agreement, New PBT filed a preliminary proxy statement/prospectus on Form S-4 with the SEC on July 28, 2026 in connection with the solicitation of proxies for use at the special meeting of Unitholders to consider and vote on an amendment to the Trust's Royalty Trust Indenture that would permit consummation of the Business Combination. INVESTORS AND SECURITY HOLDERS ARE URGED TO READ THE PROXY STATEMENT/PROSPECTUS AND ANY OTHER RELEVANT DOCUMENTS FILED WITH THE SEC BECAUSE THEY CONTAIN IMPORTANT INFORMATION ABOUT THE PROPOSED BUSINESS COMBINATION.\n\nVoting and Support Agreement\n\nIn connection with the execution of the Combination Agreement, on July 28, 2026, SoftVest entered into a voting and support agreement with Blackbeard Security (the \"Voting and Support Agreement\"), pursuant to which SoftVest agreed to vote all of its eligible Units in favor of approving the Combination Agreement, including any necessary meeting adjournments to secure additional proxies. Additionally, SoftVest will vote against any actions, unapproved asset transactions, or agreement breaches that could delay or impair the completion of the Business Combination. The Voting and Support Agreement is attached as Exhibit 7 hereto and incorporated by reference herein.\n\nPrior to the termination of the Voting and Support Agreement, SoftVest agreed to use its reasonable best efforts to convene a meeting of the Unitholders for the purpose of obtaining the approval of an amendment to the Permian Basin Royalty Trust Indenture to effect the Business Combination pursuant to the Combination Agreement and related transaction documents as promptly as reasonably practicable following the clearance of the proxy statement/prospectus by the SEC and the declaration of effectiveness of the registration statement on Form S-4.\n\nIn addition, SoftVest also agreed to certain restrictions on the transfer of its Units, including agreeing not to (without the prior written consent of Blackbeard Security) take any of the following actions, subject to certain exceptions for \"permitted transfers\": (i) entering into a voting trust or enter another agreement or arrangement with respect to any such securities or grant any proxy or power of attorney with respect thereto; (ii) selling, assigning, transferring, encumbering, otherwise disposing of any Units held by SoftVest; or (iii) entering into any contract, option or other arrangement, understanding or undertaking with respect to the direct or indirect sale, assignment, transfer (including by operation of law) or other disposition of or transfer of any interest in or the voting of such securities.\n\nPrior to the termination of the Voting and Support Agreement, SoftVest agreed not to, and to direct its controlled affiliates and its representatives not to, directly or indirectly: (i) solicit, initiate or take any action to knowingly facilitate or knowingly encourage the submission of any PBT Competing Proposal (as defined in the Voting and Support Agreement) or the making of any proposal that could reasonably be expected to lead to a PBT Competing Proposal; (ii) participate in discussions or negotiations with, furnish non-public information relating to the Trust to any person in connection with a PBT Competing Proposal to any person (other than the parties to the Combination Agreement and their respective affiliates and representatives) that SoftVest knows, or would reasonably be expected to know, is actively evaluating, seeking to make, or has made, a PBT Competing Proposal; (iii) enter into or approve any agreement, letter of intent, agreement in principle, acquisition agreement or other agreement relating to a PBT Competing Proposal; or (iv) approve, authorize, resolve, propose or agree to do any of the foregoing.\n\nThe Voting and Support Agreement will automatically terminate upon the earliest to occur of (i) the consummation of the transactions contemplated by the Combination Agreement, (ii) the termination of the Combination Agreement in accordance with its terms, or (iii) the mutual written agreement of the parties to the Voting and Support Agreement.\n\nAs a result of Softvest's entrance into the Voting and Support Agreement, Blackbeard Security (which\ncurrently does not beneficially own any Units) and the Reporting Persons may be deemed to have\nformed a \"group\" pursuant to Rule 13d-5(b)(1) promulgated under the Act. The Reporting Persons\ndisclaim membership in any such group and the disclosure of the Voting and Support Agreement\nherein shall not be construed as an admission that the Reporting Persons and Blackbeard Security\nconstitute a \"group\". Blackbeard Security has no financial interest in, and no voting or dispositive\npower over, any Units held by the Reporting Persons.\n\nCommitment and Backstop Agreement\n\nIn connection with the execution of the Combination Agreement, on July 28, 2026, SoftVest entered into a commitment and backstop agreement with Blackbeard Security, Greybeard Energy and Horizon Kinetics Asset Management LLC (\"Horizon Kinetics\") (the \"Commitment and Backstop Agreement\"), pursuant to which SoftVest and Horizon Kinetics as the \"Backstop Purchasers\" agreed (i) to exercise in full their non-transferable subscription rights to purchase for cash Class A Shares (\"Subscription Rights\"), including their over-subscription rights (the \"Over-Subscription Rights\"), and (ii) if any Subscription Rights granted to other Unitholders remain unexercised upon the expiration of the rights offering pursuant to which the Unitholders were offered the right to subscribe for additional Class A Shares on a pro rata basis (the \"Rights Offering\") after accounting for all Over-Subscription Rights exercised, the Backstop Purchasers committed jointly and severally to purchase, at a cash subscription price equal to the Rights Offering per share subscription price, in a private placement exempt from the registration requirements under the Act and separate from the Rights Offering, up to $71.16 million in Class A Shares not subscribed for by such other Unitholders. Specifically, each Backstop Purchaser will purchase an equal portion (50% each) of the unsubscribed Class A Shares upon the expiration of the Rights Offering (the \"Backstop Commitment\"). The Commitment and Backstop Agreement is attached as Exhibit 8 hereto and incorporated by reference herein.\n\nAs a result of Softvest's entrance into the Commitment and Backstop Agreement, Horizon Kinetics (which currently beneficially owns 6,837,532 Units), Blackbeard Security (which currently does not beneficially own any Units), Greybeard Energy (which currently does not beneficially own any Units) and the Reporting Persons may be deemed to have formed a \"group\" pursuant to Rule 13d-5(b)(1) promulgated under the Act. The Reporting Persons disclaim membership in such group and the disclosure of the Commitment and Backstop Agreement herein shall not be construed as an admission that the Reporting Persons, Horizon Kinetics, Blackbeard Security and Greybeard Energy constitute a \"group\". The Reporting Persons have no financial interest in, and no voting or dispositive power over, any Units held by Horizon Kinetics. Accordingly, the Reporting Persons expressly disclaim beneficial ownership of any Units owned, or deemed to be beneficially owned, by Horizon Kinetics.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/319654/000121390026083008/0001213900-26-083008-index.html" }, { "accession_no": "0001213900-26-082834", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1856437, "issuer_name": "Victoria's Secret & Co.", "issuer_cusip": "926400102", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-28", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1856437/000121390026082834/0001213900-26-082834-index.html" }, { "accession_no": "0001213900-26-082788", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1887673, "issuer_name": "Wearable Devices Ltd.", "issuer_cusip": "M97838409", "securities_class_title": "Ordinary shares, no par value per share", "date_of_event": "2026-07-27", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1887673/000121390026082788/0001213900-26-082788-index.html" }, { "accession_no": "0001193125-26-324204", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2131350, "issuer_name": "B&R Technology Merger Corp.", "issuer_cusip": "G1535G109", "securities_class_title": "Class A ordinary shares, $0.0001 par value per share", "date_of_event": "2026-07-22", "filed_date": "2026-07-29", "item3_funds_source": "The aggregate purchase price for the Placement Units (as defined below) was $6,875,000. The aggregate purchase price for the Founder Shares (as defined below) was $25,000. In each case, the source of these funds was the working capital of Sponsor.", "item4_transaction_purpose": "In connection with the organization of the Issuer, on December 29, 2025, 11,500,000 Class B Ordinary Shares (the \"Founder Shares\") were purchased by the Sponsor for the amount of $25,000, pursuant to a Securities Subscription Agreement, by and between the Sponsor and the Issuer (the \"Share Subscription Agreement\"), as more fully described in Item 6 of this Schedule 13D which information is incorporated herein by reference. Subsequently on July 1, 2026, the Issuer, in connection with a share recapitalization, issued an additional 958,333 Founder Shares to the Sponsor for no consideration. On July 22, 2026, simultaneously with the consummation of the Issuer's initial public offering (the \"IPO\"), the Sponsor purchased 687,500 units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Units Purchase Agreement, dated as of July 20, 2026, by and between the Issuer and the Sponsor (the \"Placement Units Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference. Each Placement Unit consists of one Class A Ordinary Share and one-third of a warrant, with each whole warrant exercisable into one Class A ordinary share at an exercise price of $11.50, subject to adjustment, commencing 30 days following the consummation of the Issuer's initial business combination (as described more fully in the Issuer's final prospectus dated July 20, 2026). The Ordinary Shares owned by the Reporting Persons have been acquired for investment purposes. The Reporting Persons may make further acquisitions of the Ordinary Shares from time to time and, subject to certain restrictions, may dispose of any or all of the Ordinary Shares held by the Reporting Persons at any time depending on an ongoing evaluation of the investment in such securities, prevailing market conditions, other investment opportunities and other factors. However, certain of such shares are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed business combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2131350/000119312526324204/0001193125-26-324204-index.html" }, { "accession_no": "0001193125-26-323654", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1566044, "issuer_name": "Yarrow Bioscience, Inc.", "issuer_cusip": "92941V407", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-27", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": "The disclosure in Item 4 is hereby amended and supplemented by adding the following at the end thereof:\n\nOn July 27, 2026, pursuant to the Agreement and Plan of Merger and Reorganization, dated as of December 17, 2025, as amended by Amendment No. 1 thereto on January 30, 2026, by and among VYNE Therapeutics Inc., Yellow Merger Sub Corp., a Delaware corporation and wholly owned subsidiary of VYNE Therapeutics Inc., and Yarrow Bioscience, Inc., a Delaware corporation (\"Pre-Merger Yarrow\"), Yellow Merger Sub Corp. merged with and into Pre-Merger Yarrow, with Pre-Merger Yarrow continuing as a wholly owned subsidiary of VYNE Therapeutics Inc. and the surviving corporation of the merger (the \"Merger\"). In connection with the completion of the Merger, VYNE Therapeutics Inc. changed its name to Yarrow Bioscience, Inc.\n\nPrior to the consummation of the Merger, the Issuer effected a 1-for-50 reverse stock split of its Common Stock by filing a Certificate of Amendment to its Amended and Restated Certificate of Incorporation with the Secretary of State of the State of Delaware, which became legally effective on July 24, 2026 (the \"Reverse Stock Split\"). Upon the effectiveness of the Reverse Stock Split, every 50 shares of Common Stock issued and outstanding immediately prior thereto were automatically and without further action on the part of the Issuer or any holders of Common Stock combined into one share of Common Stock. No fractional shares were issued as a result of the Reverse Stock Split. Instead, any stockholder who would otherwise have been entitled to a fractional share, after aggregating all fractions of a share to which such stockholder would otherwise have been entitled, became entitled to receive a cash payment equal to the product of the resulting fractional interest in one share of Common Stock multiplied by the closing price per share as reported by Nasdaq on July 23, 2026.\n\nAs a result of the Reverse Stock Split, the 1,116,585 shares of Common Stock held by AI Biotechnology were combined into 22,331 whole shares of Common Stock, and AI Biotechnology became entitled to receive cash in lieu of the resulting 0.70 fractional share. In addition, pursuant to the terms of the Warrants, the exercise price of the Warrants and the number of shares of Common Stock issuable upon exercise thereof were proportionately adjusted, with the number of shares of Common Stock issuable upon exercise of the Warrants being adjusted from 7,792,448 shares to 155,849 shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1566044/000119312526323654/0001193125-26-323654-index.html" }, { "accession_no": "0001140361-26-030076", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 2020354, "issuer_name": "West Bay BDC LLC", "issuer_cusip": "000000000", "securities_class_title": "Units of Limited Liability Company Interests", "date_of_event": "2026-07-27", "filed_date": "2026-07-29", "item3_funds_source": "The information in Items 4, 5 and 6 of this Amendment No. 8 is incorporated into this Item 3 by reference.\n\nThe response set forth in Item 3 of the Schedule 13D is amended and supplemented as follows:\n\nOn July 27, 2026, the Issuer delivered a Drawdown Notice, dated July 24, 2026, to the Investor to purchase Units on August 7, 2026 in an aggregate amount equal to $27,000,000 (the \"Ninth Purchase Amount\") at the then-applicable price per unit, which has not been determined as of the date hereof. The source of funds to be used to purchase such Units is expected to be cash reserves of the State of Qatar.\n\nThe Issuer has informed the Investor that the aggregate amount of Drawdown Notices dated July 24, 2026 is $27,810,000. The Ninth Purchase Amount represents approximately 97.09% of the aggregate amount of such Drawdown Notices. As of the date hereof, $310,500,000 of the Investor's Commitment has been drawn down by the Issuer.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended, supplemented and superseded, as the case may be, as follows:\n\nThe information in Items 3, 5 and 6 of this Amendment No. 8 is incorporated into this Item 4 by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2020354/000114036126030076/0001140361-26-030076-index.html" }, { "accession_no": "0001104659-26-088126", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1612940, "issuer_name": "ProQR Therapeutics N.V.", "issuer_cusip": "N71542109", "securities_class_title": "Ordinary Shares, nominal value Euro 0.04 per share", "date_of_event": "2026-07-27", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended by adding the following:\n\nOn July 27, 2026, the Reporting Persons filed a petition (the \"Petition\") with the Enterprise Chamber (Ondernemingskamer) of the Amsterdam Court of Appeal against the Issuer, pursuant to Article 2:345 of the Dutch Civil Code and including a request for immediate relief measures pursuant to Article 2:349a(2) of the Dutch Civil Code.\n\nThe Petition requests that the Enterprise Chamber (i) order an investigation into the policies and conduct of affairs of the Issuer from May 22, 2024 to the present, based on alleged systematic deviations by the Issuer's board of directors from the Issuer's own governance framework and applicable governance standards, including with respect to the reappointment of certain directors, the composition and independence of the board and its committees, and director compensation, and (ii) as an immediate relief measure, appoint an independent non-executive director to the Issuer's board of directors pending the outcome of the investigation.\n\nThe foregoing description of the Petition does not purport to be complete and is qualified in its entirety by reference to the full text of the English translation of the Petition, which is filed as Exhibit 99.2 hereto and incorporated herein by reference. The Reporting Persons reserve all rights to pursue any and all available legal remedies against the Issuer, members of the board of directors and/or certain officers of the Issuer, and continue to reserve all other rights described in Item 4 of the Schedule 13D.\n\nThe Reporting Persons acquired the Ordinary Shares reported herein for investment purposes in the ordinary course of business. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Ordinary Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the board of directors of the Issuer, engaging in discussions with stockholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, evaluating the initiation of additional legal proceedings against the Issuer, members of the board and/or certain officers of the Issuer, purchasing additional Ordinary Shares, selling some or all of their Ordinary Shares, engaging in short selling of or any hedging or similar transaction with respect to the Ordinary Shares, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1612940/000110465926088126/0001104659-26-088126-index.html" }, { "accession_no": "0001104659-26-087976", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1367859, "issuer_name": "Citizens Community Bancorp, Inc.", "issuer_cusip": "174903104", "securities_class_title": "Common Stock", "date_of_event": "2026-07-27", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and restated in its entirety as follows:\n\nThe Reporting Persons acquired their shares of Common Stock for investment purposes. The Reporting Persons believe the shares are undervalued relative to the Issuer's intrinsic value, long-term earnings potential, and franchise value.\n\nThe Reporting Persons are experienced community banking operators with a track record of building and growing community banking franchises. The Reporting Persons believe the Issuer possesses an attractive community banking platform with strong deposit-gathering capabilities, disciplined credit management, and favorable market positioning in Wisconsin and Minnesota. The Reporting Persons intend to use their experience to support the Issuer's continued growth and the enhancement of long-term value for all shareholders.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending upon the price and availability of shares of Common Stock, subsequent developments affecting the Issuer, the Issuer's business and prospects, general stock market and economic conditions, tax considerations, and other factors, the Reporting Persons may from time to time acquire additional shares of Common Stock or dispose of shares of Common Stock in open market transactions, privately negotiated transactions, or otherwise.\n\nThe Reporting Persons have from time to time, and may in the future, engage in discussions with the Issuer's management, Board of Directors, other shareholders, industry participants, or other relevant parties regarding the Issuer's business, operations, governance, capitalization, ownership structure, strategy, board composition, and other matters, including the possibility of one or more extraordinary transactions such as a merger, business combination, recapitalization, restructuring, or other strategic transaction involving the Issuer.\n\nOn July 27, 2026, certain of the Reporting Persons discussed with the Issuer's management potential changes in the composition of the board of directors of the Issuer and the addition of one or more directors nominated by the Reporting Persons. The Reporting Persons expect to continue this dialogue with the Issuer, its management and board of directors and may continue to propose or make additional proposals regarding a change in the present board of directors or management of the Issuer, including proposals to change the number or term of directors or to fill any existing vacancies on the board.\n\nExcept as set forth herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons reserve the right to develop such plans or proposals in the future and to take any and all actions that they may deem appropriate to maximize the value of their investment in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1367859/000110465926087976/0001104659-26-087976-index.html" }, { "accession_no": "0001072613-26-000599", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1527599, "issuer_name": "SYNLOGIC, INC.", "issuer_cusip": "87166L209", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-28", "filed_date": "2026-07-29", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": "As previously disclosed by the Issuer, on July 28, 2026, the Issuer entered into an Agreement and Plan of Merger (the \"Merger Agreement\") by and among the Issuer, Caldera Therapeutics, Inc. (\"Caldera\"), Sonic Holdco, Inc. (\"Parent\"), Yellowstone Merger Sub, Inc., a direct, wholly owned subsidiary of Parent (\"Caldera Merger Sub\"), and Sonic Merger Sub, Inc., a direct, wholly owned subsidiary of Parent (\"Synlogic Merger Sub\").\n\nPursuant to the Merger Agreement, and upon the terms and subject to the satisfaction of the conditions described therein, the Issuer will be merged with and into Synlogic Merger Sub, with the Issuer surviving as a wholly owned subsidiary of Parent (the \"Synlogic Merger\"), and Caldera will be merged with and into Caldera Merger Sub, with Caldera surviving as a wholly owned subsidiary of Parent (the \"Caldera Merger\" and, together with the Synlogic Merger, the \"Mergers\").\n\nSubject to the terms and conditions of the Merger Agreement, (a) at the effective time of the Caldera Merger (the \"Caldera Effective Time\") and following the conversion into shares of common stock of Caldera, $0.0001 par value per share (\"Caldera Common Stock\") of Caldera's (i) Series A Preferred Stock, $0.00001 par value per share, and (ii) Series A-1 Preferred Stock, $0.00001 par value per share, each then-outstanding share of Caldera Common Stock (excluding any shares of Caldera Common Stock held by stockholders who have exercised and perfected appraisal rights for such shares) will be converted into the right to receive a number of shares of common stock of Parent, $0.001 par value per share (\"Parent Common Stock\"), calculated in accordance with the applicable exchange ratio as set forth in the Merger Agreement and (b) immediately following the Caldera Effective Time, at the effective time of the Synlogic Merger, each then-outstanding share of Common Stock of the Issuer (excluding any shares of Common Stock held by stockholders who have exercised and perfected appraisal rights for such shares) will be converted into the right to receive a number of shares of Parent Common Stock, calculated in accordance with the applicable exchange ratio as set forth in the Merger Agreement.\n\nConcurrently with the execution of the Merger Agreement, NEA 14 and certain stockholders of the Issuer (each, a \"Stockholder\" and together, the \"Stockholders\") entered into support agreements (the \"Support Agreements\") in favor of Caldera, providing, among other things, that such Stockholders will vote all of their eligible shares of capital stock of the Issuer: (i) in favor of approving the Mergers and the other actions contemplated by the Merger Agreement and (ii) against any proposal made in opposition to, or in competition with, the Merger Agreement or the Mergers.\n\nThe foregoing descriptions of the Merger Agreement and the Support Agreements are qualified in their entirety by reference to the full text of such agreements. The Merger Agreement and the form of Support Agreement are included as Exhibit 2.1 and Exhibit 10.1, respectively, of the Issuer's Form 8-K, filed with the Securities and Exchange Commission on July 29, 2026 (the \"Form 8-K\") and are incorporated herein by reference.\n\nNEA 14 now holds a total of 2,922,722 shares of Common Stock (the \"NEA 14 Shares\"). As a result of the Support Agreements, the Reporting Persons may be deemed to be members of a \"group\" with the parties to the Support Agreements.*\n\n* See the Schedule 13D or 13G (or an amendment thereto to the extent any material change in the facts set forth in any Schedule 13D or 13G previously filed by any other Stockholder has occurred) filed, or that the Reporting Persons anticipate will be filed, separately by each Stockholder, which includes, or will include, information regarding the other Stockholder's jurisdiction of organization, principal business and address of principal office.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1527599/000107261326000599/0001072613-26-000599-index.html" }, { "accession_no": "0000947871-26-000732", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1853921, "issuer_name": "Scribe Therapeutics, Inc.", "issuer_cusip": "811033109", "securities_class_title": "Common Stock", "date_of_event": "2026-07-27", "filed_date": "2026-07-29", "item3_funds_source": "In July 2026, OrbiMed Advisors and GP VIII, pursuant to their authority under the limited partnership agreement of OrbiMed Private Investments VIII, LP (\"OPI VIII\"), as more particularly described in Item 6 below, caused OPI VIII to purchase 2,065,672 shares of Series B preferred stock, par value $0.001 per share of the Issuer (\"Series B preferred stock\").\n\nEach outstanding share of Series B preferred stock converted into Shares at a ratio of 1-for-0.1689 immediately upon the completion of the Issuer's initial public offering (the \"IPO\").\n\nOn and prior to the closing of the IPO, OrbiMed Advisors and GP VIII, pursuant to their authority under the limited partnership agreement of OPI VIII, caused OPI VIII to purchase 1,000,000 Shares in the IPO at purchase price of $15.00 per Share.\n\nThe source of funds for such purchases was the working capital of OPI VIII.", "item4_transaction_purpose": "This Statement on Schedule 13D relates to the acquisition of Shares by the Reporting Persons. The Shares acquired by the Reporting Persons were acquired for the purpose of making an investment in the Issuer and not with the intention of acquiring control of the Issuer's business on behalf of the Reporting Persons' respective advisory clients.\n\nThe Reporting Persons from time to time intend to review their investment in the Issuer on the basis of various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's Shares in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time. If the Reporting Persons believe that further investment in the Issuer is attractive, whether because of the market price of Shares or otherwise, they may acquire Shares or other securities of the Issuer either in the open market or in privately negotiated transactions. Similarly, depending on market and other factors, the Reporting Persons may determine to dispose of some or all of the Shares currently owned by the Reporting Persons or otherwise acquired by the Reporting Persons either in the open market or in privately negotiated transactions.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons have not formulated any plans or proposals which relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) a sale or transfer of a material amount of the assets of the Issuer or any of its subsidiaries, (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the Issuer's capitalization or dividend policy of the Issuer, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's charter or bylaws or other instrument corresponding thereto or other action which may impede the acquisition of control of the Issuer by any person, (h) causing a class of the Issuer's securities to be deregistered or delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1853921/000094787126000732/0000947871-26-000732-index.html" }, { "accession_no": "0000921895-26-001889", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1527599, "issuer_name": "SYNLOGIC, INC.", "issuer_cusip": "87166L209", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-28", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn July 28, 2026, the Issuer entered into an Agreement and Plan of Merger (the \"Merger Agreement\") by and among the Issuer, Caldera Therapeutics, Inc., a Delaware corporation (\"Caldera\"), Sonic Holdco, Inc., a Delaware corporation (\"Parent\"), Yellowstone Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Parent (\"Caldera Merger Sub\"), and Sonic Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Parent (\"Synlogic Merger Sub\"). Pursuant to and subject to the terms of the Merger Agreement, among other things, the Issuer will be merged with and into Synlogic Merger Sub, with the Issuer surviving as a wholly owned subsidiary of Parent (the \"Merger\"), as more fully described in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on July 29, 2026.\n\nConcurrently with the execution of the Merger Agreement, the Reporting Persons entered into a Support Agreement (the \"Support Agreement\") with Caldera and the Issuer. Under the terms of the Support Agreement, the Reporting Persons have agreed to vote all of their Shares in favor of the Merger and the adoption of the Merger Agreement and against any proposal made in opposition to, or in competition with, the Merger Agreement or the Merger. In addition, the Reporting Persons have agreed not to take certain actions, including (i) selling or transferring any Shares (subject to certain exceptions), (ii) granting any proxies or powers of attorney with respect to the Shares, and (iii) exercising any appraisal rights with respect to the Merger. The Reporting Persons have, subject to certain conditions, also granted an irrevocable proxy to the Issuer to vote the Shares on the supported matters. The Support Agreement terminates in certain circumstances, including, among others, upon the valid termination of the Merger Agreement in accordance with its terms and by written agreement of the parties thereto.\n\nThe foregoing description of the Support Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the form of Support Agreement, which is attached hereto as Exhibit 99.1 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1527599/000092189526001889/0000921895-26-001889-index.html" }, { "accession_no": "0000919574-26-004669", "submission_type": "SCHEDULE 13D/A", "amendment_no": 34, "issuer_cik": 1604481, "issuer_name": "CMB.TECH NV", "issuer_cusip": "B38564108", "securities_class_title": "Ordinary Shares, no par value", "date_of_event": "2026-06-17", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": "On June 17, 2026, CMB entered into a USD 500,000,000 revolving credit facility agreement (the \"Facility Agreement\") and a securities pledge agreement (the \"Securities Pledge Agreement\") with certain banks. In connection with the transaction, CMB pledged all of its current and future Ordinary Shares of the Issuer as collateral for its obligations under the Facility Agreement. The pledged securities include the 178,726,458 Ordinary Shares directly held by CMB. The Facility Agreement and the Securities Pledge Agreement include financial and other covenants and customary events of default.\n\nThe Facility Agreement refinanced $250,000,000 of the Borrower's existing USD 500,000,000 syndicated term loan facility agreement dated August 12, 2025 and provides a $250,000,000 revolving credit facility, the proceeds of which may be used for, among other things, asset acquisitions.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1604481/000091957426004669/0000919574-26-004669-index.html" }, { "accession_no": "0000897101-26-000340", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 827773, "issuer_name": "Franklin Premier Income Trust", "issuer_cusip": "746853100", "securities_class_title": "Common Stock", "date_of_event": "2026-07-27", "filed_date": "2026-07-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/827773/000089710126000340/0000897101-26-000340-index.html" }, { "accession_no": "0000315066-26-001479", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1953520, "issuer_name": "Fidelity Core Real Estate Fund", "issuer_cusip": "31609J108", "securities_class_title": "COMMON SHARES OF BENEFICIAL OWNERSHIP", "date_of_event": "2026-07-22", "filed_date": "2026-07-29", "item3_funds_source": "Please see Schedule B for information regarding acquisition of securities.", "item4_transaction_purpose": "The Reporting Persons acquired the securities reported herein as seed capital in connection with the launch of the Issuer by Fidelity Diversifying Solutions LLC (the \"Investment Manager\") and its affiliates, as compensation for services and for investment purposes.\n\nPursuant to the Investment Management Agreement described below in Item 6, the Investment Manager provides advisory and management services to the Company and the Operating Partnership. The Investment Manager and the Issuer's trustee (the \"Trustee\") are both affiliates of FMR. All of the Issuer's officers are employees of the Investment Manager or one of its affiliates. In such capacities, the Investment Manager, the Trustee, and these individuals have influence over the corporate activities of the Issuer, including activities which relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D and from time-to-time have plans and/or proposals to engage in such activities in such capacity.\n\nExcept as described in this Schedule 13D, the Reporting Persons as shareholders of the Issuer do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons, at any time and from time to time, may review, reconsider and change their position, their purpose and/or develop such plans and may seek to influence management or the Board with respect to the business and affairs of the Issuer, and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.\n\nThe Issuer has adopted a distribution reinvestment plan (\"DRIP\") whereby shareholders may elect to have cash distributions otherwise payable to them by the Issuer automatically reinvested in additional Common Shares. Any cash distributions attributable to Common Shares owned by the participants who elect to participate in the DRIP will be immediately reinvested in additional Common Shares on behalf of the participants on the business day such distributions would have been paid to such participants. The Reporting Persons have elected to participate in the DRIP and will acquire additional shares pursuant to the DRIP for so long as they elect to participate in the plan.\n\nAs described in Item 6 below, pursuant to the Investment Management Agreement, certain fees owed to the Investment Manager may be paid in cash or in Common Shares at the Investment Manager's election. The Investment Manager has elected in the past, and expects to continue to elect for the foreseeable future, to receive Common Shares in lieu of cash for payment of some or all of its fees under the Investment Management Agreement. In addition, an affiliate of FMR has committed to purchase up to $50.0 million of Common Shares from the Issuer from time to time, as mutually agreed to with the Issuer. The amount available under this commitment is subject to adjustment to the extent any Shares are issued as payment for Management Fees payable to the Investment Manager.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1953520/000031506626001479/0000315066-26-001479-index.html" }, { "accession_no": "0002135648-26-000011", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2118032, "issuer_name": "Research Alliance Corporation III", "issuer_cusip": "G75226103", "securities_class_title": "Class A Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-07-26", "filed_date": "2026-07-28", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented as follows:\n\nBusiness Combination Agreement\n\nOn July 26, 2026, the Issuer, OHB Pediatrics Ltd., a company incorporated under the laws of England and Wales (the \"Company\"), and the shareholders of the Company (the \"Shareholders\"), entered into a Business Combination Agreement (as it may be amended, supplemented or otherwise modified from time to time, the \"Business Combination Agreement\"), pursuant to which, among other things and subject to the terms and conditions contained therein, the Issuer will acquire 100% of the outstanding shares in the capital of the Company from the Shareholders in exchange for newly issued shares of the RACC Common Stock (as defined below) (the \"Share Acquisition\"). The transactions contemplated by the Business Combination Agreement are referred to herein as the \"Transactions.\" The Business Combination Agreement and the Transactions were unanimously approved by the boards of directors of each of the Issuer and the Company. The Transactions are expected to close in the second half of 2026, following the receipt of the requisite approval of the Issuer's shareholders and the fulfillment of other customary closing conditions.\n\n\nThe Domestication\n\nThe Business Combination Agreement provides, among other things, that at least one business day prior to the closing of the transactions contemplated by the Business Combination Agreement (the \"Closing\" and the date upon which the Closing actually occurs, the \"Closing Date\"), (a) each outstanding Class B ordinary share of the Issuer will be converted, on a one-for-one basis, into a Class A ordinary share of the Issuer (the \"Sponsor Share Conversion\") and (b) the Issuer will de-register from the Register of Companies in the Cayman Islands and transfer by way of continuation from the Cayman Islands to Delaware and domesticate as a Delaware corporation in accordance with Section 388 of the General Corporation Law of the State of Delaware (the \"DGCL\") and Part 12 of the Companies Act (Revised) of the Cayman Islands (the \"Domestication\"). In connection with the Domestication, (i) each then outstanding Class A ordinary share of the Issuer (each, a \"RACC Class A Share\") will be converted automatically, on a one-for-one basis, into one share of common stock, par value $0.0001 per share, of the Issuer (the \"RACC Common Stock\") and (ii) the Issuer will file a certificate of incorporation (the \"RACC COI\") with the Secretary of State of the State of Delaware and adopt bylaws (the \"RACC Bylaws\").\n\n\nShareholder Redemptions\n\nThe Issuer will provide the holders of RACC Class A Shares the right to have all or a portion of their RACC Class A Shares redeemed for cash in connection with the Transactions, in accordance with the Issuer's governing documents, for a per-share price equal to the pro rata portion of the funds then in the Issuer's trust account (including interest earned on the funds held in the trust account, less taxes paid or payable).\n\n\nThe Share Acquisition\n\nSubject to the terms and conditions of the Business Combination Agreement, at the Closing and following the Domestication, each of the Shareholders will sell and transfer to the Issuer 100% of the outstanding shares in the capital of the Company (the \"Company Shares\") in exchange for newly issued shares of RACC Common Stock. The number of shares of RACC Common Stock to be issued as consideration for the Share Acquisition (the \"Closing Consideration\") is equal to (a) the Adjusted Equity Value (as defined below) divided by (b) $10.00. Each Shareholder will receive a number of shares of RACC Common Stock equal to the Exchange Ratio (as defined below) multiplied by the number of Company Shares held by such Shareholder. The \"Adjusted Equity Value\" means the sum of (a) a base equity value of $160,000,000 (the \"Base Equity Value\") plus (b) the Company SAFE Amount (as defined below). The \"Exchange Ratio\" means the Closing Consideration divided by the number of fully-diluted Company Shares outstanding as of immediately prior to the Closing. Upon consummation of the Share Acquisition, the Company will become a wholly-owned subsidiary of the Issuer.\n\n\nGovernance\n\nThe Issuer has agreed to take all action within its power as may be necessary or appropriate such that, effective immediately after the Closing, the board of directors of the Issuer will consist of the individuals set forth on a schedule to the Business Combination Agreement, which will be divided into three classes.\n\n\nConditions to Closing\n\nThe obligation of the parties to consummate the Transactions is subject to certain closing conditions, including, but not limited to, (i) the expiration or termination of the applicable waiting period under the Hart-Scott Rodino Antitrust Improvements Act, (ii) no governmental order or law preventing or prohibiting the consummation of the Transactions being in effect, (iii) the effectiveness of the Registration Statement / Proxy Statement, (iv) receipt of the requisite approvals of the Issuer's shareholders, (v) the approval for listing of RACC Common Stock on The Nasdaq Capital Market (\"Nasdaq\"), (vi) the completion of the Pre-Closing Reorganization (as defined in the Business Combination Agreement), (vii) the constitution of the board of directors of the Issuer as contemplated by the Business Combination Agreement, and (viii) the execution and delivery of the Investor Rights Agreement (as defined below).\n\nThe obligation of the Issuer to consummate the Transactions is also subject to the fulfillment of other customary closing conditions, including, but not limited to, (i) there having been no Company Material Adverse Effect (as defined in the Business Combination Agreement) since the date of the Business Combination Agreement that is continuing, (ii) the receipt of certain required third party consents, and (iii) the delivery by each Shareholder of a duly executed stock transfer form in respect of all Company Shares held by such Shareholder.\n\nThe obligation of the Company and the Shareholders to consummate the Transactions is also subject to the fulfillment of other customary closing conditions, including, but not limited to, (i) there having been no RACC Material Adverse Effect (as defined in the Business Combination Agreement) since the date of the Business Combination Agreement that is continuing, (ii) the Backstop Agreement being in full force and effect and RA Capital Healthcare Fund, L.P. (the \"Fund\") having complied in all material respects with its obligations thereunder, and (iii) the consummation of the Domestication.\n\n\nTermination\n\nThe Business Combination Agreement may be terminated under certain customary and limited circumstances prior to the Closing, including, but not limited to, (i) by mutual written consent of the Issuer, the Company and the Shareholders, (ii) by the Issuer if the representations and warranties of the Company or the Shareholders are not true and correct or if the Company or any Shareholder fails to perform any covenant or agreement set forth in the Business Combination Agreement such that certain conditions to Closing cannot be satisfied and the breach or breaches of such representations or warranties or the failure to perform such covenant or agreement, as applicable, are not cured or cannot be cured within certain specified time periods, (iii) by the Shareholders if the representations and warranties of the Issuer are not true and correct or if the Issuer fails to perform any covenant or agreement set forth in the Business Combination Agreement such that certain conditions to Closing cannot be satisfied and the breach or breaches of such representations or warranties or the failure to perform such covenant or agreement, as applicable, are not cured or cannot be cured within certain specified time periods, (iv) subject to certain limited exceptions, by either the Issuer or the Shareholders if the Transactions shall not have been consummated by a date that is six months from the date of the Business Combination Agreement (subject to automatic extension in certain circumstances), (v) by either the Issuer or the Shareholders if any governmental authority has issued a final and non-appealable order prohibiting the Transactions, and (vi) by either the Issuer or the Shareholders if the requisite Issuer shareholder approvals are not obtained after the conclusion of the meeting at which the Issuer's shareholders voted on such matters.\n\n\nSponsor Letter Agreement\n\nConcurrently with the execution of the Business Combination Agreement, the Issuer, RA Holdings III, Michael F. MacLean and Timothy J. Miller (the \"Other Class B Shareholders\") and the Company entered into the Sponsor Letter Agreement (the \"Sponsor Letter Agreement\"), pursuant to which RA Holdings III and each Other Class B Shareholder, as holders of Class B ordinary shares, have agreed to, among other things, (i) vote in favor of the Business Combination Agreement and the Transactions, (ii) waive any adjustment to the conversion ratio set forth in the governing documents of the Issuer or any other anti-dilution or similar protection with respect to the Class B ordinary shares (whether resulting from the transactions contemplated by the Subscription Agreements (as defined below) or otherwise), and (iii) be bound by certain other covenants and agreements related to the Transactions, in each case, on the terms and subject to the conditions set forth in the Sponsor Letter Agreement.\n\n\nCompany SAFEs\n\nConcurrently with the execution of the Business Combination Agreement, each of the Fund and RA Capital Nexus Fund IV, L.P. (the \"Nexus Fund IV\") entered into a simple agreement for future equity (collectively, the \"Company SAFEs\") with the Company, pursuant to which the Fund and the Nexus Fund IV have collectively agreed to provide interim financing to the Company in the aggregate principal amount of $45,000,000, bearing interest at a rate of 8% per annum. The Company SAFEs will convert into ordinary shares of the Company immediately prior to the Closing. The sum of the principal amount of the Company SAFEs and all accrued and unpaid interest thereon as of the Closing Date is referred to as the \"Company SAFE Amount.\" The Company SAFE Amount is added to the Base Equity Value to determine the Adjusted Equity Value for purposes of calculating the Closing Consideration.\n\n\nBackstop Agreement\n\nConcurrently with the execution of the Business Combination Agreement, the Issuer and the Fund entered into the Backstop Agreement (the \"Backstop Agreement\"), pursuant to which the Fund has committed to subscribe for up to 7,500,000 shares of RACC Common Stock at a purchase price of $10.00 per share (the \"Backstop Limit\"), to the extent necessary to backstop the Issuer's shareholder redemptions, on the terms and subject to the conditions set forth in the Backstop Agreement. The Backstop Limit will be reduced by the number of shares of RACC Common Stock not subject to shareholder redemptions. The aggregate amount the Fund will be required to fund shall not exceed $75,000,000.\n\n\nInvestor Rights Agreement\n\nAt the Closing, the Issuer, RA Holdings III, the Fund, the Nexus Fund IV, certain existing shareholders of the Issuer, and certain former shareholders of the Company will enter into an investor rights agreement (the \"Investor Rights Agreement\"). Pursuant to the Investor Rights Agreement, among other things, the Issuer will agree that, within 30 calendar days following the Closing Date, the Issuer will file with the SEC a registration statement on Form S-1 (or Form S-3, if then eligible) for a shelf registration covering the resale of all registrable securities held by or issuable to the parties thereto (the \"Resale Registration Statement\"), and the Issuer will use its commercially reasonable efforts to have the Resale Registration Statement declared effective as soon as practicable after the filing thereof. Such holders will be entitled to customary piggyback registration rights and demand underwritten offering rights.\n\nThe Investor Rights Agreement will amend and restate the registration and shareholder rights agreement that was entered into by the Issuer, RA Holdings III and Other Class B Shareholders in connection with the Issuer's initial public offering. The Investor Rights Agreement will terminate on the earlier of (a) the fifth anniversary of the date of the Investor Rights Agreement or (b) with respect to any holder party thereto, on the date that such holder no longer holds any registrable securities (as defined therein).\n\n\nLock-Up Agreement\n\nAt the Closing, RA Holdings III, the Other Class B Shareholders, and certain existing shareholders of the Company will enter into a lock-up agreement (the \"Lock-Up Agreement\") with the Issuer. Pursuant to the Lock-Up Agreement, RA Holdings III, the Other Class B Shareholders, and certain existing shareholders of the Company will agree not to transfer (except for certain permitted transfers) any shares of RACC Common Stock held by such holders immediately after the Closing (excluding shares issued pursuant to the Subscription Agreements, the Company SAFEs, and the Backstop Agreement) until six months after the Closing Date.\n\n\nCertificate of Incorporation and Bylaws\n\nIn connection with the Domestication, the Issuer will file the RACC COI with the Secretary of State of the State of Delaware and will adopt the RACC Bylaws, which together will govern the rights, privileges, and preferences of the holders of the Issuer's securities after the Closing.\n\nThe foregoing descriptions of the Business Combination Agreement, Sponsor Letter Agreement, Company SAFEs, Backstop Agreement, Investor Rights Agreement and Lock-Up Agreement do not purport to be complete and are qualified in their entirety by reference to the full text of such documents or the forms thereof, which are filed as Exhibits 99.4 through 99.9, respectively, hereto and incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2118032/000213564826000011/0002135648-26-000011-index.html" }, { "accession_no": "0002037885-26-000005", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2013792, "issuer_name": "EWSB Bancorp, Inc. /MD/", "issuer_cusip": "26929P107", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-06-29", "filed_date": "2026-07-28", "item3_funds_source": "The shares of the Issuer's Common Stock were purchased with personal funds.", "item4_transaction_purpose": "The shares covered by this Schedule 13D are being held for investment purposes. Mr. Schmalz and Mrs. Schmalz may, from time to time, acquire additional securities of the Issuer using personal funds through a broker and/or privately negotiated transactions or dispose of securities.\n\nExcept as described above, neither Mr. Schmalz (except in his capacity as an officer and Director of the Issuer and of East Wisconsin Savings Bank, the wholly-owned subsidiary of the Issuer) nor Mrs. Schmalz have any present plans or proposals that relate to or would result in any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Person may change his purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2013792/000203788526000005/0002037885-26-000005-index.html" }, { "accession_no": "0001753926-26-001240", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2018462, "issuer_name": "PicoCELA Inc.", "issuer_cusip": "71989C208", "securities_class_title": "American depositary shares, each representing one common share", "date_of_event": "2026-07-16", "filed_date": "2026-07-28", "item3_funds_source": "The purchase price of each of the 20,000,000 Preferred Shares was $0.25 per share, totaling $5,000,000, which amount was paid in cash. The funds used by About Investment to acquire the Preferred Shares were derived from its working capital. No part of the purchase price was represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the securities covered by this Schedule 13D.", "item4_transaction_purpose": "The Reporting Persons acquired the Preferred Shares for investment purposes and in connection with a negotiated strategic investment in the Issuer.\n\nPursuant to the Class A Preferred Shares Purchase Agreement, dated July 14, 2026 (the \"Purchase Agreement\") between the Issuer and About Investment, the Issuer agreed to issue and sell 20,000,000 Preferred Shares at the price of $0.25 per share, for gross proceeds of $5,000,000. On July 16, 2026, upon the Issuer's receipt of the net proceeds, after deducting advisory fees and expense payable to Univest Securities, LLC, the Issuer's placement agent and financial advisor, About Investment obtained 20,000,000 Preferred Shares from the Issuer pursuant to the Purchase Agreement, subject to certain registration requirement in Japan.\n\nThe Purchase Agreement provides, among other things, that: (i) About Investment has the right, as a shareholder, and subject to applicable Japanese law, to propose the appointment and replacement of directors to the board of directors of the Issuer (the \"Board\"); (ii) the Board may not propose an adjustment to the size of the Board without About Investment's prior consent; (iii) the Issuer and the Board shall not issue any equity, equity derivatives, equity convertible instruments, or equity compensation for directors and employees (the \"Japanese Equity Securities\") without About Investment's prior consent until the Issuer amends its articles of incorporation to require a shareholders meeting to issue the Japanese Equity Securities; (iv) during the period when About Investment holds more than 50% of the Issuer's voting rights (the \"Holding Period\"), the Issuer may not, without About Investment's consent, issue common shares, ADSs, preferred shares or other securities; (v) during the Holding Period, the Board is required to elect a director designated by About Investment as a representative director with sole authority to execute agreements on behalf of the Issuer; and (vi) during the Holding Period, the Issuer may not, without About Investment's prior written consent, sell, transfer, assign, license, pledge, encumber, dispose of or otherwise convey any assets, intellectual property, cash or other property worth more than $250,000, except for the ordinary course of operations.\n\nThe Purchase Agreement further provides that Preferred Shares are convertible at the holder's election into one common share (represented by one ADS upon the deposit of such common share with the Issuer's depositary and the issuance of such ADS by the depositary) per Preferred Share, subject to customary adjustments for stock splits, reverse stock splits and similar events. If the price of the common shares, or the ADS price equivalent, is $0.50 or less for 20 consecutive trading days, each Preferred Share becomes convertible into two common shares. Each Preferred Share is entitled to one vote on all matters submitted to shareholders.\n\nAs a result of the governance, consent and board-designation rights described above, the Reporting Persons may be deemed to have acquired the securities with a purpose or effect of changing or influencing control of the Issuer. Depending on various factors, including the Issuer's financial position and strategic direction, actions taken by the Board and the Issuer's management (the \"Management\"), the price and availability of the Issuer's securities, other investment opportunities available to the Reporting Persons, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may take such actions as they deem appropriate, including acquiring additional securities, disposing of securities, exercising conversion or voting rights, proposing or supporting changes to the Board, the Management, and the governance, capitalization, business or strategic direction of the Issuer, or taking any other action described in clauses (a) through (j) of Item 4 of Rule 13d-101 of Regulation 13D-G of the Securities Exchange Act of 1934, as amended.\n\nExcept as described in this Schedule 13D, the Reporting Persons do not currently have any specific plan or proposal that relates to or would result in any of the actions pursuant to provisions described above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2018462/000175392626001240/0001753926-26-001240-index.html" }, { "accession_no": "0001508155-26-000004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1111928, "issuer_name": "IPG Photonics Corporation", "issuer_cusip": "44980X109", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-02-18", "filed_date": "2026-07-28", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1111928/000150815526000004/0001508155-26-000004-index.html" }, { "accession_no": "0001437749-26-024641", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2143673, "issuer_name": "Uranium Royalty Corp.", "issuer_cusip": "91703D100", "securities_class_title": "Common Stock, par value $0.001", "date_of_event": "2026-07-27", "filed_date": "2026-07-28", "item3_funds_source": "The Reporting Person acquired shares of Common Stock of the Issuer in connection with a transaction contemplated by that certain Arrangement Agreement, dated as of April 16, 2026, as amended, through which the Issuer domesticated as a corporation in the State of Delaware (the \"Arrangement\"). Prior to the Arrangement, the Reporting Person held 28,967,375 common shares of Uranium Royalty Corp. (Canada). Upon effectiveness of the Arrangement, such common shares were converted into, or otherwise exchanged for, the 28,967,375 shares of Common Stock of the Issuer reported herein.", "item4_transaction_purpose": "The Reporting Person intends to review its investment in the Issuer on a continuing basis taking into consideration various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for shares of Common Stock of the Issuer, in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Person will take such actions in the future as the Reporting Person may deem appropriate in light of the circumstances existing from time to time, which may include further acquisitions of shares of Common Stock of the Issuer or disposal of some or all of the shares of Common Stock of the Issuer owned by the Reporting Person or otherwise acquired by the Reporting Person, either in the open market or in privately negotiated transactions.\n\nAny open market or privately negotiated purchases or sales, acquisition recommendations or proposals or other transactions concerning the Issuer may be made at any time without prior notice. Any alternative may depend upon a variety of factors, including, without limitation, current and anticipated future trading prices of the securities, the financial condition, results of operations and prospects of the Issuer and general industry conditions, the availability, form and terms of financing, other investment and business opportunities, general stock market and economic conditions, tax considerations and other factors. Although the foregoing reflects plans and proposals presently contemplated by the Reporting Person with respect to the Issuer, the foregoing is subject to change at any time and dependent upon contingencies and assumed and speculative conditions, and there can be no assurance that any of the actions set forth above will be taken.\n\nDepending upon each factor discussed above and any other factor (which may be unknown at this time) that is, or may become relevant, the Reporting Person may consider, among other things: (a) the acquisition by the Reporting Person of additional securities of the Issuer, the disposition of securities of the Issuer, or the exercise of convertible securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) changes in the present board of directors or management of the Issuer; (e) a material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's certificate of incorporation, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing any class of the Issuer's securities to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act; or (j) any action similar to those enumerated above.\n\nExcept to the extent that the foregoing may be deemed to be a plan or proposal, the Reporting Person does not currently have any plans or proposals that relate to or would result in any of the actions specified in clause (a) through (j) of this Item 4 of Schedule 13D. Depending upon the foregoing factors and to the extent deemed advisable in light of its general investment policies, or other factors, the Reporting Person may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer or the shares of Common Stock of the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in paragraphs (a) through (j) of this Item 4 of Schedule 13D. The foregoing is subject to change at any time, and there can be no assurance that the Reporting Person will take any of the actions set forth above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2143673/000143774926024641/0001437749-26-024641-index.html" }, { "accession_no": "0001398344-26-012888", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2028699, "issuer_name": "Dynamix Corp", "issuer_cusip": "G2949D104", "securities_class_title": "Common Stock", "date_of_event": "2026-07-24", "filed_date": "2026-07-28", "item3_funds_source": "Shares of the Issuer have been accumulated on behalf of clients of Bulldog Investors, LLP and its affiliate.", "item4_transaction_purpose": "On July 24, 2026, the filing persons received a written response to the letter filed herewith from the issuer's counsel stating, in part, that \"Dynamix's directors and officers have at all times complied, and will continue to comply, with their duties, which are owed to Dynamix under Cayman Islands law, their obligations under Dynamix's organizational documents and agreements, and Dynamix's Code of Business Conduct and Ethics and other corporate policies and procedures.\" However, the response did not provide any basis for that conclusion.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2028699/000139834426012888/0001398344-26-012888-index.html" }, { "accession_no": "0001214659-26-009123", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1354866, "issuer_name": "Byrna Technologies Inc.", "issuer_cusip": "12448X201", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-07-24", "filed_date": "2026-07-28", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows (which shall be in addition to the information previously included in the Schedule 13D):\nIn aggregate, the Reporting Persons are deemed to have voting and dispositive power over 2,296,635 shares of Common Stock of the Company. On July 24, 2026, Mr. Ganz exercised restricted stock units for 565,000 shares of Common Stock previously issued to him as compensation.\nNo purchase price was paid in connection with Mr. Ganz's exercise of the restricted stock units previously issued to Mr. Ganz by the Issuer, and, accordingly no funds were borrowed in connection with the exercise of the restricted stock units. No portion of the purchase price paid in connection with the transactions described under Item 5(c) was represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading, or voting the securities.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows (which shall be in addition to the information previously included in the Schedule 13D):\nThe Reporting Persons are making this filing to reflect material changes in ownership of the Issuer's Common Stock, due to Mr. Ganz's exercise of restricted stock units for 565,000 shares on July 24, 2026. Also, in light of the significant decline in the market price of the Issuer's stock since his retirement on March 2, 2026, Mr. Ganz has spoken with other stockholders of the Issuer regarding possible options to address this decline. Mr. Ganz does not believe that a \"group\" has been formed for purposes of Section 13 under the Securities Exchange Act of 1934 but is amending his prior Schedule 13D filing to disclose these conversations as a precautionary measure in the event they result in the formation of a \"group.\".", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1354866/000121465926009123/0001214659-26-009123-index.html" }, { "accession_no": "0001213900-26-082465", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2076192, "issuer_name": "Westin Acquisition Corp", "issuer_cusip": "G9584S106", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-07-25", "filed_date": "2026-07-28", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and supplemented as follows:\n\nEffective July 25, 2026, pursuant to the Share Transfer Agreement, EU Asia Holidays acquired all of the issued and outstanding shares of Westin Investment from Westin Ventures Holdings Ltd. for consideration of US$1.00 and other good and valuable consideration. As a result, EU Asia Holidays indirectly acquired beneficial ownership of the Issuer securities held directly by Westin Investment.", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented as follows:\n\nEffective July 25, 2026, pursuant to the Share Transfer Agreement dated July 25, 2026 (the \"Share Transfer Agreement\"), EU Asia Holidays acquired all of the issued and outstanding shares of Westin Investment from Westin Ventures Holdings Ltd. As a result, EU Asia Holidays became the sole shareholder of the Sponsor and, together with Mr. Ong, the indirect beneficial owner of the Issuer's securities held directly by the Sponsor. The transaction did not result in any transfer of the Issuer's securities held directly by the Sponsor, but rather resulted solely in a change in the indirect ownership and ultimate control of the Sponsor.\n\nExcept as set forth in this Amendment No. 1, the Reporting Persons do not presently have any plans or proposals that relate to or would result in any of the matters described in paragraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to formulate plans or proposals and to take such actions with respect to their investment as they may determine appropriate from time to time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2076192/000121390026082465/0001213900-26-082465-index.html" }, { "accession_no": "0001193125-26-321790", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2119505, "issuer_name": "Core University Living Real Estate Income Trust", "issuer_cusip": "21874U805", "securities_class_title": "Common shares of beneficial interest, par value $0.01 per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-28", "item3_funds_source": "CS RE Holdings acquired the 3,090,859 Shares it directly holds by paying $30,908,590 in cash, funded from working capital and capital contributions made to Core Spaces.", "item4_transaction_purpose": "The Shares reported herein held by CS RE Holdings were acquired as described in Items 3 and 6 of this Schedule 13D. CS RE Holdings holds Shares for investment purposes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2119505/000119312526321790/0001193125-26-321790-index.html" }, { "accession_no": "0001193125-26-321242", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1998387, "issuer_name": "5C Lending Partners Corp.", "issuer_cusip": "000000000", "securities_class_title": "Common stock, par value $0.001 per share", "date_of_event": "2026-07-24", "filed_date": "2026-07-28", "item3_funds_source": "Item 3 of the Schedule 13D is hereby supplemented as follows:\n\nOn July 24, 2026, following the Issuer's delivery of a drawdown notice pursuant to the Subscription Agreement, Noble Investments acquired 1,274,194 shares of Common Stock from the Issuer at a price per share of $24.29 using working capital.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nThe information provided in Item 3 of the Amendment is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1998387/000119312526321242/0001193125-26-321242-index.html" }, { "accession_no": "0001193125-26-318891", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1616533, "issuer_name": "Penguin Solutions, Inc.", "issuer_cusip": "G8232Y101", "securities_class_title": "Ordinary Shares, par value $0.03 per share", "date_of_event": "2026-07-27", "filed_date": "2026-07-28", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented by the information contained in Item 6 of this Amendment No. 1, which is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1616533/000119312526318891/0001193125-26-318891-index.html" }, { "accession_no": "0000943374-26-000322", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2013792, "issuer_name": "EWSB Bancorp, Inc.", "issuer_cusip": "26929P107", "securities_class_title": "Common Stock", "date_of_event": "2026-06-29", "filed_date": "2026-07-28", "item3_funds_source": "The shares of the Issuer's Common Stock were purchased with personal funds.", "item4_transaction_purpose": "The shares covered by this Schedule 13D are being held for investment purposes. Mr. Schneider and Mrs. Schneider may, from time to time, acquire additional securities of the Issuer using personal funds through a broker and/or privately negotiated transactions or dispose of securities.\n\nExcept as described above, neither Mr. Schneider (except in his capacity as an officer of the Issuer and of East Wisconsin Savings Bank, the wholly-owned subsidiary of the Issuer) nor Mrs. Schneider have any present plans or proposals that relate to or would result in any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Person may change his purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2013792/000094337426000322/0000943374-26-000322-index.html" }, { "accession_no": "0000943374-26-000321", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2013792, "issuer_name": "EWSB Bancorp, Inc.", "issuer_cusip": "26929P107", "securities_class_title": "Common Stock", "date_of_event": "2026-06-29", "filed_date": "2026-07-28", "item3_funds_source": "The shares of the Issuer's Common Stock were purchased with personal funds.", "item4_transaction_purpose": "The shares covered by this Schedule 13D are being held for investment purposes. Mr. Mangold and Mrs. Mangold may, from time to time, acquire additional securities of the Issuer using personal funds through a broker and/or privately negotiated transactions or dispose of securities.\n\nExcept as described above, neither Mr. Mangold (except in his capacity as an officer of the Issuer and of East Wisconsin Savings Bank, the wholly-owned subsidiary of the Issuer) nor Mrs. Mangold have any present plans or proposals that relate to or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Person may change his purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2013792/000094337426000321/0000943374-26-000321-index.html" }, { "accession_no": "0000921895-26-001883", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 357301, "issuer_name": "TrustCo Bank Corp NY", "issuer_cusip": "898349204", "securities_class_title": "Common Stock, par value $1.00 per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-28", "item3_funds_source": "The Shares purchased by Fund V were purchased with working capital and may be held from time to time in margin accounts established with its brokers or banks. Securities positions held in such margin accounts, including the Shares, may be pledged as collateral security for the repayment of debit balances in such accounts. The aggregate purchase price of the 872,744 Shares beneficially owned by Fund V is approximately $31,004,179, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nThe Reporting Persons have engaged, and expect to continue to engage, in discussions with certain members of the Issuer's management team and Board of Directors (the \"Board\") regarding opportunities to enhance shareholder value.\n\nNo Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board, engaging in discussions with shareholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/357301/000092189526001883/0000921895-26-001883-index.html" }, { "accession_no": "0000897069-26-001544", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1651721, "issuer_name": "GENERATION INCOME PROPERTIES, INC.", "issuer_cusip": "37149D402", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-24", "filed_date": "2026-07-28", "item3_funds_source": "On July 24, 2026, Generation Income Properties, Inc., a Maryland corporation (the \"Company\"), Generation Income Properties, L.P., a Delaware limited partnership and the operating partnership of the Company (the \"Operating Partnership\"), and the David E. Sobelman Revocable Trust (the \"Sobelman Trust\"), entered into a Debt Conversion Agreement (the \"Debt Conversion Agreement\"). Pursuant to the Debt Conversion Agreement, the Operating Partnership and the Sobelman Trust agreed to convert $120,000 of the outstanding debt (the \"Converted Debt\") owed by the Operating Partnership to the Sobelman Trust under that certain Promissory Note, dated as of May 29, 2025, issued by the Operating Partnership in the original principal amount of $610,000 (the \"Note\"), into 162,163 shares of common stock, par value $0.01 per share, of the Company (the \"Common Stock\").", "item4_transaction_purpose": "The purpose was to convert debt into shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1651721/000089706926001544/0000897069-26-001544-index.html" }, { "accession_no": "0000807249-26-000058", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 61004, "issuer_name": "LGL GROUP INC", "issuer_cusip": "50186A108", "securities_class_title": "Common Stock", "date_of_event": "2026-07-15", "filed_date": "2026-07-28", "item3_funds_source": "The Reporting Persons used an aggregate of approximately $22,988,557 to purchase the additional Securities reported as beneficially owned in Item 5 since the most recent filing on Schedule 13D. Marc Gabelli used approximately $12,792,703 to purchase the additional Securities reported by him. Venator Merchant Fund L.P. used approximately $10,195,854 to purchase the additional Securities reported by it.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/61004/000080724926000058/0000807249-26-000058-index.html" }, { "accession_no": "0000038777-26-000200", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-07-27", "filed_date": "2026-07-28", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000200/0000038777-26-000200-index.html" }, { "accession_no": "0001493152-26-034889", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1940674, "issuer_name": "SMX (Security Matters) Public Limited Company", "issuer_cusip": "G8267K406", "securities_class_title": "Ordinary Shares, par value $0.00000000558603475 par value per share", "date_of_event": "2026-07-23", "filed_date": "2026-07-27", "item3_funds_source": "The Company's 2022 Incentive Equity Plan, as amended (the \"Incentive Plan\"), authorizes 781,641 Ordinary Shares for grant under the Incentive Plan to officers, directors, employees, advisors and other service providers of the Company.\n\nThe Company has granted to Mr. Alon 100,000 restricted stock units (\"RSUs\") under the Incentive Plan, each of which represents a contingent right to receive one (1) Ordinary Share. All of the RSUs vested upon grant and it was a condition to grant that the Reporting Person shall not have the underlying Ordinary Shares register for trading before January 22, 2027.", "item4_transaction_purpose": "See Item 3 above.\n\nThe Reporting Person acquired the securities described Item 3 for compensatory purposes pursuant to the Incentive Plan. Subject to applicable law and the Company's Articles of Association, the Reporting Person may acquire additional securities in the Company pursuant to the Incentive Plan.\n\nOther than as described above, the Reporting Person as of the date of the event requiring filing of Report does not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Item 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Person may change its purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1940674/000149315226034889/0001493152-26-034889-index.html" }, { "accession_no": "0001214659-26-009076", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1643303, "issuer_name": "Nano Dimension Ltd.", "issuer_cusip": "63008G203", "securities_class_title": "Ordinary Shares par value NIS 5.00 per share", "date_of_event": "2026-07-23", "filed_date": "2026-07-27", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended to add the following:\n\nSince June 30, 2026 the Reporting Persons have expended an aggregate of approximately $3.6 million to purchase 2,422,999 of the Issuer's Ordinary Shares through the open market. The Ordinary Shares were acquired in the ordinary course of business.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1643303/000121465926009076/0001214659-26-009076-index.html" }, { "accession_no": "0001213900-26-081589", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1887673, "issuer_name": "Wearable Devices Ltd.", "issuer_cusip": "M97838409", "securities_class_title": "Ordinary shares, no par value per share", "date_of_event": "2026-07-23", "filed_date": "2026-07-27", "item3_funds_source": "The Reporting Persons have invested an aggregate of approximately $951,425 (excluding brokerage commissions and other transaction costs) to acquire an aggregate of 543,361 Ordinary Shares of the Issuer. J.B.D invested approximately $835,859 (excluding brokerage commissions and other transaction costs) to acquire 477,361 Ordinary Shares of the Issuer, and Victor Tshuva & Co. invested approximately $115,566 (excluding brokerage commissions and other transaction costs) to acquire 66,000 Ordinary Shares of the Issuer.\n\nThe aggregate purchase price of the 66,000 Ordinary Shares beneficially owned by Victor Tshuva & Co. was approximately $115,566, or $1.751 per share, excluding brokerage commissions and other transaction costs. Pursuant to an agreement, dated July 26, 2026, between J.B.D and Victor Tshuva & Co. (the \"Agreement\"), J.B.D agreed to acquire such shares and transfer them to Victor Tshuva & Co., and Victor Tshuva & Co. agreed to purchase such shares from J.B.D for an aggregate purchase price of $116,297 (which includes the purchase price of the shares, including brokerage commissions and other transaction costs) within five days following receipt of notice from J.B.D.\n\nThe foregoing description of the Agreement does not purport to be complete and is qualified in its entirety by reference to the Agreement, a copy of which is filed as Exhibit 2 to this Schedule 13D and is incorporated herein by reference.", "item4_transaction_purpose": "On July 27, 2026, the Reporting Persons delivered a demand letter to the Issuer pursuant to the Israeli Companies Law, 5759-1999, and the Issuer's Amended and Restated Articles of Association (the \"Articles of Association\") requesting that the Issuer convene a special general meeting of shareholders. A copy of the demand letter is attached hereto as Exhibit 3 and is incorporated herein by reference.\n\nIn the demand letter, the Reporting Persons requested that the agenda for such meeting include proposals to amend certain provisions of the Issuer's Articles of Association relating to the election and removal of directors, remove certain incumbent directors, elect four director nominees proposed by the Reporting Persons and approve compensation, exemption, indemnification and insurance arrangements for such nominees.\n\nThe Reporting Persons intend to continue engaging with the Issuer's board of directors, management, shareholders and other interested parties regarding the foregoing matters and may take such actions as they deem appropriate in connection therewith, including seeking shareholder support for the proposals described in the demand letter and exercising any rights available to them under applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1887673/000121390026081589/0001213900-26-081589-index.html" }, { "accession_no": "0001213900-26-081575", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1574565, "issuer_name": "Evogene Ltd.", "issuer_cusip": "M4119S187", "securities_class_title": "Ordinary shares, par value NIS 0.20 per share and American Depositary Shares, each representing one (1) Ordinary Share", "date_of_event": "2026-07-26", "filed_date": "2026-07-27", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended to add the following at the end thereof:\n\nPure Capital acquired 80,000 additional ADSs using working capital.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following at the end thereof:\n\nOn July 26, 2026, the Reporting Persons delivered an email to the Issuer in response to communications received from the Issuer regarding the Demand Letter previously disclosed in the Schedule 13D. In the email, the Reporting Persons reiterated their demand that the Issuer convene a special general meeting of shareholders, rejected certain settlement proposals discussed by the Issuer, reaffirmed their intention to pursue the matters described in the Demand Letter, and reserved all rights available to them under applicable law. The Reporting Persons also requested that the Issuer provide drafts of meeting and proxy materials relating to the requested special general meeting. A copy of such email is attached hereto as Exhibit 4 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574565/000121390026081575/0001213900-26-081575-index.html" }, { "accession_no": "0001193125-26-316968", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 1848763, "issuer_name": "ReNew Energy Global plc", "issuer_cusip": "G7500M104", "securities_class_title": "Class A ordinary shares, nominal value of $0.0001", "date_of_event": "2026-07-27", "filed_date": "2026-07-27", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment amends and supplements Item 4 of the Original Schedule 13D by adding the following:\n\nRevised Non-Binding Proposal\n\nOn July 27, 2026, the Consortium jointly submitted a revised proposal (the \"Revised Proposal\") to the special committee of the Board. The Revised Proposal increases the Cash Offer to $7.02 per share. All other terms of the proposal made by the Consortium on May 28, 2026, including the Rollover, remain unchanged. The Revised Proposal is the Consortium's best and final non-binding offer.\n\nThe Revised Proposal is non-binding, and no agreement, arrangement or understanding between the Consortium, on the one hand, and the Issuer, on the other hand, relating to the Revised Proposal, the Proposed Transaction or any other transaction will be created until such time as definitive agreements for the Proposed Transaction have been executed and delivered.\n\nThe Reporting Person does not intend to update this Schedule 13D to reflect developments relating to the Proposed Transaction except to the extent required by law.\n\nReferences to, and descriptions of, the Revised Proposal in this Schedule 13D are qualified in their entirety by the terms of the Revised Proposal, a copy of which is attached hereto as Exhibit 99.24 and is incorporated in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1848763/000119312526316968/0001193125-26-316968-index.html" }, { "accession_no": "0001104659-26-087098", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1829635, "issuer_name": "Transcode Therapeutics, Inc.", "issuer_cusip": "89357L501", "securities_class_title": "Common Stock", "date_of_event": "2026-07-27", "filed_date": "2026-07-27", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of Schedule 13D is hereby amended by adding the below paragraph as the last paragraph of Item 4:\n\nOn July 27, 2026, DEFJ submitted a notice (the \"Notice\") to the Company providing that it waived the Beneficial Ownership Limitation (as defined in the Certificate of Designation) set forth in Section 6.3.3 of the Certificate of Designation, effective as of the 60th day subsequent to the date of the Notice (the \"Beneficial Ownership Limitation Waiver\"). DEFJ plans to convert its shares of Series A Preferred Stock and Series B Preferred Stock into shares of Common Stock following effectiveness of the Beneficial Ownership Limitation Waiver. Upon conversion of its Series A Preferred Stock and Series B Preferred Stock, DEFJ will constitute the controlling shareholder of the Company.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1829635/000110465926087098/0001104659-26-087098-index.html" }, { "accession_no": "0001104659-26-087077", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1631487, "issuer_name": "CollPlant Biotechnologies Ltd", "issuer_cusip": "19516R107", "securities_class_title": "Ordinary Shares, par value NIS 1.5 per share", "date_of_event": "2026-06-29", "filed_date": "2026-07-27", "item3_funds_source": "The information concerning the ownership of Ordinary Shares of the Reporting Persons set forth on the cover pages hereto is expressly incorporated by reference herein.", "item4_transaction_purpose": "On June 29, 2026, The Loewenbaum 1992 Trust entered into a Securities Purchase Agreement with the Issuer for the purchase of 1,764,706 Ordinary Shares, Series A Warrants to purchase 1,764,706 Ordinary Shares (the \"Series A Warrants\"), and Series B Warrants to purchase 3,529,412 Ordinary Shares (the \"Series B Warrants\" and, together with the Series A Warrants, the \"Warrants\"). The transaction was completed on July 6, 2026.\n\nThe Series A Warrants have an exercise price of $0.34 per share, but are not exercisable until the date of shareholder approval, which is expected to be on or about July 29, 2026 (the \"Shareholder Approval Date\"). The Series A Warrants expire on July 16, 2028. The Series B Warrants have an exercise price of $0.34 per share, but are not exercisable until the Shareholder Approval Date. The Series B Warrants expire on July 16, 2031.\n\nThe acquisitions of Ordinary Shares and Warrants by the Reporting Persons was for investment purposes.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price of and other market conditions relating to the Ordinary Shares or other securities of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations, and other factors deemed relevant, may form a plan or proposal to take any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, in which case the Reporting Persons will file an amendment to this Schedule 13D. No Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1631487/000110465926087077/0001104659-26-087077-index.html" }, { "accession_no": "0001011438-26-000444", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1855457, "issuer_name": "KORE Group Holdings, Inc.", "issuer_cusip": "50066V305", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-27", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the addition of the following:\r\n\r\nOn July 21, 2026, KORE Group Holdings, Inc. (the \"Issuer\"), completed the transactions contemplated by the Agreement and Plan of Merger, dated as of February 26, 2026 (the \"Merger Agreement\"), by and among the Issuer, KONA Parent L.P., a limited partnership (\"Parent\") affiliated with certain funds managed by affiliates of Searchlight Capital Partners, L.P. and Abry Partners, LLC and/or Abry Partners II, LLC, and KONA Merger Sub Co., a wholly owned subsidiary of Parent (\"Merger Sub\"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving the merger as a wholly-owned subsidiary of an affiliate of Parent (such merger, the \"Merger\"). At the effective time of the Merger, all shares of Common Stock, par value $0.0001 per share, of the Issuer (\"Common Stock\") other than shares of Common Stock held by Parent or Merger Sub, shares held by the Issuer as treasury stock, and shares held by stockholders who have properly exercised and perfected appraisal rights, were cancelled and converted into the right to receive an amount in cash equal to $9.25 per share, without interest and subject to any applicable withholding taxes (the \"Merger Consideration\").\r\n\r\nPursuant to the terms of the Merger Agreement, on July 21, 2026, the Reporting Persons disposed of all of the shares of Common Stock of the Issuer held by them and received the Merger Consideration. As a result of the Merger, the previously disclosed warrants beneficially owned by the Reporting Persons are no longer exercisable to purchase shares of Common Stock, and therefore the Reporting Persons no longer have any beneficial ownership of shares of Common Stock as a result of beneficially owning such warrants.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1855457/000101143826000444/0001011438-26-000444-index.html" }, { "accession_no": "0001011438-26-000440", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1848763, "issuer_name": "ReNew Energy Global plc", "issuer_cusip": "G7500M104", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-07-27", "filed_date": "2026-07-27", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment amends and supplements Item 4 of the Original Schedule 13D by adding the following:\r\n\r\nOn July 27, 2026, the Consortium jointly submitted a revised proposal (the \"Revised Proposal\") to the special committee of the Board. The Revised Proposal increases the Cash Offer to $7.02 per share. All other terms of the proposal made by the Consortium on May 28, 2026, including the Rollover, remain unchanged. The Revised Proposal is the Consortium's best and final non-binding offer.\r\n\r\nThe Revised Proposal is non-binding, and no agreement, arrangement or understanding between the Consortium, on the one hand, and the Issuer, on the other hand, relating to the Revised Proposal, the Proposed Transaction or any other transaction will be created until such time as definitive agreements for the Proposed Transaction have been executed and delivered.\r\n\r\nThe Reporting Person does not intend to update this Schedule 13D to reflect developments relating to the Proposed Transaction except to the extent required by law.\r\n\r\nReferences to, and descriptions of, the Revised Proposal in this Schedule 13D are qualified in their entirety by the terms of the Revised Proposal, a copy of which is attached hereto as Exhibit 99.17 and is incorporated in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1848763/000101143826000440/0001011438-26-000440-index.html" }, { "accession_no": "0001011438-26-000437", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1959604, "issuer_name": "Jefferies Credit Partners BDC Inc.", "issuer_cusip": "000000000", "securities_class_title": "Class I Common Stock, par value $0.001 per share", "date_of_event": "2026-07-23", "filed_date": "2026-07-27", "item3_funds_source": "Item 3 of this Schedule 13D is supplemented and superseded, as the case may be, as follows:\r\n\r\nThe information in Item 4 is incorporated herein by reference. The shares of Class I Common Stock, par value $0.001 per share (\"Class I Common Stock\"), of the Issuer were purchased by Platinum Falcon with the working capital of Platinum Falcon.", "item4_transaction_purpose": "Item 4 of this Schedule 13D is supplemented and superseded, as the case may be, as follows:\r\n\r\nOn June 15, 2026, the Issuer delivered a Notice to Platinum Falcon to purchase shares in an aggregate amount equal to $25,000,000 (the \"Eleventh Purchase Amount\"). Platinum Falcon paid the Eleventh Purchase Amount to the Issuer to purchase 1,748,155.172 shares of Class I Common Stock, at a per share purchase price of $14.30079, with such number of shares and purchase price being determined by the Issuer on July 23, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1959604/000101143826000437/0001011438-26-000437-index.html" }, { "accession_no": "0000921895-26-001877", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1016838, "issuer_name": "RADCOM LTD", "issuer_cusip": "M81865111", "securities_class_title": "Ordinary Shares, NIS 0.20 par value per share", "date_of_event": "2026-07-23", "filed_date": "2026-07-27", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe source of the capital to purchase securities of the Issuer reported herein was Lynrock Fund's (as defined below) working capital, consisting of contributions from its general and limited partners (and which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 2,439,026 Ordinary Shares reported herein is approximately $26,365,463, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1016838/000092189526001877/0000921895-26-001877-index.html" }, { "accession_no": "0000921895-26-001876", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1985337, "issuer_name": "YY Group Holding Ltd.", "issuer_cusip": "G9888Q129", "securities_class_title": "Class A Ordinary Shares, each with no par value", "date_of_event": "2026-07-23", "filed_date": "2026-07-27", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 217,399 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $434,720, including brokerage commissions.\n\nThe aggregate purchase price of the 0.666667 of a Share beneficially owned by Mr. Ault that was purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $4,544, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985337/000092189526001876/0000921895-26-001876-index.html" }, { "accession_no": "0000921895-26-001875", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1939965, "issuer_name": "Brera Holdings PLC", "issuer_cusip": "G13311108", "securities_class_title": "Class B Ordinary Shares, $0.50 nominal value per share", "date_of_event": "2025-09-21", "filed_date": "2026-07-27", "item3_funds_source": "The aggregate purchase price of the 10,000 Class B Ordinary Shares, $0.50 nominal value per share (the \"Shares\") directly beneficially owned by BREA, which were purchased with cash on hand from co-founders of the Issuer, is $668,000.\n\nThe aggregate purchase price of the 585,869 Shares directly beneficially owned by BCL, which were acquired with working capital pursuant to the exercise of warrants issued to BCL by the Issuer in connection with a private placement, is $36,850,531.\n\nThe aggregate purchase price of the 50,033 Shares directly beneficially owned by Pinehurst, which were purchased with cash on hand pursuant to the exercise of warrants issued to Pinehurst in exchange for the conversion of debt of the Issuer in the total amount of $2,700,000 is $2,7050,033.\n\nThe aggregate purchase price of the 10,414 Shares directly beneficially owned by BSL, which were purchased with working capital pursuant to the exercise of warrants issued to BSL by the Issuer in connection with its service as placement agent for the Issuer in certain private placements, is $655,040.\n\nThe aggregate purchase price of the 29,080 Shares directly beneficially owned by Mr. McClory, which were purchased with personal funds in open market purchases, is $212,656, including brokerage commissions.\n\nThe aggregate purchase price of the 20,850 Shares directly beneficially owned by Mr. Moore, which were purchased with personal funds in open market purchases, is $1,365,675, including brokerage commissions.\n\nThe 550 Shares directly beneficially owned by Mr. Libanori were acquired as compensation for his service as independent director and Director of Operations of the Issuer and its predecessor.", "item4_transaction_purpose": "BREA, Pinehurst and Mr. McClory previously filed a Schedule 13D with respect to their investment in the Issuer, which filing is superseded by this Schedule 13D.\n\nThe Reporting Persons acquired the Shares based on their belief that the Shares, when acquired, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nThe Reporting Persons believe that the Issuer's current board of directors (the \"Board\") and management team have presided over substantial destruction of shareholder value and engaged in highly concerning conduct, and that meaningful change in the Issuer's leadership is urgently needed. The Board and management have overseen a precipitous decline in the price of the Shares, requiring a 10-for-1 reverse share split to enable the Issuer to maintain a minimum bid price of at least $1 per Share for continued listing on Nasdaq. Further, members of the Board and management of the Issuer have engaged in the following actions, which the Reporting Persons believe have not served the best interests of shareholders:\n\n(i) On September 18, 2025, the Issuer entered into a Strategic Advisory Agreement with four members of the Board, including Mr. Sade, the Chief Executive Officer of the Issuer, in exchange for significant compensation in addition to their existing compensation as directors and as CEO, including pre-funded warrants to purchase Shares equal to 10% of the aggregate number of Shares issued in the Issuer's private placement and common warrants to purchase an additional number of Shares equal to 50% of the pre-funded warrant Shares;\n\n(ii) On February 9, 2026, the Issuer entered into an Advisory Services Agreement with Pulsar Group Ltd., an entity at which three members of the Board serve as directors and Mr. Sade serves as a partner, for a total fee of $6 million;\n\n(iii) On April 24, 2026, the Board approved and the Issuer entered into a Rights Agreement (commonly referred to as a \"poison pill\") with a 9.99% trigger threshold (or 20% in the case of an existing \"13G Investor\" as defined in the Rights Agreement) that has the effect of preventing shareholders from increasing their voting power or acting together to effect change at the Issuer, and entrenching the Issuer's incumbent leadership; and\n\n(iv) On May 21, 2026, the Issuer undertook a registered direct offering of 2,298,000 Shares, approximately 21.4% of the post-issuance capitalization of the Issuer, to only two individuals, Mr. Sade and director Keren Maimon, without the support of a fairness opinion or other independent financial analysis of the terms of the related party transaction. It appears this related party transaction received a waiver under the recently adopted poison pill in order for Mr. Sade and Ms. Maimon to be able to acquire the Shares and increase their ownership above the 9.99% trigger threshold.\n\nThe impact of many of these actions has been to increase the voting power of members of the Board and management of the Issuer, while massively diluting other shareholders and blocking other shareholders from increasing their own voting power or acting as a group without the blessing of the Board. The Reporting Persons expect these actions significantly impacted the results of the Issuer's annual general meeting of its shareholders held in late June - the gap between the votes \"for\" and \"against\" the election of four out of five incumbent directors (including Mr. Sade and Ms. Maimon) was approximately 1.8 million shares, which is notably less than the number of shares issued to Mr. Sade and Ms. Maimon shortly before the record date for the annual meeting. This series of events greatly undermine the Issuer's assertion that the vote at the annual meeting provided a \"clear mandate\" in support of the Issuer's leadership, and have had the effect of entrenching the Board and shielding management from accountability for the Issuer's underperformance.\n\nThe Reporting Persons also noted the complaint (the \"Complaint\") filed in the Supreme Court of the State of New York by RBCH Ltd. (\"RBCH\") on June 22, 2026, alleging breaches of duties by certain directors of the Issuer, among other claims, which Complaint is included as an attachment to RBCH's Schedule 13D filed with the Securities and Exchange Commission on June 24, 2026. The Reporting Persons are concerned about the allegations made in the Complaint, intend to monitor developments in this litigation closely and reserve all rights.\n\nThe Reporting Persons do not have any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position, results and strategic direction, actions taken by the Issuer's management team and the Board, price levels of the Shares, conditions in the securities markets, general economic and industry conditions, and other investment opportunities available to the Reporting Persons, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in additional communications with management and the Board, engaging in discussions with the Issuer, shareholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses or assets, including transactions in which the Reporting Persons may seek to participate and potentially engage in, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, Board structure (including Board composition), or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional Shares, selling some or all of its Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative transactions, or changing their intentions with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1939965/000092189526001875/0000921895-26-001875-index.html" }, { "accession_no": "0000902664-26-003252", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 845982, "issuer_name": "Smith & Nephew plc", "issuer_cusip": "83175M205", "securities_class_title": "Ordinary shares, par value $0.20 per share", "date_of_event": "2026-07-23", "filed_date": "2026-07-27", "item3_funds_source": "As of the date hereof, the Reporting Person has purchased for the account of the Cevian Funds an\naggregate of 119,179,419 Ordinary Shares for an aggregate consideration (including brokerage\ncommission) of approximately USD $1,673,390,427. The Cevian Funds funded these purchases out\nof their general working capital. The Ordinary Shares were purchased using British Pounds. For the\npurposes of this Schedule 13D, a conversion rate of USD $1.33280 for each GBP 1.00 was used.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/845982/000090266426003252/0000902664-26-003252-index.html" }, { "accession_no": "0002146462-26-000006", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2091438, "issuer_name": "Nex Neo Tech Inc.", "issuer_cusip": "65290J100", "securities_class_title": "Common Stock", "date_of_event": "2026-07-17", "filed_date": "2026-07-24", "item3_funds_source": "On July 17, 2026, the Reporting Person acquired 2,400,000 shares of Common Stock from Anastasiia Reish, the Issuer's former officer, director and majority shareholder, pursuant to a Stock Purchase Agreement dated July 17, 2026 (the \"Stock Purchase Agreement\"), for an aggregate purchase price of $9,600, or approximately $0.004 per share. The source of funds used to acquire the shares was the Reporting Person's personal funds.\nThe acquisition of the shares was a private transaction between the Reporting Person and Anastasiia Reish and was not conducted through any exchange or public market. The Issuer was not a party to the Stock Purchase Agreement and received no proceeds from the transaction.", "item4_transaction_purpose": "As a result of the acquisition, effective July 17, 2026, the Reporting Person became the beneficial owner of 2,400,000 shares of Common Stock of the Issuer.\nUpon the resignation of Anastasiia Reish from all of her positions with the Issuer effective July 17, 2026, the Reporting Person was appointed as President, Treasurer, and Secretary of the Issuer.\nAdditionally, on July 17, 2026, the Issuer entered into an Assignment Agreement (the \"Assignment Agreement\") by and among Anastasiia Reish (as assignor), the Reporting Person (as assignee), and the Issuer, pursuant to which the Reporting Person personally paid Anastasiia Reish the sum of $122,319.94, representing the full outstanding principal balance of a loan previously made by Anastasiia Reish to the Issuer. As a result, Anastasiia Reish was fully satisfied and released the Issuer from all obligations under the loan. Simultaneously, Anastasiia Reish assigned all of her rights as lender to the Reporting Person, and the Issuer acknowledged the Reporting Person as its sole creditor with respect to the loan. The Assignment Agreement was a separate transaction and was not connected to or conditioned upon the Stock Purchase Agreement.\nOther than as described above, the Reporting Person has no present plans or proposals which relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, except that the Reporting Person reserves the right to change her plans at any time, as she deems appropriate, including acquiring additional securities of the Issuer or disposing of securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2091438/000214646226000006/0002146462-26-000006-index.html" }, { "accession_no": "0001829126-26-007844", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1557376, "issuer_name": "Zeo Scientifix, Inc.", "issuer_cusip": "68621D206", "securities_class_title": "Shares of Common Stock $0.001 Par Value and Series C Preferred Stock $.001 Par Value", "date_of_event": "2026-06-10", "filed_date": "2026-07-24", "item3_funds_source": "The additional shares of the Issuer's common stock held by the Reporting Person as reported in Item 5(c) of and elsewhere in this Amendment No. 2 represent (i) 87,500 restricted shares of common stock issued to the Reporting Person on January 14, 2026 under the Issuer's 2021 Equity Incentive Plan (the \"Plan\") which vest on July 14, 2026; and (ii) options to purchase 625,000 shares of common stock granted to the Reporting Person on June 10, 2026 under the Plan.", "item4_transaction_purpose": "The additional shares of the Issuer's common stock acquired by the Reporting Person as reported in Item 5(c) of and elsewhere in this Amendment No. 2, were issued to the Reporting Person as described in Item 3, above. The Reporting Person has no definite plan to acquire or dispose of additional shares of the Issuer's common stock in open market or private transactions, but may do so in the future, subject to compliance with the Exchange Act and the rules and regulations thereunder. In addition, while there is no definite plan to issue additional shares of the Issuer's common stock to the Reporting Person under one or more of the Issuer's equity incentive plans, the board of directors or a committee thereof may determine to issue awards of shares of common stock under such plans to the Reporting Person from time to time in the future. Except as set forth in the preceding paragraph, the Reporting Person has no plans or proposals which relate to or would result in: (a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer; (b) Any additional extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries; (d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) Any material change in the present capitalization or dividend policy of the issuer; (f) Any other material change in the issuer's business or corporate structure including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940; (g) Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person; (h) Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1557376/000182912626007844/0001829126-26-007844-index.html" }, { "accession_no": "0001829126-26-007843", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1557376, "issuer_name": "Zeo Scientifix, Inc.", "issuer_cusip": "68621D206", "securities_class_title": "Shares of Common Stock $0.001 Par Value and Series C Preferred Stock $.001 Par Value", "date_of_event": "2026-06-12", "filed_date": "2026-07-24", "item3_funds_source": "The additional shares of the Issuer's common stock held by the Reporting Person as reported in Item 5(c) of and elsewhere in this Amendment No. 4 represent options to purchase 625,000 shares of common stock granted to the Reporting Person on June 10, 2026 under the Issuer's 2021 Equity Incentive Plan (the \"Plan\").", "item4_transaction_purpose": "The additional shares of the Issuer's common stock acquired by the Reporting Person as reported in Item 5(c) of and elsewhere in this Amendment No. 4, were issued to the Reporting Person as described in Item 3, above. The Reporting Person has no definite plan to acquire or dispose of additional shares of the Issuer's common stock in open market or private transactions, but may do so in the future, subject to compliance with the Exchange Act and the rules and regulations thereunder. In addition, while there is no definite plan to issue additional shares of the Issuer's common stock to the Reporting Person under one or more of the Issuer's equity incentive plans, the board of directors or a committee thereof may determine to issue awards of shares of common stock under such plans to the Reporting Person from time to time in the future. Except as set forth in the preceding paragraph, the Reporting Person has no plans or proposals which relate to or would result in: (a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer; (b) Any additional extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries; (d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) Any material change in the present capitalization or dividend policy of the issuer; (f) Any other material change in the issuer's business or corporate structure including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940; (g) Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person; (h) Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1557376/000182912626007843/0001829126-26-007843-index.html" }, { "accession_no": "0001493152-26-034590", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1906364, "issuer_name": "BOXABL INC.", "issuer_cusip": "10316W107", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-17", "filed_date": "2026-07-24", "item3_funds_source": "The shares of Class A Common Stock reported herein as being beneficially owned by the Reporting Person represent shares of Class B Common Stock that were issued to the Reporting Person following the completion of the transactions contemplated in the Agreement and Plan of Merger (as amended, the \"Merger Agreement\") by and among FG Merger II Corp., reincorporated in Texas and renamed Boxabl Inc. in connection with the transaction contemplated by the Merger Agreement (the \"Issuer\"), Boxable Inc., a Nevada corporation (the \"Old Boxabl\") and FG Merger Sub II Inc., a Nevada corporation and wholly-owned subsidiary of FGMC (\"Merger Sub\").\n\nThe Merger Agreement provides for a two-step merger transaction (the \"Mergers\") in which, first, Merger Sub merged with and into Old Boxabl (the \"First Merger\"), with Old Boxabl surviving as a wholly-owned subsidiary of FGMC, and, immediately thereafter, Old Boxabl (as the surviving company in the First Merger) merged with and into the Issuer (the \"Second Merger\"), with the Issuer continuing as the surviving public company and renamed Boxabl Inc.\n\nAt the effective time of the First Merger, shares of Old Boxabl's common stock beneficially owned by the Reporting Person converted into the right to receive the number of shares of Class B Common Stock of the Issuer discussed in Item 5 below, determined by the common exchange ratio set forth in the Merger Agreement.", "item4_transaction_purpose": "See Item 3 above.\n\nReporting Person holds a majority of the voting power of the Issuer and also serves a member of the Board of Directors and as the Co-Chief Executive Officer of the Issuer, and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. In such capacity, he may communicate with other members of management, other members of the Board, and/or other shareholders from time to time with respect to operational, strategic, financial or governance matters or otherwise work with management and the Board with a view to maximizing shareholder value. Such discussions and actions may be preliminary and exploratory in nature, and may not rise to the level of a plan or proposal.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Person, at any time, and from time to time, may review, reconsider and change his position and/or change his purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer, or other persons.\n\nThe information regarding the transaction contemplate by the Merger Agreement set forth in Item 3 above is incorporated into this Item 4 by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1906364/000149315226034590/0001493152-26-034590-index.html" }, { "accession_no": "0001493152-26-034588", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1906364, "issuer_name": "BOXABL INC.", "issuer_cusip": "10316W107", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-17", "filed_date": "2026-07-24", "item3_funds_source": "The shares of Class A Common Stock reported herein as being beneficially owned by the Reporting Person represent (i) shares of Class B Common Stock that were issued to the Reporting Person following the completion of the transactions contemplated in the Agreement and Plan of Merger (as amended, the \"Merger Agreement\") by and among FG Merger II Corp., reincorporated in Texas and renamed Boxabl Inc. in connection with the transaction contemplated by the Merger Agreement (the \"Issuer\"), Boxable Inc., a Nevada corporation (the \"Old Boxabl\") and FG Merger Sub II Inc., a Nevada corporation and wholly-owned subsidiary of FGMC (\"Merger Sub\") and (i) shares of Class A Common Stock underlying Non-Qualified Stock Options that were assumed by the Issuer.\n\nThe Merger Agreement provides for a two-step merger transaction (the \"Mergers\") in which, first, Merger Sub merged with and into Old Boxabl (the \"First Merger\"), with Old Boxabl surviving as a wholly-owned subsidiary of FGMC, and, immediately thereafter, Old Boxabl (as the surviving company in the First Merger) merged with and into the Issuer (the \"Second Merger\"), with the Issuer continuing as the surviving public company and renamed Boxabl Inc.\n\nAt the effective time of the First Merger, shares of Old Boxabl's common stock held by the Reporting Person converted into the right to receive the number of shares of Class B Common Stock of the Issuer discussed in Item 5 below, determined by the common exchange ratio set forth in the Merger Agreement. In addition, each share of the Company's preferred stock held by the Reporting Person converted into the right to receive shares of the Issuer's Merger Preferred Stock, determined by the preferred exchange ratio set forth in the Merger Agreement and each other outstanding and unexpired convertible securities of Old Boxable (such as options and restricted stock units but excluding common stock warrants) were assumed by the Issuer and became exercisable or convertible for the Issuer's equity on the same terms, with adjustments as provided in the Merger Agreement.\n\nThe shares of Class A Common Stock reported herein as being beneficially owned by the Reporting Person excludes 379,482 shares of Class A Common Stock underlying 379,482 shares of Merger Preferred Stock issued to the spouse of the Reporting Person in connection with the transactions contemplated by the Merger Agreement, because such Preferred Stock is not convertible into Class A Common Stock within the next 60 days, as discussed in footnote 4 above.", "item4_transaction_purpose": "See Item 3 above.\n\nReporting Person holds a significant percentage of the Issuer and also serves a member of the Board of Directors and as the Co-Chief Executive Officer of the Issuer, and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. In such capacity, he may communicate with other members of management, other members of the Board, and/or other shareholders from time to time with respect to operational, strategic, financial or governance matters or otherwise work with management and the Board with a view to maximizing shareholder value. Such discussions and actions may be preliminary and exploratory in nature, and may not rise to the level of a plan or proposal.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Person, at any time, and from time to time, may review, reconsider and change his position and/or change his purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer, or other persons.\n\nThe information regarding the transactions contemplated by the Merger Agreement set forth in Item 3 above is incorporated into this Item 4 by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1906364/000149315226034588/0001493152-26-034588-index.html" }, { "accession_no": "0001493152-26-034520", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1873093, "issuer_name": "CytoMed Therapeutics Ltd", "issuer_cusip": "Y1R80M106", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-07-20", "filed_date": "2026-07-24", "item3_funds_source": "PF; On July 14, 2026 and July 20, 2026, the Reporting Person acquired an aggregate of 200,000 Ordinary Shares from Teoh Teik Kee pursuant to two Share Purchase Agreements, each for 100,000 Ordinary Shares at a purchase price of $1.50 per share ($300,000 in the aggregate), settled through the Reporting Person's brokerage account with personal funds.", "item4_transaction_purpose": "Mr. Choo Chee Kong has acquired all of the Ordinary Shares beneficially owned by him (1) in exchange for capital contributions to the Issuer or (2) through public purchases on the open market with his personal funds for investment purposes. The Reporting Person serves as Chairman of the Issuer and is a member of the board of directors of the Issuer and, as a result, may be asked to vote on or discuss matters related to items (a) through (j) of this Item 4 of Schedule 13D with representatives of the Issuer and others. Except as may be set forth herein, the Reporting Person has no current intention, plan or proposal with respect to items (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1873093/000149315226034520/0001493152-26-034520-index.html" }, { "accession_no": "0001437749-26-024424", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1389545, "issuer_name": "Stablecoin Development Corp", "issuer_cusip": "66987P508", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-07-18", "filed_date": "2026-07-24", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1389545/000143774926024424/0001437749-26-024424-index.html" }, { "accession_no": "0001437749-26-024423", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1389545, "issuer_name": "Stablecoin Development Corp", "issuer_cusip": "66987P508", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-07-18", "filed_date": "2026-07-24", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1389545/000143774926024423/0001437749-26-024423-index.html" }, { "accession_no": "0001356849-26-000011", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 320121, "issuer_name": "Telos Corporation", "issuer_cusip": "87969B101", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2020-11-17", "filed_date": "2026-07-24", "item3_funds_source": "The Reporting Person acquired the shares of Common Stock reported herein through the following methods:\n\n(a) Equity Incentive Plan Awards. The Reporting Person received shares of Common Stock from time to time through the Issuer's equity incentive plans, including the Telos Corporation 2016 Omnibus Long-Term Incentive Plan (as amended from time to time, the \"2016 LTIP\") and predecessor equity plans of the Issuer, in connection with his service as Chief Executive Officer of the Issuer. Such shares were acquired through the grant and vesting of restricted stock units, performance stock units, exercise of stock options, and other equity-based awards. No cash consideration was paid by the Reporting Person for shares acquired through equity incentive plan awards.\n\n(b) Open Market Purchases. The Reporting Person purchased shares of Common Stock from time to time in open market transactions using personal funds.\n\n(c) Shared Savings Plan. Certain shares reported as beneficially owned by the Reporting Person are held for his benefit by the Telos Corporation Shared Savings Plan (the \"Plan\"), a tax-qualified defined contribution plan maintained by the Issuer for its employees. Such shares were acquired through employer contributions and/or participant-directed investments under the Plan.\n\n(d) Shares Held Through JJJJJV, LLC. Certain shares reported as beneficially owned by the Reporting Person are held by JJJJJV, LLC, a limited liability company in which the Reporting Person is the principal and controls voting and dispositive power over the shares held thereby.", "item4_transaction_purpose": "The Reporting Person acquired the shares of Common Stock reported herein (a) from time to time through the Issuer's equity incentive plans, including the grant and vesting of restricted stock units, exercise of stock options, and other equity-based awards pursuant to the Telos Corporation 2016 Omnibus Long-Term Incentive Plan (as amended from time to time, the \"2016 LTIP\") and predecessor equity plans of the Issuer, and (b) through open market purchases of shares of Common Stock.\n\nThe Reporting Person acquired and holds the shares of Common Stock in connection with his service as Chairman of the Board of Directors and Chief Executive Officer of the Issuer. In those capacities, and consistent with his duties as an executive officer and director, the Reporting Person participates in the management and strategic direction of the Issuer on an ongoing basis, including with respect to the matters described in Item 4(a) through (j) of Schedule 13D as they arise in the ordinary course of business. The Reporting Person did not acquire the shares of Common Stock reported herein for the purpose of, and the acquisitions did not have the effect of, changing or influencing control of the Issuer outside of his service in such capacities.\n\nExcept as described above and as may arise from time to time in the ordinary course of the Reporting Person's service as Chairman and Chief Executive Officer of the Issuer, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions specified in Item 4(a) through (j) of Schedule 13D.\n\nNotwithstanding the foregoing, the Reporting Person may, from time to time, (i) acquire additional shares of Common Stock, including through future equity awards under the Issuer's equity incentive plans, the exercise of stock options, open market purchases, or otherwise, (ii) dispose of shares of Common Stock in open market transactions or otherwise, or (iii) formulate other purposes, plans, or proposals regarding the Issuer or its securities, in each case in light of the Reporting Person's evaluation of the Issuer's business, prospects, and financial condition, his duties as Chairman and Chief Executive Officer, general market and industry conditions, his personal financial circumstances (including tax and estate planning considerations), and other factors. Any such activities may be effected at any time and from time to time without prior notice.\n\nThis Schedule 13D was required to be filed within ten calendar days following November 17, 2020, the date on which the Reporting Person's beneficial ownership of Common Stock first exceeded five percent of the outstanding shares of Common Stock registered under Section 12 of the Securities Exchange Act of 1934, as amended, in connection with the Issuer's initial public offering. This Schedule 13D was not filed within the required time period due to inadvertent administrative error. The Reporting Person is filing this Schedule 13D promptly upon discovery of the filing obligation. The late filing was not the result of any intent to evade the reporting requirements of Section 13(d) of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/320121/000135684926000011/0001356849-26-000011-index.html" }, { "accession_no": "0001213900-26-081482", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1787518, "issuer_name": "T3 Defense Inc.", "issuer_cusip": "67054R203", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-06", "filed_date": "2026-07-24", "item3_funds_source": "The shares of Common Stock referred to in this Schedule 13D were issued to the X Security in consideration for the 60 ordinary shares of Project 35 Ltd., a private company organized under the laws of the State of Israel, constituting sixty percent (60%) of its issued and outstanding share capital, a promissory note issued by the Issuer in the principal amount of $1,250,000, and the assumption by the Issuer of X Security's investment undertaking toward Project 35 Ltd. in the amount of $2,500,000.", "item4_transaction_purpose": "The Reporting Persons acquired the shares of Common Stock referred to in this Schedule 13D for investment purposes.\n\nThe Reporting Persons are currently in discussions with the Issuer regarding the acquisition of an equity interest in another asset held by the Reporting Persons. The proposed consideration for such acquisition would include additional shares of Common Stock.\n\nThe Reporting Persons may, from time to time, acquire additional shares of Common Stock in the open market, in privately negotiated transactions, or otherwise, or may dispose of all or a portion of the shares of Common Stock held by them, subject to applicable securities law restrictions, including any lock-up or registration requirements. The Reporting Persons may also engage in discussions with the Issuer's management, board of directors, or other stockholders regarding the Issuer's business, management, operations, strategy, or governance. Any such actions will depend upon a variety of factors, including the price and availability of the Common Stock, general market conditions, and other factors deemed relevant by the Reporting Persons.\n\nExcept as described herein, the Reporting Persons do not currently have any plans or proposals that would relate to or result in any of the actions enumerated in paragraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1787518/000121390026081482/0001213900-26-081482-index.html" }, { "accession_no": "0001213900-26-081435", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 2049733, "issuer_name": "Blackstone Private Real Estate Credit & Income Fund", "issuer_cusip": "000000000", "securities_class_title": "Common Shares of Beneficial Interest", "date_of_event": "2026-07-23", "filed_date": "2026-07-24", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to add the following:\n\nOn July 1, 2026, BMACX subscribed for 573,613.767 Common Shares. The aggregate purchase price for BMACX's investment was $15,000,000. BMACX was deemed to acquire the securities on July 23, 2026, when the net asset value of the Common Shares was determined. The source of funds for the purchase of the Common Shares by BMACX was from working capital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2049733/000121390026081435/0001213900-26-081435-index.html" }, { "accession_no": "0001213900-26-081416", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1734005, "issuer_name": "Niki BioSolutions, Inc.", "issuer_cusip": "653942102", "securities_class_title": "Common Stock, par value $0.0001", "date_of_event": "2026-07-20", "filed_date": "2026-07-24", "item3_funds_source": "No funds or other consideration were used by the Reporting Person to acquire the shares of Common Stock reported herein. Such shares were issued to the Reporting Person solely as non-cash merger consideration in exchange for shares of common stock of DiamiR Biosciences Corp. previously held by the Reporting Person, pursuant to the Agreement and Plan of Merger, dated July 14, 2025, by and among Aptorum Group Limited, DiamiR Biosciences Corp. and the other parties thereto.", "item4_transaction_purpose": "The information set forth in Items 3 and 6 is incorporated herein by reference.\n\nThe shares of Niki Common Stock reported herein were acquired by the Reporting Person solely as merger consideration pursuant to the merger agreement, as described in Item 3 above. No funds or other consideration were expended by the Reporting Person in connection with the receipt of such shares.\n\nOn July 20, 2026, the merger was consummated pursuant to the merger agreement. In connection with the merger, Aptorum effected the domestication and became a Delaware corporation, changing its name to Niki BioSolutions, Inc. The Niki Common Stock is listed on the Nasdaq Capital Market under the ticker symbol \"NIKI\" (CUSIP: 653942102).\n\nThe Reporting Person is a party to that certain Stockholders Agreement, the final form of which is filed as Exhibit 4.5 hereto, which governs certain rights and obligations of the Reporting Person with respect to the Niki Common Stock. Reference is made to the Stockholders Agreement for a complete description of its terms, which are incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1734005/000121390026081416/0001213900-26-081416-index.html" }, { "accession_no": "0001193125-26-316452", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1956439, "issuer_name": "Enhanced Group Inc.", "issuer_cusip": "29333R107", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-07-22", "filed_date": "2026-07-24", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nPurchase Agreement Closing\n\nOn July 22, 2026, the first tranche of the previously disclosed Purchase Agreement closed. As a result, Apeiron received 3,020,565 shares of Class A Common Stock and accompanying Warrants.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1956439/000119312526316452/0001193125-26-316452-index.html" }, { "accession_no": "0001193125-26-316043", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2088749, "issuer_name": "Karbon Capital Partners Corp.", "issuer_cusip": "G5225W100", "securities_class_title": "Class A Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-24", "item3_funds_source": "The aggregate purchase price for the ordinary shares currently beneficially owned by the Reporting Persons was $8,925,000. The source of these funds was the capital of Sponsor.", "item4_transaction_purpose": "On September 18, 2025, Issuer entered into a securities subscription agreement with Karbon Capital Partners CH resulting in the issuance of 8,625,000 Class B Shares.\n\nOn December 12, 2025, simultaneously with the consummation of the IPO, Karbon Capital Partners CH purchased 890,000 units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Unit Purchase Agreement December 10, 2025 (the \"Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference. Each Placement Unit consists of one Class A Share and one-fourth (1/4) of a redeemable warrant, each whole warrant exercisable to purchase one Class A Share, at an exercise price of $11.50 per share.\n\nThe ordinary shares and units owned by the Reporting Persons have been acquired for investment purposes. The Reporting Persons may make further acquisitions of the Issuer's securities from time to time, however, all of such shares are subject to lock-up restrictions as further described in Item 6 below.\n\nExcept for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of this Schedule 13D.\n\nWith respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, share exchange, asset acquisition, stock purchase, recapitalization, reorganization or other similar business combination with one or more businesses or entities. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, Karbon Capital Partners CH, Thomas F. Karam, and Jeffrey Zajkowski have each agreed (A) to vote their shares in favor of any proposed business combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2088749/000119312526316043/0001193125-26-316043-index.html" }, { "accession_no": "0001193125-26-315913", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2097545, "issuer_name": "AMG BBH Asset-Backed Credit Fund, LLC", "issuer_cusip": "03116N203", "securities_class_title": "Class I, Class M, and Class S Units of Beneficial Interest", "date_of_event": "2026-07-22", "filed_date": "2026-07-24", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to add the following:\n\nOn July 22, 2026, the Issuer issued 61,020.345 Class S Units to the Reporting Person for an aggregate purchase price of: $658,400, or $10.789844 per Class S Unit.\n\nThe Class S Units were purchased using working capital of the Reporting Person.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2097545/000119312526315913/0001193125-26-315913-index.html" }, { "accession_no": "0001185185-26-003123", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1712178, "issuer_name": "NaaS Technology Inc.", "issuer_cusip": "62955X409", "securities_class_title": "Class A ordinary shares, par value $0.000001 per share", "date_of_event": "2026-07-22", "filed_date": "2026-07-24", "item3_funds_source": "Item 3 is hereby amended and supplemented by adding the following at the end:\n\nOn July 9, 2026, the Company entered into a Share Acquisition Agreement with Newlink, Digital and China Newlink Holding Limited (the \"Target\"), pursuant to which the Company agreed to acquire from Digital all of the issued and outstanding shares of the Target (the \"Acquisition\"). In consideration for the Acquisition, on July 22, 2026, the Company issued 16,000,000,000 Class A ordinary shares to Digital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1712178/000118518526003123/0001185185-26-003123-index.html" }, { "accession_no": "0001104659-26-086735", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1728117, "issuer_name": "Gossamer Bio, Inc.", "issuer_cusip": "38341P102", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-07-22", "filed_date": "2026-07-24", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1728117/000110465926086735/0001104659-26-086735-index.html" }, { "accession_no": "0001104659-26-086728", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1604464, "issuer_name": "Atara Biotherapeutics, Inc.", "issuer_cusip": "046513206", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-22", "filed_date": "2026-07-24", "item3_funds_source": "On July 16, 2026, Redmile Group, LLC (\"Redmile\") exercised certain Warrants held by RBI II and Redmile Long Only through a \"cashless exercise\" to acquire the Issuer's Common Stock. The transactions resulted in the Issuer (i) withholding 53 shares of Common Stock from RBI II and 7 shares of Common Stock from Redmile Long Only to pay the exercise price under the terms of the Warrants and (ii) issuing the remaining 174,247 shares of Common Stock to RBI II and 20,904 shares of Common Stock to Redmile Long Only.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1604464/000110465926086728/0001104659-26-086728-index.html" }, { "accession_no": "0001104659-26-086437", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1744781, "issuer_name": "Niu Technologies", "issuer_cusip": "65481N100", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-07-23", "filed_date": "2026-07-24", "item3_funds_source": "From June 25, 2026 through July 23, 2026, Glory Achievement Fund Limited purchased a total of 837,918 ADSs (representing 1,675,836 Class A ordinary shares) of the Issuer in the open market for approximately US$2.1 million, using its own working capital (the \"Recent Open-Market Purchases\").", "item4_transaction_purpose": "The information set forth in Item 3 is hereby incorporated by reference in its entirety. The Recent Open-Market Purchases were made for investment purposes.\n\nThe Reporting Persons hold the ADSs of the Issuer for investment purposes. They intend to review their shareholding on a regular basis and, as a result thereof, may at any time or from time to time determine, either alone or as part of a group, (i) to acquire additional securities of the Issuer, through open market purchases, privately negotiated transactions or otherwise, (ii) to dispose of all or a portion of the securities of the Issuer owned by it in the open market, in privately negotiated transactions or otherwise or (iii) to take any other available course of action, which could involve one or more of the types of transactions or have one or more of the results described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nAny actions the Reporting Persons might undertake will be dependent upon such Reporting Persons' review of numerous factors, including, among other things, the price levels of the ADSs, general market and economic conditions, ongoing evaluation of the Issuer's business, financial condition, operations and prospects, the relative attractiveness of alternative business and investment opportunities, investor's need for liquidity, and other future developments. Any future acquisitions or dispositions of ADSs will be subject to the Issuer's policies, including its insider trading policy, as applicable.\n\nExcept as set forth above, none of the Reporting Persons has any present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1744781/000110465926086437/0001104659-26-086437-index.html" }, { "accession_no": "0001062993-26-003832", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 912147, "issuer_name": "Royce Micro-Cap Trust, Inc.", "issuer_cusip": "780915104", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-06-24", "filed_date": "2026-07-24", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $32,550,536 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/912147/000106299326003832/0001062993-26-003832-index.html" }, { "accession_no": "0000950142-26-002163", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1526113, "issuer_name": "Global Net Lease, Inc.", "issuer_cusip": "379378201", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-24", "filed_date": "2026-07-24", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1526113/000095014226002163/0000950142-26-002163-index.html" }, { "accession_no": "0000919574-26-004576", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1456772, "issuer_name": "Office Properties Income Trust", "issuer_cusip": "67623C307", "securities_class_title": "Common Shares of Beneficial Interest", "date_of_event": "2026-06-17", "filed_date": "2026-07-24", "item3_funds_source": "On October 30, 2025, the Issuer and certain of its subsidiaries, filed voluntary petitions for relief under Chapter 11 of the United States Bankruptcy Code in the United States Bankruptcy Court for the Southern District of Texas (the \"Bankruptcy Court\"). On April 22, 2026, the Bankruptcy Court entered an order confirming the Fourth Amended Joint Chapter 11 Plan of Reorganization of Office Properties Income Trust and Its Debtor Affiliates (the \"Plan\"). At the time of the confirmation of the Plan, the Redwood Funds held (i) certain of the Issuer's 9.00% senior secured notes due September 2029 (the \"September 2029 Notes\") and (ii) certain debtor-in-possession financing claims against the Issuer (the \"DIP Claims\").\n\nPursuant to the Plan, and as a result of being holders of the September 2029 Notes and the DIP Claims, on June 17, 2026, the effective date of the Plan (the \"Effective Date\"), the Redwood Funds received, in the aggregate, a combination of consideration consisting of: (i) $71,902,000 aggregate principal amount of the Issuer's 10.000% senior secured notes due 2031 (the \"Secured Exit Notes\"), representing their pro rata share of the Secured Exit Notes, (ii) $10,912,000 aggregate principal amount of the Secured Exit Notes, representing their additional portion of the Secured Exit Notes, and (iii) 4,327,521 Common Shares", "item4_transaction_purpose": "The response to Item 3 of this Schedule 13D is incorporated by reference herein.\n\nThe Reporting Persons acquired the Secured Exit Notes and the Common Shares in connection with the Issuer's emergence from bankruptcy on the Effective Date.\n\nOn the Effective Date, the Issuer adopted its Fourth Amended and Restated Bylaws, which provides that the Board of Trustees (the \"Board\") of the Issuer shall include up to two Trustees who are initially designated for appointment to the Board by Redwood Capital, with such designation right consisting of (a) up to two Trustees so long as Redwood Capital and its affiliates beneficially own 10% or more of the outstanding Common Shares of the Issuer and (b) up to one Trustee so long as Redwood Capital and its affiliates beneficially own 5% or more of the outstanding Common Shares of the Issuer. Pursuant to the Fourth Amended and Restated Bylaws, Jonathan Kolatch was appointed to the Board, effective as of the Effective Date, as designated by Redwood Capital. Redwood Capital did not initially designate a second Trustee for appointment as of the Effective Date.\n\nIn addition, as of the Effective Date, the Issuer entered into a board observation rights agreement with Redwood Capital (the \"Board Observation Rights Agreement\"), which provides that Redwood Capital is entitled to appoint one non-voting Board Observer so long as Redwood Capital beneficially owns 15% or more of the outstanding Common Shares of the Issuer. Redwood Capital did not initially appoint a Board Observer as of the Effective Date. The foregoing description of the Board Observation Rights Agreement is qualified in its entirety by reference to the full text of the Board Observation Rights Agreement, which is attached hereto as Exhibit 99.2 and incorporated herein by reference.\n\nIn connection with strategic or other corporate transactions, the Reporting Persons have in the past engaged and expect to continue to engage in discussions with, and may exchange information with, potential strategic partners, acquirers/co-acquirers, investment professionals and potential financing sources, may participate in any related transaction as principal and/or as a provider of financing and may enter into agreements with respect to the foregoing. The Reporting Persons have in the past considered and may in the future consider a wide variety of matters and plans or proposals that could result in the occurrence of any of the matters set forth in clauses (a)-(j) of Item 4 of Schedule 13D. As a result of their ownership interest in the Issuer, the Reporting Persons exercise significant influence over the Issuer's business practices and strategy and all matters requiring action by the Issuer's shareholders, including the election of the Board of the Issuer and the ability as shareholders to approve or reject strategic or other corporate transactions.\n\nThe Reporting Persons review their investment in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position, results of operations, price levels of the Common Shares, conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take or propose to take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, acquiring additional Common Shares (or other securities of or interests in the Issuer) and/or the entirety of the Issuer or disposing of all or a portion of the Common Shares (or other securities of or interests in the Issuer, including the Secured Exit Notes) beneficially owned by them in the public markets, in privately negotiated transactions or otherwise, and potentially entering into derivative or other transactions that increase or decrease the Reporting Persons' economic interest in or control over the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1456772/000091957426004576/0000919574-26-004576-index.html" }, { "accession_no": "0000038777-26-000199", "submission_type": "SCHEDULE 13D/A", "amendment_no": 34, "issuer_cik": 1762562, "issuer_name": "CLARION PARTNERS REAL ESTATE INCOME FUND INC.", "issuer_cusip": "180567406", "securities_class_title": "CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE", "date_of_event": "2026-07-22", "filed_date": "2026-07-24", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\n\n4,999,845 Shares were acquired for a purchase price of $55,628,327 inclusive of $50,000,000 paid by Legg Mason, Inc. (now a subsidiary of FRI), from FRI's and Legg Mason, Inc.'s working capital; and\n\n25,673,990 Shares were acquired for a purchase price of $302,986,350 for the benefit of fiduciary accounts managed by FRI's investment management subsidiaries from their working capital, including funds managed by FAV.\n\nAs of April 16, 2025 93,329 Class S Shares of Common Stock of the Issuer, 5,232 Class T Shares of Common Stock of the Issuer, and 5,251 Class D Shares of Common Stock of the Issuer were transferred for no consideration from Legg Mason, Inc. to FRI. C. Johnson and R. Johnson, Jr. do not own directly any shares of the Issuer.\n\nOn December 4 and 5, 2025, FRI transferred 1,755,926.251 Shares from its corporate account to Clarion Partners Real Estate Income International Access Fund, a series of Franklin Templeton Private Markets Fund, for total consideration of $20,000,000.\n\nOn April 16, 2026, 88,028 Class I Shares were redeemed by FRI for its corporate account at a per share price of $11.36 and FRI purchased from its corporate account 88,106 Class S Shares at a per share price of $11.35 to maintain capitalization and liquidity in Class S Shares on account of an investor rebalancing its holdings from Class S Shares.\n\nOn April 20, 2026, 1,672,535 Class I Shares were redeemed by FRI for its corporate account at a per share price of $11.36.\n\nOn July 20, 2026, 1,682,905 Class I Shares were redeemed by FRI for its corporate account at a per share price of $11.29.", "item4_transaction_purpose": "FRI and its investment management subsidiaries, including FAV, acquired the Shares for investment and to facilitate the acquisition of the Issuer's commercial real estate investments. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of the Shares at prices that would make the purchase or sale of the Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of the Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable. Other factors that may affect the Reporting Persons' investment in the Shares include, without limitation, the Issuer's financial position, results, prospects and strategic direction, actions taken by the Issuer's portfolio managers, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions.\n\n\nExcept as described above, none of FRI and its investment management subsidiaries, and none of any of the other Reporting Persons covered by this Schedule 13D, currently has any plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer. The Reporting Persons may at any time review, reconsider and change their position and/or change their purpose and/or develop such plans or proposals.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1762562/000003877726000199/0000038777-26-000199-index.html" }, { "accession_no": "0001815572-26-000004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 8146, "issuer_name": "AstroNova, Inc.", "issuer_cusip": "04638F108", "securities_class_title": "Common Stock", "date_of_event": "2026-07-23", "filed_date": "2026-07-23", "item3_funds_source": "The total cost for purchases of Common Stock by Askeladden, on behalf of its clients, including brokerage commissions, was approximately $326,260 (including shares held in Askeladden client accounts for Mr. Patel). The source of funds for the shares of Common Stock acquired for the accounts of Askeladden's clients were funds of such clients.", "item4_transaction_purpose": "This Amendment No. 3 to Schedule 13D (this 'Amendment No. 3') amends and supplements the Schedule 13D filed on August 29, 2025 (as amended and supplemented through the date of this Amendment No. 1) by the Reporting Persons relating to the common stock of the Issuer. The shares of Common Stock covered by this statement were originally acquired by the Reporting Persons in the ordinary course of business solely for investment purposes and not for the purposes of participating in or influencing the management of the Issuer.\n\nThis Amendment No. 3 is being filed for the purpose of reporting a decrease in the percentage of the class of securities beneficially owned by the Reporting Persons and constitutes an 'exit filing' with respect to Schedule 13D for the Reporting Persons. The related updates and amendments to the Schedule 13D are listed below. As published in a press release on June 17, 2026, the Issuer is to be acquired by another issuer based. This fact, among others, has prompted the Reporting Persons to decrease their position in the Issuer below the reportable 5% threshold.\n\nThe Reporting Persons are supportive of the Issuer's proposed acquisition by Arcline, which they believe maximizes shareholder value. As a result, the Reporting Persons are supportive of the Issuer's current strategy at this time and have no current plans to engage in any further actions to influence the company's strategy or Board composition.\n\nExcept as set forth above, or as would occur upon completion of any of the matters discussed herein, the Reporting Persons have no present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Although the foregoing reflects activities presently contemplated by the Reporting Persons with respect to the Issuer, the foregoing is subject to change at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/8146/000181557226000004/0001815572-26-000004-index.html" }, { "accession_no": "0001812409-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 797564, "issuer_name": "HST Global, Inc.", "issuer_cusip": "40432E202", "securities_class_title": "Common", "date_of_event": "2026-07-23", "filed_date": "2026-07-23", "item3_funds_source": "43,441,573 common shares were purchased pursuant to a shareholder's rights offering for $156,389.66\n which consisted of cash and converting of indebtedness, funded from personal funds. The transaction represented a 1 for 1 rights purchase and did not change the percentage ownership of the acquirer.", "item4_transaction_purpose": "The purpose was for investment related to a shareholder's rights offering.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/797564/000181240926000001/0001812409-26-000001-index.html" }, { "accession_no": "0001493215-26-000135", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1964979, "issuer_name": "ALLURION TECHNOLOGIES, INC.", "issuer_cusip": "02008G300", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-23", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nOn July 21, 2026, the RTW Funds entered into an agreement (the \"Share Exchange Agreement\") with the Company, pursuant to which they exchanged an aggregate of 392,766 shares of the Common Stock for newly issued Pre-Funded Warrants exercisable for an aggregate of 392,766 shares of Common Stock (the \"Share Exchange\"). Other than the shares of Common Stock surrendered in the Share Exchange, no additional consideration was provided. The source of funds for the shares of Common Stock exchanged for the Pre-Funded Warrants was the working capital of the RTW Funds.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1964979/000149321526000135/0001493215-26-000135-index.html" }, { "accession_no": "0001491567-26-000007", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 91668, "issuer_name": "SOLITRON DEVICES INC", "issuer_cusip": "834256208", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-23", "item3_funds_source": "The shares of the Issuer were acquired in open market transactions by Olesen Value Fund L.P., using its general working capital, for an aggregate purchase price of approx. $811,460. The shares are held in margin accounts together with other securities, and such margin accounts may from time to time have debit balances.", "item4_transaction_purpose": "The Common Stock reported in this filing is held for investment purposes. The Reporting Persons are interested in discussing with the Issuer's management, board of directors, and/or with third parties any options relating to shareholder value creation. Depending on the Reporting Persons' ongoing evaluation of general market conditions and general matters related to the Issuer, including the Issuer's financial condition and results, the Reporting Persons may determine whether to hold, increase, or decrease their investment in the Common Stock through open market, privately negotiated, or any other transactions. Depending on their assessment of the forgoing factors, the Reporting Persons may, from time to time, modify their present intentions as stated in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/91668/000149156726000007/0001491567-26-000007-index.html" }, { "accession_no": "0001398344-26-012572", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1574085, "issuer_name": "Braemar Hotels & Resorts Inc.", "issuer_cusip": "10482B101", "securities_class_title": "Common Stock", "date_of_event": "2026-07-23", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn July 23, 2026, the Reporting Persons issued a press release (the \"July 23, 2026 press release\"), which included a statement from Wafic Rida Said regarding the Issuer's recent statements about the Reporting Persons and Mr. Said.\n\nThe foregoing summary of the July 23, 2026 press release does not purport to be complete and is subject to, and qualified in its entirety by, the July 23, 2026 press release, a copy of which is attached here as Exhibit 11 and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574085/000139834426012572/0001398344-26-012572-index.html" }, { "accession_no": "0001346824-26-000203", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1817241, "issuer_name": "ARTIVA BIOTHERAPEUTICS, INC.", "issuer_cusip": "04317A107", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-22", "filed_date": "2026-07-23", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nOn June 16, 2026, the Fund purchased an aggregate of 124,893 shares of common stock in open market transactions at prices ranging from $8.63 to $9.00 (weighted average sales price of $8.89 per share).\n\nOn June 25, 2026, the Fund purchased an aggregate of 31,000 shares of common stock in open market transactions at prices ranging from $8.62 to $8.98 (weighted average sales price of $8.88 per share).\n\nOn June 26 2026, the Fund purchased an aggregate of 1,876 shares of common stock in open market transactions at prices ranging from $8.97 to $9.00 (weighted average sales price of $8.98 per share).\n\nOn July 10 2026, the Fund purchased an aggregate of 15,102 shares of common stock in open market transactions at prices ranging from $8.89 to $9.00 (weighted average sales price of $8.97 per share).\n\nOn July 13 2026, the Fund purchased an aggregate of 6,522 shares of common stock in open market transactions at prices ranging from $8.89 to $8.95 (weighted average sales price of $8.94 per share).\n\nOn July 16 2026, the Fund purchased an aggregate of 152,472 shares of common stock in open market transactions at prices ranging from $8.79 to $9.00 (weighted average sales price of $8.93 per share).\n\nOn July 17 2026, the Fund purchased an aggregate of 7,882 shares of common stock in open market transactions at prices ranging from $8.88 to $9.00 (weighted average sales price of $8.95 per share).\n\nOn July 21 2026, the Fund purchased an aggregate of 120,582 shares of common stock in open market transactions at prices ranging from $9.16 to $10.00 (weighted average sales price of $9.55 per share).\n\nOn July 22 2026, the Fund purchased an aggregate of 84,124 shares of common stock in open market transactions at prices ranging from $9.72 to $10.00 (weighted average sales price of $9.93 per share).\n\nOn July 23 2026, the Fund purchased an aggregate of 59,880 shares of common stock in open market transactions at prices ranging from $9.40 to $10.00 (weighted average sales price of $9.96 per share).\n\nAll purchases of the securities described above were for cash and were funded by working capital of the Fund.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1817241/000134682426000203/0001346824-26-000203-index.html" }, { "accession_no": "0001193125-26-314586", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1173420, "issuer_name": "NOVAGOLD Resources Inc.", "issuer_cusip": "66987E206", "securities_class_title": "Common Shares", "date_of_event": "2026-07-21", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nArrangement and Voting Agreements\n\nAs further described in the Current Report on Form 8-K filed by the Issuer on July 22, 2026, on July 21, 2026, the Issuer, NovaGold Corporation and Paulson Advisers LLC entered into an Arrangement Agreement (the \"Arrangement Agreement\") pursuant to which, among other things, and on the terms and subject to the conditions thereof, NovaGold Corporation will acquire all of the issued and outstanding Common Shares of the Issuer by way of an arrangement (the \"Arrangement\") under the Business Corporations Act (British Columbia) in accordance with the plan of arrangement of the Issuer (the \"Plan of Arrangement\").\n\nIn connection with the execution of the Arrangement Agreement, NovaGold Corporation entered into (i) a Voting Agreement with Kaplan (the \"Kaplan Voting Agreement\") and (ii) a Voting Agreement with Electrum Strategic (the \"Electrum Voting Agreement\" and, together with the Kaplan Voting Agreement, the \"Voting Agreements\"), in each case dated July 21, 2026.\n\nPursuant to the Kaplan Voting Agreement, Kaplan has agreed, among other things, to vote his Common Shares (i) in favor of the approval of the transactions contemplated by the Arrangement Agreement and related agreements (the \"Transaction Agreements\"), including the special resolution of the Issuer shareholders approving the Plan of Arrangement which is to be considered at a special meeting of Issuer shareholders, and (ii) against any action, agreement, transaction or proposal that would reasonably be expected to impede or delay completion of the Arrangement and each of the transactions contemplated by the Transaction Agreements. The Kaplan Voting Agreement may be terminated by any party thereto upon (i) the Issuer shareholder approval having been obtained, (ii) either party failing to comply with their respective representations, warranties or covenants, (iii) the Transaction Agreements being terminated in accordance with their terms, (iv) mutual written agreement or (v) the conditions to the completion of the Arrangement as set out in the Arrangement Agreement not having been satisfied or waived by March 31, 2027.\n\nPursuant to the Electrum Voting Agreement, Electrum Strategic has agreed, among other things, to vote its Common Shares (i) in favor of the approval of the transactions contemplated by the Transaction Agreements, including the special resolution of the Issuer shareholders approving the Plan of Arrangement which is to be considered at a special meeting of Issuer shareholders, and (ii) against any action, agreement, transaction or proposal that would reasonably be expected to impede or delay completion of the Arrangement and each of the transactions contemplated by the Transaction Agreements, without the foregoing in any way limiting its right to vote its Common Shares on any unrelated matters. The Electrum Voting Agreement may be terminated by any party thereto upon (i) the Issuer shareholder approval having been obtained, (ii) either party failing to comply with their respective representations, warranties or covenants, (iii) the Transaction Agreements being terminated in accordance with their terms or (iv) the conditions to the completion of the Arrangement as set out in the Arrangement Agreement not having been satisfied or waived by March 31, 2027.\n\nThe description of the Voting Agreements contained herein does not purport to be complete and is qualified in its entirety by reference to the full text of such agreements, which are included hereto as Exhibits 99.1 and 99.2 and are incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1173420/000119312526314586/0001193125-26-314586-index.html" }, { "accession_no": "0001104659-26-086412", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1788348, "issuer_name": "BROOKFIELD INFRASTRUCTURE CORPORATION", "issuer_cusip": "11276H106", "securities_class_title": "class A exchangeable subordinate voting shares, no par value", "date_of_event": "2026-07-21", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nOn July 21, 2026, BIP, BIPC and Brookfield Infrastructure Partners Inc. (\"BIP Inc.\") entered into an arrangement agreement pursuant to which, among other things, the parties agreed to implement an arrangement (the \"Transaction\") to simplify BIP's and BIPC's corporate structure by converting BIP and BIPC into a single Canadian publicly traded corporate entity, BIP Inc.\n\nThe Transaction will be implemented pursuant to a court-approved plan of arrangement under the Business Corporations Act (British Columbia), and completion of the Transaction is subject to a number of conditions, including obtaining the approval of the holders of limited partnership units (\"L.P. Units\") of BIP (the \"Unitholders\") and approval by the British Columbia Supreme Court. If the Transaction is approved by the Unitholders but not by the holders of BIPC Shares (the \"Shareholders\"), the Transaction will still be completed except that the exchange of BIPC Shares (the \"Share Exchange\"), as described below, will not occur. A special meeting of Unitholders and a special meeting of Shareholders have been called for October 14, 2026, and security holders of record as of close of business on August 21, 2026 will be entitled to vote at the meetings.\n\nIf the Transaction is approved by both the Unitholders and Shareholders, and subject to satisfaction of other conditions, BIP and BIPC will implement the Transaction, pursuant to which, among other things, all L.P. Units, BIPC Shares, exchangeable limited partnership units of Brookfield Infrastructure Partners Exchange LP, a subsidiary of BIP, class B exchangeable limited partnership units of Brookfield Infrastructure Corporation Exchange Limited Partnership, a subsidiary of BIP, Class A.2 Shares and redemption-exchange limited partner units of Brookfield Infrastructure L.P. (\"BILP\") will be exchanged, directly or indirectly, for newly issued class A subordinate voting shares of BIP Inc. (\"BIP Inc. Class A Shares\") on a one-for-one basis. In addition, the class A common shares of Brookfield Infrastructure Partners Limited, the general partner of BIP, will be exchanged for class B multiple voting shares of BIP Inc. (\"BIP Inc. Class B Shares\"), and the special general partner units of BILP, held by a subsidiary of Brookfield Asset Management Ltd., will be exchanged for class I non-voting incentive shares of BIP Inc. (\"BIP Inc. Class I Shares\"). The newly issued BIP Inc. Class A Shares are expected to be listed on the Toronto Stock Exchange and the New York Stock Exchange.\n\nFollowing completion of the Transaction and based on their current ownership and the aggregate number of issued and outstanding BIPC Shares, Class A.2 Shares and L.P. Units, (i) Brookfield and its subsidiaries are expected to own 204,711,975 BIP Inc. Class A Shares, representing approximately 26.4% of the issued and outstanding BIP Inc. Class A Shares (and 204,711,975 BIP Inc. Class A Shares, representing approximately 30.9% of the issued and outstanding BIP Inc. Class A Shares if the Share Exchange does not occur), 45,776 BIP Inc. Class B Shares, representing 100% of the issued and outstanding BIP Inc. Class B Shares (which BIP Inc. Class B Shares will be entitled to cast, in the aggregate, a number of votes equal to the number of outstanding BIP Inc. Class A Shares held on the record date for determining the BIP Inc. shareholders entitled to vote at the applicable meeting minus 100), (ii) Brookfield Wealth Solutions Ltd. and its subsidiaries are expected to own 3,287,267 BIP Inc. Class A Shares, representing approximately 0.4% of the issued and outstanding BIP Inc. Class A Shares (and 3,287,267 BIP Inc. Class A Shares, representing approximately 0.5% of the issued and outstanding BIP Inc. Class A Shares if the Share Exchange does not occur), (iii) Brookfield Asset Management Ltd. and its subsidiaries are expected to own 2,400,631 BIP Inc. Class I Shares, representing 100% of the issued and outstanding BIP Inc. Class I Shares and (iv) BIP Inc. will own all of the issued and outstanding L.P. Units, redemption-exchange limited partnership units of BILP, Class A.2 Shares and, assuming the Share Exchange occurs, BIPC Shares. If the Transaction is completed but the Share Exchange does not occur, Brookfield and its subsidiaries will not own any BIPC Shares.\n\nFurther information regarding the Transaction will be contained in a joint management information circular of BIP and BIPC. Subject to the receipt of all required approvals, it is anticipated that the Transaction will be completed in the fourth quarter of 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1788348/000110465926086412/0001104659-26-086412-index.html" }, { "accession_no": "0001104659-26-086411", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1406234, "issuer_name": "BROOKFIELD INFRASTRUCTURE PARTNERS L.P.", "issuer_cusip": "G16252101", "securities_class_title": "Limited Partnership Units", "date_of_event": "2026-07-21", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nOn July 21, 2026, BIP, Brookfield Infrastructure Corporation (\"BIPC\") and Brookfield Infrastructure Partners Inc. (\"BIP Inc.\") entered into an arrangement agreement pursuant to which, among other things, the parties agreed to implement an arrangement (the \"Transaction\") to simplify BIP's and BIPC's corporate structure by converting BIP and BIPC into a single Canadian publicly traded corporate entity, BIP Inc.\n\nThe Transaction will be implemented pursuant to a court-approved plan of arrangement under the Business Corporations Act (British Columbia), and completion of the Transaction is subject to a number of conditions, including obtaining the approval of the holders of Units (the \"Unitholders\") and approval by the British Columbia Supreme Court. If the Transaction is approved by the Unitholders but not by the holders of class A exchangeable subordinate voting shares (\"BIPC Shares\") of BIPC (the \"Shareholders\"), the Transaction will still be completed except that the exchange of BIPC Shares (the \"Share Exchange\"), as described below, will not occur. A special meeting of Unitholders and a special meeting of Shareholders have been called for October 14, 2026, and security holders of record as of close of business on August 21, 2026 will be entitled to vote at the meetings.\n\nIf the Transaction is approved by both the Unitholders and Shareholders, and subject to satisfaction of other conditions, BIP and BIPC will implement the Transaction, pursuant to which, among other things, all Units, BIPC Shares, exchangeable limited partnership units of Brookfield Infrastructure Partners Exchange LP, a subsidiary of BIP, class B exchangeable limited partnership units of Brookfield Infrastructure Corporation Exchange Limited Partnership, a subsidiary of BIP, Class A.2 Shares and redemption-exchange limited partner units of Brookfield Infrastructure L.P. (\"BILP\") will be exchanged, directly or indirectly, for newly issued class A subordinate voting shares of BIP Inc. (\"BIP Inc. Class A Shares\") on a one-for-one basis. In addition, the class A common shares of Brookfield Infrastructure Partners Limited, the general partner of BIP, will be exchanged for class B multiple voting shares of BIP Inc. (\"BIP Inc. Class B Shares\"), and the special general partner units of BILP, held by a subsidiary of Brookfield Asset Management Ltd., will be exchanged for class I non-voting incentive shares of BIP Inc. (\"BIP Inc. Class I Shares\"). The newly issued BIP Inc. Class A Shares are expected to be listed on the Toronto Stock Exchange and the New York Stock Exchange.\n\nFollowing completion of the Transaction and based on their current ownership and the aggregate number of issued and outstanding BIPC Shares, Class A.2 Shares and Units, (i) Brookfield and its subsidiaries are expected to own 204,711,975 BIP Inc. Class A Shares, representing approximately 26.4% of the issued and outstanding BIP Inc. Class A Shares (and 204,711,975 BIP Inc. Class A Shares, representing approximately 30.9% of the issued and outstanding BIP Inc. Class A Shares if the Share Exchange does not occur), 45,776 BIP Inc. Class B Shares, representing 100% of the issued and outstanding BIP Inc. Class B Shares (which BIP Inc. Class B Shares will be entitled to cast, in the aggregate, a number of votes equal to the number of outstanding BIP Inc. Class A Shares held on the record date for determining the BIP Inc. shareholders entitled to vote at the applicable meeting minus 100), (ii) BNT and its subsidiaries are expected to own 3,287,267 BIP Inc. Class A Shares, representing approximately 0.4% of the issued and outstanding BIP Inc. Class A Shares (and 3,287,267 BIP Inc. Class A Shares, representing approximately 0.5% of the issued and outstanding BIP Inc. Class A Shares if the Share Exchange does not occur), (iii) Brookfield Asset Management Ltd. and its subsidiaries are expected to own 2,400,631 BIP Inc. Class I Shares, representing 100% of the issued and outstanding BIP Inc. Class I Shares and (iv) BIP Inc. will own all of the issued and outstanding Units, redemption-exchange limited partnership units of BILP, Class A.2 Shares and, assuming the Share Exchange occurs, BIPC Shares. If the Transaction is completed but the Share Exchange does not occur, Brookfield and its subsidiaries will not own any BIPC Shares.\n\nFurther information regarding the Transaction will be contained in a joint management information circular of BIP and BIPC. Subject to the receipt of all required approvals, it is anticipated that the Transaction will be completed in the fourth quarter of 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1406234/000110465926086411/0001104659-26-086411-index.html" }, { "accession_no": "0001104659-26-086395", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1791863, "issuer_name": "Brookfield Renewable Corporation", "issuer_cusip": "11285B108", "securities_class_title": "Class A exchangeable subordinate voting shares, no par value", "date_of_event": "2026-07-21", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nOn July 21, 2026, Brookfield Renewable Partners L.P. (\"BEP\"), BEPC and Brookfield Renewable Partners Inc. (\"BEP Inc.\") entered into an arrangement agreement pursuant to which, among other things, the parties agreed to implement an arrangement (the \"Transaction\") to simplify BEP's and BEPC's corporate structure by converting BEP and BEPC into a single Canadian publicly traded corporate entity, BEP Inc.\n\nThe Transaction will be implemented pursuant to a court-approved plan of arrangement under the Business Corporations Act (British Columbia), and completion of the Transaction is subject to a number of conditions, including obtaining the approval of the holders of limited partnership units (\"L.P. Units\") of BEP (the \"Unitholders\") and approval by the British Columbia Supreme Court. If the Transaction is approved by the Unitholders but not by the holders of BEPC Shares (the \"Shareholders\"), the Transaction will still be completed except that the exchange of BEPC Shares (the \"Share Exchange\"), as described below, will not occur. A special meeting of Unitholders and a special meeting of Shareholders have been called for October 14, 2026, and security holders of record as of close of business on August 21, 2026 will be entitled to vote at the meetings.\n\nIf the Transaction is approved by both the Unitholders and Shareholders, and subject to satisfaction of other conditions, BEP and BEPC will implement the Transaction, pursuant to which, among other things, all L.P. Units, BEPC Shares, Class A.2 Shares and redemption-exchange limited partnership units of Brookfield Renewable Energy L.P. (\"BRELP\") will be exchanged for newly issued class A subordinate voting shares of BEP Inc. (\"BEP Inc. Class A Shares\") on a one-for-one basis. In addition, the class A common shares of Brookfield Renewable Partners Limited, the general partner of BEP, will be exchanged for class B multiple voting shares of BEP Inc. (\"BEP Inc. Class B Shares\"). The limited partnership units of BREP Holding L.P., the general partner of BRELP, and the class A common shares of BRP Bermuda GP Limited, the general partner of BREP Holding L.P., will be exchanged for class I non-voting incentive shares of BEP Inc. (\"BEP Inc. Class I Shares\"). The newly issued BEP Inc. Class A Shares are expected to be listed on the Toronto Stock Exchange and the New York Stock Exchange.\n\nFollowing completion of the Transaction, and based on their current ownership and the aggregate number of issued and outstanding BEPC Shares, Class A.2 Shares and L.P. Units, (i) Brookfield and its subsidiaries are expected to own 305,366,071 BEP Inc. Class A Shares, representing approximately 44.9% of the issued and outstanding BEP Inc. Class A Shares (and 305,366,071 BEP Inc. Class A Shares, representing approximately 57.7% of the issued and outstanding BEP Inc. Class A Shares if the Share Exchange does not occur) and 30,014 BEP Inc. Class B Shares, representing 100% of the issued and outstanding BEP Inc. Class B Shares (which BEP Inc. Class B Shares will be entitled to cast, in the aggregate, a number of votes equal to the number of outstanding BEP Inc. Class A Shares held on the record date for determining the BEP Inc. shareholders entitled to vote at the applicable meeting minus 100), (ii) BNT and its subsidiaries are expected to own 15,242,422 BEP Inc. Class A Shares, representing approximately 2.2% of the issued and outstanding BEP Inc. Class A Shares (and 5,148,270 BEP Inc. Class A Shares, representing approximately 1.0% of the issued and outstanding BEP Inc. Class A Shares if the Share Exchange does not occur), (iii) Brookfield Asset Management Ltd. and its subsidiaries are expected to own 3,977,260 BEP Inc. Class I Shares, representing 100% of the issued and outstanding BEP Inc. Class I Shares and (iv) BEP Inc. will own all of the issued and outstanding L.P. Units, redemption-exchange limited partnership units of BRELP, Class A.2 Shares and, assuming the Share Exchange occurs, BEPC Shares. If the Transaction is completed but the Share Exchange does not occur, BNT and its subsidiaries will own or exercise control or direction over 10,094,152 BEPC Shares, representing approximately 6.7% of the issued and outstanding BEPC Shares.\n\nFurther information regarding the Transaction will be contained in a joint management information circular of BEP and BEPC. Subject to the receipt of all required approvals, it is anticipated that the Transaction will be completed in the fourth quarter of 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1791863/000110465926086395/0001104659-26-086395-index.html" }, { "accession_no": "0001104659-26-086394", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1533232, "issuer_name": "BROOKFIELD RENEWABLE PARTNERS L.P.", "issuer_cusip": "G16258108", "securities_class_title": "Limited Partnership Units", "date_of_event": "2026-07-21", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nOn July 21, 2026, BEP, BEPC and Brookfield Renewable Partners Inc. (\"BEP Inc.\") entered into an arrangement agreement pursuant to which, among other things, the parties agreed to implement an arrangement (the \"Transaction\") to simplify BEP's and BEPC's corporate structure by converting BEP and BEPC into a single Canadian publicly traded corporate entity, BEP Inc.\n\nThe Transaction will be implemented pursuant to a court-approved plan of arrangement under the Business Corporations Act (British Columbia), and completion of the Transaction is subject to a number of conditions, including obtaining the approval of the holders of L.P. Units (the \"Unitholders\") and approval by the British Columbia Supreme Court. If the Transaction is approved by the Unitholders but not by the holders of BEPC Shares (the \"Shareholders\"), the Transaction will still be completed except that the exchange of BEPC Shares (the \"Share Exchange\"), as described below, will not occur. A special meeting of Unitholders and a special meeting of Shareholders have been called for October 14, 2026, and security holders of record as of close of business on August 21, 2026 will be entitled to vote at the meetings.\n\nIf the Transaction is approved by both the Unitholders and Shareholders, and subject to satisfaction of other conditions, BEP and BEPC will implement the Transaction, pursuant to which, among other things, all L.P. Units, BEPC Shares, Class A.2 Shares and redemption-exchange limited partnership units of BRELP will be exchanged for newly issued class A subordinate voting shares of BEP Inc. (\"BEP Inc. Class A Shares\") on a one-for-one basis. In addition, the class A common shares of Brookfield Renewable Partners Limited, the general partner of BEP, will be exchanged for class B multiple voting shares of BEP Inc. (\"BEP Inc. Class B Shares\"). The limited partnership units of BREP Holding L.P., the general partner of BRELP, and the class A common shares of BRP Bermuda GP Limited, the general partner of BREP Holding L.P., will be exchanged for class I non-voting incentive shares of BEP Inc. (\"BEP Inc. Class I Shares\"). The newly issued BEP Inc. Class A Shares are expected to be listed on the Toronto Stock Exchange and the New York Stock Exchange.\n\nFollowing completion of the Transaction, and based on their current ownership and the aggregate number of issued and outstanding BEPC Shares, Class A.2 Shares and L.P. Units, (i) Brookfield and its subsidiaries are expected to own 305,366,071 BEP Inc. Class A Shares, representing approximately 44.9% of the issued and outstanding BEP Inc. Class A Shares (and 305,366,071 BEP Inc. Class A Shares, representing approximately 57.7% of the issued and outstanding BEP Inc. Class A Shares if the Share Exchange does not occur) and 30,014 BEP Inc. Class B Shares, representing 100% of the issued and outstanding BEP Inc. Class B Shares (which BEP Inc. Class B Shares will be entitled to cast, in the aggregate, a number of votes equal to the number of outstanding BEP Inc. Class A Shares held on the record date for determining the BEP Inc. shareholders entitled to vote at the applicable meeting minus 100), (ii) BNT and its subsidiaries are expected to own 15,242,422 BEP Inc. Class A Shares, representing approximately 2.2% of the issued and outstanding BEP Inc. Class A Shares (and 5,148,270 BEP Inc. Class A Shares, representing approximately 1.0% of the issued and outstanding BEP Inc. Class A Shares if the Share Exchange does not occur), (iii) Brookfield Asset Management Ltd. and its subsidiaries are expected to own 3,977,260 BEP Inc. Class I Shares, representing 100% of the issued and outstanding BEP Inc. Class I Shares and (iv) BEP Inc. will own all of the issued and outstanding L.P. Units, redemption-exchange limited partnership units of BRELP, Class A.2 Shares and, assuming the Share Exchange occurs, BEPC Shares. If the Transaction is completed but the Share Exchange does not occur, BNT and its subsidiaries will own or exercise control or direction over 10,094,152 BEPC Shares, representing approximately 6.7% of the issued and outstanding BEPC Shares.\n\nFurther information regarding the Transaction will be contained in a joint management information circular of BEP and BEPC. Subject to the receipt of all required approvals, it is anticipated that the Transaction will be completed in the fourth quarter of 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1533232/000110465926086394/0001104659-26-086394-index.html" }, { "accession_no": "0001104659-26-086334", "submission_type": "SCHEDULE 13D/A", "amendment_no": 22, "issuer_cik": 1841514, "issuer_name": "Commonwealth Credit Partners BDC I, Inc.", "issuer_cusip": "000000000", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "On July 21, 2026, pursuant to drawdown notices delivered in accordance with the Subscription Agreements: (i) UAW Chrysler Retirees Medical Benefits Plan purchased from the Issuer, and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan, 2,201.011 Shares; (ii) UAW Ford Retirees Medical Benefits Plan purchased from the Issuer, and the Issuer issued to UAW Ford Retirees Medical Benefits Plan, 3,431.320 Shares; and (iii) UAW GM Retirees Medical Benefits Plan purchased from the Issuer, and the Issuer issued to UAW GM Retirees Medical Benefits Plan, 5,654.906 Shares. The price per Share was $877.09.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1841514/000110465926086334/0001104659-26-086334-index.html" }, { "accession_no": "0001104659-26-086266", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1829635, "issuer_name": "TransCode Therapeutics, Inc.", "issuer_cusip": "89357L501", "securities_class_title": "Common Stock", "date_of_event": "2026-07-23", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of Schedule 13D is hereby amended by replacing the last paragraph of Item 4 with the following:\n\nOn July 17, 2026, DEFJ submitted an irrevocable conversion notice (the \"Conversion Notice\") to the Company providing that, contingent upon Company stockholder approval of Proposals 1 and 2 set forth in the Company's proxy statement filed with the SEC on June 2, 2026 for its 2026 annual meeting, DEFJ will, on the third business day following approval of Proposals 1 and 2, convert (the \"Conversion\") 21.6755 shares of Series B Preferred Stock into 216,755 shares of Common Stock (the \"Conversion Shares\"), such that DEFJ will hold approximately 9.9% of the Company's outstanding Common Stock as of such date. The Conversion was implemented and the Conversion Shares were issued to DEFJ on July 23, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1829635/000110465926086266/0001104659-26-086266-index.html" }, { "accession_no": "0001104659-26-086210", "submission_type": "SCHEDULE 13D/A", "amendment_no": 20, "issuer_cik": 1850787, "issuer_name": "KAYNE DL 2021, INC.", "issuer_cusip": "000000000", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-04-16", "filed_date": "2026-07-23", "item3_funds_source": null, "item4_transaction_purpose": "This Item 4 is hereby amended to include the following:\n\nOn October 16, 2025, pursuant to distribution reinvestment plans (i) UAW Chrysler Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 46.06 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 71.81 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW GM Retirees Medical Benefits Plan 118.34 Shares. The price per Share was $5,246.00.\n\nOn January 16, 2026, pursuant to distribution reinvestment plans (i) UAW Chrysler Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 47.48 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 74.02 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW GM Retirees Medical Benefits Plan 121.99 Shares. The price per Share was $5,230.00. The effective purchase date of these Shares is January 16, 2026, however, the number of Shares purchased was not known until the net asset value of the Issuer was finalized on January 22, 2026.\n\nOn April 16, 2026, pursuant to distribution reinvestment plans (i) UAW Chrysler Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 43.00 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 67.03 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW GM Retirees Medical Benefits Plan 110.47 Shares. The price per Share was $5,208.00. The effective purchase date of these Shares is April 16, 2026, however, the number of Shares purchased was not known until the net asset value of the Issuer was finalized on April 22, 2026.\n\nOn July 16, 2026, pursuant to distribution reinvestment plans (i) UAW Chrysler Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 41.45 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 64.61 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW GM Retirees Medical Benefits Plan 106.48 Shares. The price per Share was $5,185.00. The effective purchase date of these Shares is July 16, 2026, however, the number of Shares purchased was not known until the net asset value of the Issuer was finalized on July 21, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1850787/000110465926086210/0001104659-26-086210-index.html" }, { "accession_no": "0000908834-26-000356", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2087398, "issuer_name": "Metals Royalty Co Inc.", "issuer_cusip": "591322102", "securities_class_title": "Common Shares, without par value (the \"Shares\")", "date_of_event": "2026-07-13", "filed_date": "2026-07-23", "item3_funds_source": "The securities reported herein include 1,000,000 Shares granted to Mr. Hess on July 13, 2026 under the Issuer's 2025 Equity Incentive Plan in connection with Mr. Hess' appointment as a director of the Issuer, at a deemed issue price of $5.93 per Share. Mr. Hess made no payment for such Shares, which were granted in consideration of service to the Issuer.", "item4_transaction_purpose": "The disclosure set forth in Items 5 and 6 below is hereby incorporated by reference in this Item 4.\n\nEffective June 1, 2026, Mr. Hess was appointed as a director and non-executive Co-Chairman of the Issuer. The Reporting Persons hold the Shares for investment.\n\nAlthough no Reporting Person has any specific plan or proposal to acquire or dispose of Shares or other securities of the Issuer, consistent with the above investment purpose, and subject to the fiduciary duties and Issuer policies to which Mr. Hess is subject as a director and certain lock-up obligations to which Mr. Hess is subject as described in Item 6, each Reporting Person at any time and from time to time may acquire additional Shares or other securities of the Issuer or dispose of any or all of its Shares or other securities of the Issuer, depending in any case upon an ongoing evaluation of the Reporting Persons' investment in the Shares and/or such other securities, prevailing market conditions, general economic and industry conditions, other investment opportunities available to the Reporting Persons, the liquidity requirements of the Reporting Persons and/or other investment considerations. None of the Reporting Persons has made a determination regarding a maximum or minimum number of Shares or other securities of the Issuer which it may hold at any point in time.\n\nIn his capacity as a director, Mr. Hess communicates with the Issuer's other directors, the Issuer's management team, and/or other parties regarding a variety of topics concerning the Issuer, including, without limitation, the Issuer's business, strategy, financial position, operations, corporate governance, and/or current or future initiatives that may be proposed or adopted by the Issuer's management or board of directors. In addition, in his capacity as a director, Mr. Hess may be involved in proposing or reviewing transactions or initiatives relating to, and may have influence over, the corporate activities of the Issuer, including, without limitation, activities that may relate to one or more of the matters referred to in subparagraphs (a) - (j) of Item 4 of Schedule 13D.\n\nExcept to the extent the foregoing may be deemed a plan or proposal, none of the Reporting Persons has any plans or proposals which relate to, or could result in, any of the matters referred to in subparagraphs (a) - (j) of Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto, and/or consider or propose one or more of the actions described in subparagraphs (a) - (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2087398/000090883426000356/0000908834-26-000356-index.html" }, { "accession_no": "0000902664-26-003225", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1680378, "issuer_name": "SenesTech, Inc.", "issuer_cusip": "81720R604", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-22", "filed_date": "2026-07-23", "item3_funds_source": "Funds for the purchase of the securities reported herein were derived from the general working capital of Glenbrook Capital Management. A total of approximately $3.6 million was paid to acquire such securities.\n\nPositions in the shares of Common Stock may be held in margin accounts. Because other securities may be held in such margin accounts, it may not be possible to determine the amounts, if any, of margin used to purchase the shares of Common Stock.", "item4_transaction_purpose": "The Reporting Person originally acquired the securities reported herein because it believes the securities are undervalued and represent an attractive investment opportunity and they continue to hold the shares of Common Stock reported herein for investment purposes. The Reporting Person previously reported its beneficial ownership on Schedule 13G pursuant to Rule 13d-1(c) under the Act.\n\nThe Reporting Person also intends to review its investment in the Issuer on a continuing basis. The Reporting Person has and may continue to engage in discussions with management, the board of directors (the \"Board\"), other stockholders of the Issuer, and other persons regarding the Issuer, including with respect to its business, operations, marketing and overall business strategy, capital structure, and governance, though the Reporting Person may change its intentions with respect to any and all of the foregoing. The Reporting Person may also take steps to explore and prepare for various plans and actions, and propose transactions, before forming an intention to engage in such plans or actions or proceed with such transactions. The Reporting Person intends to make introductions to certain persons and businesses that the Reporting Person believes may be able to assist the Issuer with respect to certain operational and/or financial matters. In this regard, the Reporting Person has advanced certain funds to marketing or branding advisors to provide strategic advice regarding certain of the Issuer's products.\n\nThe Reporting Person intends to review its investment in the Issuer on a continuing basis and depending upon various factors, including without limitation, the Issuer's financial position and strategic direction, the outcome of any discussions referenced above, overall market conditions, other investment opportunities available to the Reporting Person, and the availability of securities of the Issuer at prices that would make the purchase or sale of such securities desirable, the Reporting Person may endeavor (i) to increase or decrease its position in the Issuer through, among other things, the purchase or sale of securities of the Issuer, including through transactions involving shares of Common Stock and/or other equity, debt, notes, other securities, or derivative or other instruments that are based upon or relate to the value of securities of the Issuer in the open market or in private transactions, on such terms and at such times as the Reporting Person may deem advisable and/or (ii) to enter into transactions that increase or decrease its economic exposure to the shares of Common Stock without affecting its beneficial ownership of the shares of Common Stock or adjust its exposure to the shares of Common Stock in ways that would affect its beneficial ownership of the shares of Common Stock.\n\nExcept as set forth in this Item 4, the Reporting Person does not currently have any plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Person reserves the right to formulate plans or proposals, and to take such actions with respect to its investment in the Issuer, including any or all of the actions set forth in clauses (a) through (j) of Item 4, and to change its intentions, at any time, as it deems appropriate.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1680378/000090266426003225/0000902664-26-003225-index.html" }, { "accession_no": "0002137030-26-000001", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1389545, "issuer_name": "Stablecoin Development Corp", "issuer_cusip": "66987P508", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-06-15", "filed_date": "2026-07-22", "item3_funds_source": null, "item4_transaction_purpose": "As described in this Amendment, the number of outstanding shares of Common Stock increased to 50,449,780 as of June 15, 2026. As a consequence, the first tranche of 4,000,000 shares underlying the Warrant, which became exercisable on July 16, 2026, no longer exceeds the Beneficial Ownership Limitation. The Reporting Person has not exercised any portion of the Warrant, does not currently hold any shares of Common Stock, and has not changed the investment intent described in the Original Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1389545/000213703026000001/0002137030-26-000001-index.html" }, { "accession_no": "0001493152-26-034217", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 315545, "issuer_name": "PROVECTUS BIOPHARMACEUTICALS, INC.", "issuer_cusip": "74373P108", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-22", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and restated in its entirety as follows: The Issuer has issued an aggregate of $7,512,500 principal amount of secured convertible promissory notes (the \"Notes\") to the Reporting Person on various dates from April 13, 2018 to May 28, 2026. On various dates from April 13, 2018 to June 26, 2026, $6,642,500 principal amount of the Notes plus interest converted into 2,866,761 shares of the Issuer's Series D-1 Convertible Preferred Stock, par value $0.001 per share (\"Series D-1 Convertible Preferred Stock\") at a conversion price of $2.862 per share in accordance with the terms of the Notes. In addition, on February 9, 2026, the Reporting Person purchased 34,940 shares of Series D-1 Convertible Preferred Stock at a purchase price of $2.862 per share in a private transaction. In addition, on November 22, 2024, the Reporting Person purchased 80,365 shares of Series D-1 Convertible Preferred Stock at a purchase price of $2.862 per share in a private transaction. The 2,866,761 shares of Series D-1 Convertible Preferred Stock held by the Reporting Person are convertible into 28,667,610 shares of Common Stock. The Reporting Person currently holds $908,554 aggregate principal amount of Notes that, along with accrued interest, are convertible into 363,314 shares of Series D-1 Convertible Preferred Stock, which are convertible into 3,633,141 shares of Common Stock. The remainder of the shares of Common Stock held by the Reporting Person were acquired in other market transactions from 2006 to 2016. The Reporting Person acquired the Issuer securities reported herein using his personal funds, including funds borrowed from a financial institution using a personal line of credit that is not secured by the Issuer securities owned by the Reporting Person.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/315545/000149315226034217/0001493152-26-034217-index.html" }, { "accession_no": "0001346824-26-000199", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2017526, "issuer_name": "Freenome, Inc.", "issuer_cusip": "35661P100", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nOn July 20, 2026 (the \"Closing Date\"), the transactions contemplated by the Business Combination Agreement and the PIPE Financing closed. In connection with the Domestication, the 750,000 class A ordinary shares previously held by the Fund were reclassified as 750,000 shares of common stock, par value $0.0001 per share (the \"Common Stock\"), of the Issuer.\n\nAdditionally, in connection with the closing of the Business Combination, the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III and the Account received 6,561,711, 970,950, 553,703, 908,103, and 367,427 shares of Common Stock, respectively, in exchange for their existing equity interests in Freenome, which the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III and the Account had acquired for an aggregate investment of $218,999,969.\n\nIn connection with the closing of the PIPE Financing, the Fund and the Nexus Fund III purchased 4,918,411 and 336,965 shares of Common Stock, respectively, at a purchase price of $10 per share, or an aggregate investment of $52,553,760.\n\nAll purchases of the securities described herein were for cash and were funded by working capital of the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III and the Account.", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and restated as follows:\n\nThe Reporting Persons acquired the common stock reported herein for investment purposes and not with an intent, purpose or effect of changing control of the Issuer. The Reporting Persons may, from time to time, acquire additional equity securities or debt securities of the Issuer, which debt securities may be convertible or non-convertible, secured or unsecured, and could involve the monetization of potential revenue streams deriving from development-stage or commercial programs of the Issuer, or dispose of Issuer securities they beneficially own, on the open market or in private transactions or otherwise (including by means of 10b5-1 programs), consistent with their investment purposes and in amounts, on such terms and at such times as to be determined by the Reporting Persons based upon a number of factors, including, without limitation, their ongoing assessment of the Issuer's business prospects, the availability of Issuer securities at prices that would make the purchase or sale of such securities desirable, prevailing market conditions, the availability of other investment opportunities, and/or other considerations.\n\nIn addition, consistent with their investment purpose, the Reporting Persons may engage in communications with persons associated with the Issuer, including stockholders of the Issuer, officers of the Issuer, members of the board of directors of the Issuer, and/or or other third parties, to discuss matters regarding the Issuer, including but not limited to its operations, strategic direction, governance or capitalization, and potential business combinations or dispositions involving the Issuer or certain of its businesses. Dr. Kolchinsky currently serves as a director of the Issuer and therefore will engage in regular discussions with the Issuer's board of directors and management as part of his duties as a director.\n\nNeither Dr. Kolchinsky (other than in his capacity as a director) nor the Reporting Persons have any present plans or proposals that relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D.\n\nDepending on various factors including, without limitation, the Issuer's financial position, results and strategic direction, actions taken by the Issuer's management and Board, other investment opportunities available to RA Capital, the price levels of the Issuer securities, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may change their purpose and formulate and implement plans or proposals with respect to the Issuer at any time and from time to time. Any such action may be made by the Reporting Persons alone or in conjunction with other stockholders, potential acquirers, financing sources and/or other third parties and could include one or more purposes, plans or proposals that relate to or would result in actions required to be reported herein in accordance with Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2017526/000134682426000199/0001346824-26-000199-index.html" }, { "accession_no": "0001213900-26-080534", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1785566, "issuer_name": "Zhongchao Inc.", "issuer_cusip": "G9897X149", "securities_class_title": "Class A Ordinary Shares, par value$ 0.744 per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-22", "item3_funds_source": "Item 3 of the Schedule 13D is amended and supplemented by adding the following: On July 21, 2026, the Company allotted and issued 2,500,000 Class A Ordinary Shares, and 200,000 Class B Ordinary Shares, to More Healthy, a company limited by shares incorporated under the laws of British Virgin Islands and holding vehicle of Mr. Weiguang Yang, the founder, Chief Executive Officer and Chairman of the Board of Directors of the Company. This issuance was in consideration and acknowledgement of Mr. Weiguang Yang's services rendered to the Company in a central role in the Company's strategic direction, long-term vision and stewardship.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended and supplemented by adding the following: On July 21, 2026, the Company allotted and issued 2,500,000 Class A Ordinary Shares, and 200,000 Class B Ordinary Shares, to More Healthy, a company limited by shares incorporated under the laws of British Virgin Islands and holding vehicle of Mr. Weiguang Yang, the founder, Chief Executive Officer and Chairman of the Board of Directors of the Company. This issuance was in consideration and acknowledgement of Mr. Weiguang Yang's services rendered to the Company in a central role in the Company's strategic direction, long-term vision and stewardship.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1785566/000121390026080534/0001213900-26-080534-index.html" }, { "accession_no": "0001213900-26-080509", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 2016072, "issuer_name": "Velos Acquisition I Corp.", "issuer_cusip": "G63212107", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended, supplemented, and superseded, as the case may be, to add the following:\n\nThe Information in Item 6 of the Schedule 13D is incorporated herein by reference.\n\nOn July 20, 2026, following redemptions made by shareholders in connection with the Issuer July 17, 2026, Meeting, the Sponsor converted all 7,187,500 of its Class B Ordinary Shares into Class A Ordinary Shares, that are to be treated as Founder Shares; i.e., that are not \"Public Shares\" as defined in the Issuer's Articles (such shares, as converted, the \"Converted Shares\").\n\nOf these Converted Shares, a total of 4,279,275 Converted Shares were sold to certain investors pursuant to separate Securities Purchase Agreements by and among each Investor thereto and the Sponsor, ReserveOne, Inc., ReserveOne Holdings Inc. dated as of June 12, 2026.\n\nOn July 21, 2026, the Issuer issued a promissory note (the \"July 2026 Note\") to the Sponsor pursuant to which the Issuer can borrow up to an aggregate principal amount of $4,000,000 from the Sponsor. On July 21, 2026, the Issuer borrowed $3,500,000 under the July 2026 Note. The proceeds of the July 2026 Note will be used to pay off existing liabilities as of July 20, 2026, and for general working capital. The July 2026 Note bears no interest and is payable in full upon the consummation of the Company's initial business combination (the \"Maturity Date\"). A failure to pay the principal on the Maturity Date shall be deemed an event of default, in which case the July 2026 Note may be accelerated. If the Company does not consummate an initial business combination, the July 2026 Note will be repaid solely to the extent the Company has funds available outside the Trust Account. The foregoing description of the July 2026 Note does not purport to be complete and is qualified in its entirety by reference to the full text of the July 2026 Note, which is filed as Exhibit 99.1 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2016072/000121390026080509/0001213900-26-080509-index.html" }, { "accession_no": "0001213900-26-080406", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1643303, "issuer_name": "Nano Dimension Ltd.", "issuer_cusip": "63008G203", "securities_class_title": "Ordinary Shares, par value NIS 5.00 per share", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\n\"In open market purchases on July 20, 2026, the Reporting Person expended an aggregate of approximately $1,258,000 (excluding commissions) to purchase call options referencing an aggregate of 8,200,000 Ordinary Shares. The funds used for the purchase of the securities reported in this Schedule 13D were derived from the general working capital of the Reporting Person.\"", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1643303/000121390026080406/0001213900-26-080406-index.html" }, { "accession_no": "0001213900-26-080395", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1581804, "issuer_name": "Navigator Holdings Ltd.", "issuer_cusip": "Y62132108", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1581804/000121390026080395/0001213900-26-080395-index.html" }, { "accession_no": "0001193125-26-312811", "submission_type": "SCHEDULE 13D/A", "amendment_no": 21, "issuer_cik": 1265131, "issuer_name": "HILLTOP HOLDINGS INC.", "issuer_cusip": "432748101", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-16", "filed_date": "2026-07-22", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows: The information set forth in Item 6 of this Amendment is incorporated by reference into this Item 4.\n\nOn July 16, 2026, the Reporting Persons delivered proxies for the upcoming annual meeting (the \"Annual Meeting\") of Hilltop shareholders, currently scheduled for July 23, 2026, to vote approximately 15,632,396 shares of Common Stock held by them as follows: (i) \"withhold\" with respect to all nominees for director recommended by the Board up for election at the Annual Meeting; (ii) \"against\" the non-binding advisory vote to approve executive compensation; and (iii) \"abstain\" from the ratification of the appointment of Hilltop's independent registered public accounting firm for 2026.\n\nExcept as described in this Amendment, the Reporting Persons do not have any present plans or intentions that would result in or relate to any of the matters set forth in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to change their intentions at any time as they deem appropriate.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1265131/000119312526312811/0001193125-26-312811-index.html" }, { "accession_no": "0001193125-26-311372", "submission_type": "SCHEDULE 13D/A", "amendment_no": 33, "issuer_cik": 1019849, "issuer_name": "Penske Automotive Group, Inc.", "issuer_cusip": "70959W103", "securities_class_title": "Common Stock (Par Value $0.0001 per share)", "date_of_event": "2026-07-22", "filed_date": "2026-07-22", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nTo finance the transaction contemplated by the Proposal (as defined below), the Investor Group expects to enter into one or more debt commitment letters with third parties, with the remainder being funded by equity financing from the Investor Group. Any third-party financing for the transactions contemplated by the Proposal remains subject to negotiation of definitive agreements on terms acceptable to the Investor Group.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following after the final paragraph thereof:\n\nOn July 22, 2026, the Investor Group submitted a non-binding proposal (the \"Proposal\") to the Board of Directors of the Company (the \"Board\") to acquire all of the outstanding Voting Common Stock, other than Voting Common Stock owned by the Investor Group, for $210.00 per share of Voting Common Stock in cash. The Reporting Persons anticipate that the Board will appoint a special committee consisting solely of disinterested and independent directors (a \"Special Committee\"), engage its own advisors, consider the Proposal with the assistance of such advisors, engage in discussions and negotiations with the Investor Group and potentially make a recommendation to the Board regarding the Proposal. Any agreement regarding the Proposal would require the approval of a Special Committee. The Investor Group stated in the Proposal that the members of the Investor Group, in their capacity as stockholders of the Company, are not interested in selling their shares of Voting Common Stock, including in connection with an alternative sale, merger or similar transaction involving the Company, and intend to remain as long-term stockholders of the Company, regardless of the outcome of the Proposal. If a transaction contemplated by the Proposal is ultimately consummated, the Voting Common Stock would be delisted from the New York Stock Exchange and deregistered under the Act.\n\nThe foregoing description of the Proposal is qualified in its entirety by the full text of the Proposal, which is attached hereto as Exhibit 32 and incorporated herein by reference.\n\nWhile the Proposal is subject to negotiation with a Special Committee, should it be formed and engage with the Investor Group, the Reporting Persons and their affiliates and representatives may, directly or indirectly, take such additional steps as they may deem appropriate to further the Proposal or otherwise to support their investment in the Company, including, without limitation, responding to inquiries from the Company, the Board or a Special Committee (or its independent legal and financial advisors) or their representatives and engaging in discussions and negotiations regarding the Proposal with such persons. The Reporting Persons do not intend to update or provide additional disclosures regarding the Proposal or the transactions contemplated thereby until a definitive agreement has been entered into, or unless disclosure is otherwise required under applicable U.S. securities laws. The Investor Group also expects to engage in discussions and negotiations with potential financing sources and enter into one or more definitive debt commitment letters with third parties. The Proposal does not create any legal obligations, and no such obligations will arise unless and until definitive transaction documentation with the Company has been executed and delivered.\n\nNo assurances can be given (a) that the Proposal will be accepted by a Special Committee, (b) that any definitive agreement will be entered into with respect to the transaction contemplated by the Proposal or any other potential transaction involving any member of the Investor Group and the Company, (c) if any such transaction is undertaken, as to its ultimate terms or timing, or (d) that any such transaction will be consummated. The Proposal is non-binding and the Investor Group reserves the right to modify or withdraw the Proposal at any time. The Proposal may result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, including, without limitation, an acquisition of additional securities (including Voting Common Stock) of the Company, an extraordinary corporate transaction (such as a merger) involving the Company, a delisting of the Voting Common Stock from the New York Stock Exchange and other material changes in the Company's business or corporate structure. The Reporting Persons will continue to regularly review and assess their investment in the Company and, depending on market conditions and other factors, reserve the right to, at any time, engage in, and to formulate other plans or make other proposals (and engage advisers to assess the merits of such other plans or other proposals) and to modify or withdraw any such plan or proposal at any time, which could result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1019849/000119312526311372/0001193125-26-311372-index.html" }, { "accession_no": "0001193125-26-311337", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 1019849, "issuer_name": "Penske Automotive Group, Inc.", "issuer_cusip": "70959W103", "securities_class_title": "Common Stock (Par Value $0.0001 Per Share)", "date_of_event": "2026-07-22", "filed_date": "2026-07-22", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nTo finance the transaction contemplated by the Proposal (as defined below), Penske Corporation, acting on behalf of itself and its wholly owned subsidiary Penske Automotive Holdings Corp., and the Reporting Persons (collectively with the Penske Corporation, the \"PC-Mitsui Investors\") expect to contribute new equity as well as obtain debt financing from one or more third parties. Any third-party financing for the transactions contemplated by the Proposal remains subject to negotiation of definitive agreements on terms acceptable to the PC-Mitsui Investors.", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented as follows:\n\nOn July 22, 2026, the PC-Mitsui Investors submitted a non-binding proposal (the \"Proposal\") to the board of directors of the Issuer (the \"Board\") to acquire all of the outstanding shares of Common Stock of the Issuer not owned by the PC-Mitsui Investors for $210.00 per share of Common Stock in cash consideration. In Amendment No. 32 to Schedule 13D filed on January 24, 2024 (\"Amendment 32\") by Penske Corporation and Roger S. Penske (together with Penske Corporation, the \"Penske Parties\"), the Penske Parties together reported beneficial ownership of 34,427,877 shares of Common Stock. Including the shares of Common Stock reported by the Penske Parties under Amendment 32, the Penske Parties and the Reporting Persons would collectively beneficially own 47,750,082 shares of Common Stock, representing approximately 72.6% of the Common Stock issued and outstanding. The PC-Mitsui Investors directly hold 47,503,326 shares of Common Stock, representing approximately 72.2% of the Common Stock issued and outstanding.\n\nThe PC-Mitsui Investors expect that the Proposal will be reviewed, as is customary, by a duly appointed special committee of disinterested and independent directors of the Board (the \"Special Committee\"), advised by independent legal and financial advisers. The PC-Mitsui Investors stated in the Proposal that they are not interested in selling their shares of Common Stock and intend to remain as long-term stockholders of the Issuer, regardless of the outcome of the Proposal. Any agreement regarding the Proposal would require the approval of the Special Committee.\n\nThe Proposal does not create any legal obligations and no such obligations will arise unless and until definitive transaction documentation with the Issuer has been executed and delivered. No binding obligation on the part of the Reporting Persons or any of their affiliates will arise with respect to the filing of this Amendment No. 14. While the Proposal remains under consideration by the Board or any duly appointed committee of the Board, the Reporting Persons and their affiliates expect to respond to inquiries from, and negotiate the terms of the Proposal with, the Board, or any duly appointed committee of the Board, and any of their respective representatives. The Reporting Persons do not intend to provide additional disclosures regarding the Proposal until a definitive agreement has been reached or unless disclosure is otherwise required under applicable U.S. securities laws. The PC-Mitsui Investors expect to engage in discussions and negotiations with potential financing sources and enter into one or more definitive debt commitment letters with third parties.\n\nThe Proposal may result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, including, without limitation, an acquisition of additional securities of the Issuer, an extraordinary corporate transaction (such as a merger) involving the Issuer, delisting of the Common Stock from the New York Stock Exchange and other material changes in the Issuer's business or corporate structure.\n\nNo assurances can be given that a definitive agreement will be reached or that the transaction contemplated by the Proposal will be consummated. The PC-Mitsui Investors reserve the right to modify or withdraw the Proposal at any time. The Reporting Persons reserve the right to formulate other plans or make other proposals, including to engage advisers to assess the merits of such plans or proposals, which could result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, and to modify or withdraw any such plan or proposal at any time. If the transaction contemplated by the Proposal is not consummated, the Reporting Persons and their affiliates will continue to regularly review and assess their investment in the Issuer and, depending on market conditions and other factors, may determine, from time to time, to engage in any of the events set forth in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nThe foregoing description of the Proposal does not purport to be complete and is subject to, and qualified in its entirety by, the full text of such document, which is attached hereto as Exhibit 34.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1019849/000119312526311337/0001193125-26-311337-index.html" }, { "accession_no": "0001104659-26-085854", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1739566, "issuer_name": "Utz Brands, Inc.", "issuer_cusip": "918090101", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented with the following:\n\nOn July 20, 2026, the Issuer entered into an Agreement and Plan of Merger (the \"Merger Agreement\") with Idaho USA, Inc. a Delaware corporation (\"Acquiror\"), Idaho Merger Sub, Inc., a Delaware corporation and direct or indirect wholly-owned subsidiary of Acquiror (\"Merger Sub\"), and Intersnack Group GmbH & Co. KG, a German limited partnership (Kommanditgesellschaft) (\"Parent\"). The Merger Agreement provides that, on the terms and subject to the conditions of the Merger Agreement, Merger Sub will merge with and into the Issuer (the \"Merger\"), and following the Merger, the Issuer will continue as the surviving corporation in the Merger and become an indirect wholly-owned subsidiary of Parent (the \"Surviving Corporation\"). Capitalized terms used but not defined herein have the meanings given to them in the Merger Agreement, except as otherwise indicated.\n\nImplementation Agreement and Certain Other Transaction Agreements\n\nOn July 20, 2026, concurrently with the execution of the Merger Agreement, each of Series U, Series R, Parent, Acquiror, the Issuer and Utz Brands Holdings, LLC, the subsidiary of the Issuer (\"UBH\"), entered into an implementation agreement (the \"Implementation Agreement\"), under which the parties thereto agreed to complete, substantially concurrently with the Closing, the following transactions in the following sequence: (i) the parties to the Merger Agreement consummating the Merger in accordance with the terms and conditions of the Merger Agreement; (ii) the Surviving Corporation making the TRA Payment (as defined below), in the aggregate, to Series U and Series R; (iii) the effectiveness of the Closing Provisions of the Fourth Amended and Restated Limited Liability Company Agreement of UBH (the \"Fourth A&R UBH Operating Agreement\"); (iv) the purchase by Series U and Series R of 2,315,790 common units of UBH (\"Common Units\") from the Issuer at a per-Common Unit price of $14.25 (the \"Purchase\") pursuant to a purchase agreement dated July 20, 2026 by and among Series U, Series R and the Issuer (the \"Purchase Agreement\"); and (v) UBH's redemption from the Issuer of a number of Common Units in exchange for an aggregate amount of cash and, if required, the Redemption Promissory Note (as defined below), calculated using the same per-Common Unit price used to calculate the number of Common Units to be sold in the Purchase, such that, immediately following the Closing, the Purchase and Redemption (as defined below), the Surviving Corporation, on the one hand, and Series U and Series R, in the aggregate, on the other hand, will each own fifty percent (50.00%) of the issued and outstanding Common Units of UBH (the \"Redemption\" and, together with the Purchase, the \"Recapitalization\") pursuant to the terms of a redemption agreement dated July 20, 2026 by and among the Issuer and UBH (the \"Redemption Agreement\"). The agreements contemplated by the foregoing (other than the Merger Agreement) including the Fourth A&R UBH Operating Agreement, the Purchase Agreement and the Redemption Agreement were each executed concurrently with the execution of the Implementation Agreement, with the transactions contemplated thereunder generally to occur or become effective substantially concurrently with the Closing. In addition, under the Implementation Agreement, Series U, in its capacity as the Seller Representative (as defined in the Investor Rights Agreement, dated as of August 28, 2020 and amended as of October 21, 2021 and October 30, 2024, by and among the Issuer, Series U, Series R, Collier Creek Partners LLC, the Founder Holders and the CCH Independent Directors (each as defined therein) (the \"IRA\")) under the IRA, consented to the execution, delivery and performance of the Implementation Agreement and the other Transaction Agreements and the consummation of the transactions contemplated thereby under the IRA and the Third Amended and Restated Limited Liability Company Agreement of UBH, as amended, including pursuant to Section 2.2 of the IRA, and consented to the adoption of amendments to the amended and restated by-laws of the Issuer, subject to certain limitations. Each of Series U and Series R, in its capacity as a member of UBH, consented to the execution, delivery and performance of (i) the Implementation Agreement, (ii) the other Transaction Agreements (and if applicable, the Redemption Promissory Note), (iii) the Opco Debt Financing Commitment Letter (as defined below), and (iv) any fee letters related to the Opco Debt Financing (as defined below), and, in each case of clauses (i), (ii), (iii) and (iv), the consummation of the transactions contemplated thereby, for all purposes under the Company LLC Organizational Documents (including the IRA).\n\nOn July 20, 2026, concurrently with the execution of the Merger Agreement, the Issuer, UBH, Series U, Series R and the TRA Party Representative (as defined therein) entered into Amendment No. 2 to the Tax Receivable Agreement, dated as of August 28, 2020, by and among the Issuer, UBH, Series U, Series R and the TRA Party Representative, as amended (the \"Tax Receivable Agreement\" and such amendment, the \"TRA Amendment\"). Pursuant to the TRA Amendment, the Tax Receivable Agreement will automatically terminate concurrently with the Effective Time. In connection with such termination, Series U and Series R will be paid an aggregate amount equal to $44 million by the Surviving Corporation (the \"TRA Payment\").\n\nFinancing\n\nIn connection with the contemplated transactions, Parent has obtained debt financing commitments consisting of (i) debt financing (the \"Topco Debt Financing\") from certain financing sources (the \"Topco Debt Financing Sources\") pursuant to a commitment letter (the \"Topco Debt Financing Commitment Letter\") and (ii) debt financing (the \"Opco Debt Financing\" and together with the Topco Debt Financing and the revolving loans available to the Parent pursuant to the Parent Existing Credit Agreement, the \"Debt Financing\") from certain financing sources (the \"Opco Debt Financing Sources\" and, together with the Topco Debt Financing Sources, the \"Debt Financing Sources\") pursuant to a commitment letter (the \"Opco Debt Financing Commitment Letter\" and, together with the Topco Debt Financing Commitment Letter, the \"Debt Financing Commitment Letters\"), pursuant to which the Debt Financing Sources have committed to provide financing in the amounts set forth in the Debt Financing Commitment Letters. The obligations of the Debt Financing Sources to provide the Debt Financing under the Debt Financing Commitment Letters and the obligations of the relevant lenders under the Parent Existing Credit Agreement to fund revolving loans thereunder are each subject to a number of customary conditions. If any portion of the Debt Financing on the terms and conditions of the applicable Debt Financing Commitment Letters becomes unavailable, Acquiror is required to use its reasonable best efforts to obtain, on or prior to the Closing Date, alternative financing, from the same or alternative sources, in an amount sufficient, when added to (a) any portion of the Debt Financing that is and will be available, (b) cash on hand and (c) other sources of funds available, to pay in cash the Required Amount, on terms and conditions that would not constitute a Prohibited Modification. Receipt of the Debt Financing is not a condition to the obligation to Closing or to the consummation of any of the transactions contemplated by the Transaction Agreements.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated in its entirety as follows:\n\nMerger Agreement; Merger Consideration and Treatment of Equity Awards\n\nAs summarized under Item 3 above, on July 20, 2026, the Issuer, Acquiror, Merger Sub and Parent entered into the Merger Agreement.\n\nThe Issuer's board of directors, acting on the unanimous recommendation of a special committee of the Issuer's board of directors, consisting only of directors that the Issuer's board of directors determined to each be a \"disinterested director\" (as defined in Section 144 of the General Corporation Law of the State of Delaware, as amended (the \"DGCL\")), with respect to the contemplated transactions (the \"Special Committee\"), has unanimously of all voting, among other things, (i) determined that the Merger Agreement, the other Transaction Agreements and the transactions contemplated thereby are fair to, and in the best interests of, the Issuer and its stockholders, including (x) the holders of the outstanding shares of Class A Common Stock par value $0.0001 per share, of the Issuer (\"Class A Common Stock\"), excluding (a) Parent, Acquiror and Merger Sub and their respective controlled Affiliates (if applicable), (b) Series U and Series R, (c) the parties to the Voting Agreement (as defined below) (other than Acquiror and the Issuer) and their respective controlled Affiliates, (d) certain other persons identified in the Merger Agreement and (e) any person that the Issuer's Board of Directors has determined to be an \"officer\" of the Issuer within the meaning of Rule 16a-1(f) of the Exchange Act (such stockholders collectively, the \"Unaffiliated Company Stockholders\"); (ii) approved, authorized, adopted and declared advisable the Merger Agreement, the other Transaction Agreements and the transactions contemplated thereby (including the Merger, the TRA Payment (as defined below) and the Recapitalization (as defined below)) and (iii) resolved to recommend that the stockholders of the Issuer vote in favor of the approval and adoption of the Merger Agreement, the other Transaction Agreements and the transactions contemplated thereby, including the Merger, the TRA Payment and the Recapitalization. None of the Reporting Persons that served on the board of directors of the Issuer served as members of the Special Committee and such Reporting Persons abstained from any approval of the Merger Agreement, the Transaction Agreements and the transactions contemplated thereby.\n\nAt the effective time of the Merger (the \"Effective Time\"), each share of Class A Common Stock issued and outstanding immediately prior to the Effective Time (other than any (i) shares owned or held in treasury by the Issuer, which will be automatically cancelled for no consideration, (ii) shares owned by any direct or indirect subsidiary of the Issuer or by Parent or any of its direct or indirect Subsidiaries, which will remain outstanding at the Effective Time and (iii) shares as to which appraisal rights have been properly exercised and perfected under Section 262 of the DGCL) will be automatically converted into the right to receive $14.25 per share of Class A Common Stock in cash, without interest and net of applicable withholding taxes (the \"Merger Consideration\").\n\nIn addition, at the Effective Time, each share of Class V Common Stock, par value $0.0001 per share, of the Issuer (\"Class V Common Stock\" and together with the Class A Common Stock, the \"Common Stock\") issued and outstanding immediately prior to the Effective Time (all of which are held by Series U and Series R) will be automatically canceled for no consideration.\n\nEach option to purchase Class A Common Stock (each, a \"Company Option\") that is outstanding and unexercised as of immediately prior to the Effective Time (i) will be deemed to be fully vested and (ii) will be canceled and converted into the right to receive from the Surviving Corporation or its Subsidiaries, at or promptly after the Effective Time (but in no event later than ten (10) Business Days following the Closing Date), an amount, in cash, without interest, equal to the product of (A) the total number of shares of Class A Common Stock subject to such Company Option and (B) the excess, if any, of the Merger Consideration over the exercise price per share of Class A Common Stock of such Company Option. If the per share exercise price of any Company Option is equal to or greater than the Merger Consideration, such Company Option will be cancelled as of the Effective Time without any payment therefor.\n\nEach restricted stock unit or performance share unit payable in shares of Class A Common Stock (or whose value is determined with reference to the value of Class A Common Stock) (each, a \"Company Restricted Stock Unit\") that is held by any director of the Issuer who is not an employee of the Issuer or any Affiliate of the Issuer that is outstanding as of immediately prior to the Effective Time (each, a \"Director RSU\") (i) will be deemed to be fully vested and (ii) will be canceled and converted into the right to receive from the Surviving Corporation or its Subsidiaries, at or promptly after the Effective Time (but in no event later than ten (10) Business Days following the Closing Date, subject to Section 409A of the Internal Revenue Code of 1986, as amended), an amount, in cash, without interest, equal to the sum of (x) the product of (A) the total number of shares of Class A Common Stock subject to such Director RSU immediately prior to the Effective Time and (B) the Merger Consideration and (y) all cash dividend equivalents accrued or credited with respect to such Director RSUs.\n\nEach Company Restricted Stock Unit other than a Director RSU that is outstanding as of immediately prior to the Effective Time will, at the Effective Time, be converted into the contingent right to receive from the Surviving Corporation or its Subsidiaries an amount, in cash, without interest, equal to the sum of (x) the product of (A) the number of shares of Class A Common Stock subject to such Company Restricted Stock Unit immediately prior to the Effective Time and (B) the Merger Consideration and (y) all cash dividend equivalents accrued or credited with respect to such Company Restricted Stock Units (each a \"Restricted Cash Award\"); provided, that for purposes of determining the number of shares of Class A Common Stock subject to any Company Restricted Stock Unit immediately prior to the Effective Time, with respect to any Company Restricted Stock Unit that vests based in whole or in part on the achievement of performance conditions, such number will be determined by the Issuer's board of directors (or, if appropriate, any duly authorized committee thereof administering the Company Stock Plans) immediately prior to the Effective Time based on the actual level of performance as of immediately prior to the Effective Time. Each Restricted Cash Award will continue to have, and will be subject to, the same terms and conditions (excluding, for the avoidance of doubt, any performance conditions and additional dividend equivalent rights, which will not apply following the Effective Time), including vesting terms and conditions (including any accelerated vesting upon a qualifying termination of employment), as applied to the corresponding Company Restricted Stock Unit immediately prior to the Effective Time and will be payable in cash within thirty (30) days following the vesting thereof.\n\nPrior to the Effective Time, the Issuer will take all actions necessary pursuant to the terms of the Issuer's 2021 Employee Stock Purchase Plan (the \"Company ESPP\") and applicable Law to, contingent on the Effective Time, (i) provide that (A) no new Purchase Period (as defined in the Company ESPP) will be commenced following the date of the Merger Agreement under the Company ESPP, (B) there will be no increase in the amount of participants' payroll deduction elections under the Company ESPP or any contributions other than previously elected payroll deductions during the current Purchase Period from those in effect as of the date of the Merger Agreement, (C) no individuals will commence participation in the Company ESPP during the period from the date of the Merger Agreement through the Effective Time and (D) each purchase right issued pursuant to the Company ESPP will be fully exercised on the Final Purchase Date (as defined below) (with Class A Common Stock issued pursuant to such exercise treated in accordance with the treatment of Class A Common Stock described above and with any participant payroll deductions not applied to the purchase of Class A Common Stock returned to the participant); and (ii) terminate the Company ESPP effective as of immediately prior to the Effective Time. For purposes of the Merger Agreement, the \"Final Purchase Date\" will be the earlier of (x) the scheduled purchase date for such Purchase Period and (y) a date that is within ten (10) Business Days prior to the Effective Time.\n\nClosing Conditions\n\nEach party to the Merger Agreement's obligation to consummate the Merger is conditioned upon (i) the affirmative vote of (x) the holders of a majority of the issued and outstanding shares of Common Stock and (y) a majority of the votes cast by the disinterested stockholders (as such term is defined in Section 144 of the DGCL) of the Issuer (which, for the avoidance of doubt, excludes any stockholder that is not an Unaffiliated Company Stockholder), in each case in favor of the approval and adoption of the Merger Agreement, the other Transaction Agreements and the transactions contemplated thereby including the Merger, the TRA Payment and the Recapitalization; (ii) no order by any court of competent jurisdiction, any federal, state or comparable foreign Governmental Entity of competent jurisdiction or any other material Governmental Entity of competent jurisdiction in the United States or in any jurisdiction where Parent or the Company has material sales or operations having been entered and continuing to be in effect that temporarily or permanently prohibits, enjoins or makes illegal the consummation of the Merger, the TRA Payment, the termination of the Tax Receivable Agreement, the Recapitalization or the effectiveness of the Closing Provisions of the Fourth A&R UBH Operating Agreement (each as defined below) (any of the foregoing, a \"Legal Restraint\"); and (iii) the expiration or termination of the required waiting period (and extensions thereof) applicable to the Merger or the Recapitalization under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended, and receipt of other clearances or approvals under applicable Antitrust Laws in identified jurisdictions.\n\nIn addition, the obligation of each party to consummate the Merger is conditioned upon the other party's representations and warranties being true and correct (subject to certain customary materiality exceptions and qualifications) and the other party having performed in all material respects its obligations under the Merger Agreement and the other Transaction Agreements and, in the case of Parent, Acquiror and Merger Sub, no Burdensome Condition being a condition to receipt of (or otherwise included in) any Regulatory Approval and no Company Material Adverse Effect having arisen or occurred following the date of the Merger Agreement that is continuing.\n\nIn addition, the obligation of Parent, Acquiror and Merger Sub to consummate the Merger is conditioned, among other things, on (i) the TRA Payment, the termination of the Tax Receivable Agreement and the Recapitalization being consummated substantially concurrently with the Closing and the Closing Provisions of the Fourth A&R UBH Operating Agreement becoming effective substantially concurrently with the Closing (provided that, (A) except in the case of clause (B), this condition will not apply if the reason that it is not satisfied is because Parent has not complied with certain specified obligations in the Implementation Agreement (as defined below) (including to (1) deliver to the Issuer funds sufficient to make the TRA Payment and (2) cause the OpCo Debt Financing (as defined below) to be delivered) and all other conditions to the consummation of the Merger are satisfied or waived or would be satisfied if the Closing were to occur), and (B) this condition will not be satisfied if the Redemption Shortfall Amount (as defined below) would exceed at the Closing the Redemption Note Cap (as defined below) at such time; (ii) certain representations and warranties of Series U and Series R being true and correct (subject to certain qualifications) as set forth in the Implementation Agreement; and (iii) a certificate being delivered by each of Series U and Series R under the Implementation Agreement certifying that the condition in clause (ii) has been satisfied. Under the Redemption Agreement, the \"Redemption Amount\" is the amount equal to the number of common units of UBH to be redeemed thereunder in the Redemption, multiplied by a per-Common Unit price of $14.25. In the event that there are insufficient amounts available as calculated under the Redemption Agreement (including assuming that certain amounts are funded regardless of whether funding has occurred) to fund the Redemption Amount (such difference, the \"Redemption Shortfall Amount\"), then a portion of the Redemption will be funded in cash and the Redemption Shortfall Amount will be funded in the form of a promissory note issued by UBH to the Surviving Corporation (the \"Redemption Promissory Note\") with a principal amount equal to the Redemption Shortfall Amount, but in no event will the principal amount of the Redemption Promissory Note exceed the sum of (i) $100,000,000 and (ii) the Equipment Financing Repayment Amount (as defined in the Redemption Agreement) (the sum of clause (i) and clause (ii), the \"Redemption Note Cap\").\n\nVoting Agreement\n\nOn July 20, 2026, concurrently with the execution of the Merger Agreement, the Reporting Persons entered into a voting agreement (the \"Voting Agreement\") with Parent, Acquiror and the Issuer, pursuant to which the Reporting Persons agreed, among other things, to vote or caused to be voted all of the shares of Class A Common Stock and Class V Common Stock owned (beneficially or of record) by them (collectively, their \"Issuer Shares\") (i) in favor of the approval and adoption of the Merger Agreement and the other Transaction Agreements and the transactions contemplated thereby, including the Merger, the TRA Payment and the Recapitalization, with respect to each meeting (or with respect to any action by written consent) at or for which a vote of such Reporting Person is requested for the approval and adoption therefor, (ii) in favor of any proposal to adjourn or postpone the meeting of stockholders at which the Merger Agreement and the other matters referenced above will be voted upon or any adjournment or postponement thereof in accordance with the Merger Agreement, (iii) in favor of any other proposal necessary for the consummation of the Merger, the TRA Payment and the Recapitalization, (iv) against any Company Takeover Proposal, (v) against any other action, agreement or transaction that would or would reasonably be expected to materially impede, interfere with, delay, postpone or adversely affect the consummation of the Merger, the TRA Payment and the Recapitalization or the performance by Reporting Persons of their obligations under the Voting Agreement and (vi) against any action, proposal, transaction or agreement that would or would reasonably be expected to result in a breach in any material respect of any covenant, representation or warranty of the Issuer contained in the Merger Agreement or any other Transaction Agreement or of the Reporting Persons contained in the Voting Agreement or any other applicable Transaction Agreement.\n\nIn addition, the Voting Agreement prohibits the transfer of Issuer Shares by the Reporting Persons during the term of the Voting Agreement without the prior written consent of Parent and the Issuer other than certain transfers of Issuer Shares to Permitted Transferees (as defined in the Voting Agreement). Any additional Issuer Shares or other voting securities of the Issuer (or securities convertible into or exchangeable for such voting securities) that a Reporting Person acquires after the date of the Voting Agreement and prior to its termination (the \"New Issuer Shares\") become subject to the Voting Agreement to the same extent as the Issuer Shares owned by such Reporting Person as of the date of the Voting Agreement.\n\nPursuant to the Voting Agreement, each Reporting Person agreed that in the event such person fails to comply with its obligations under the Voting Agreement with respect to voting Issuer Shares in accordance with the Voting Agreement terms, such person grants Parent an irrevocable voting proxy to vote the shares covered by the Voting Agreement, which the Parent is required to exercise pursuant to the Voting Agreement. The Reporting Persons also agreed to refrain from taking certain other actions, including soliciting proxies in connection with the transactions contemplated under the Transaction Agreements or any Company Takeover Proposal, or initiating a stockholder vote with respect to any Company Takeover Proposal, in each case, subject to the terms of the Voting Agreement. Each Reporting Person has also irrevocably waived, and agreed not to exercise, any rights of appraisal or rights of dissent from the Merger with respect to its Issuer Shares or New Issuer Shares.\n\nDelisting of Shares of Class A Common Stock\n\nIf the Merger is consummated, the Class A Common Stock of the Issuer will cease to be quoted on the New York Stock Exchange and will be eligible for deregistration under the Exchange Act.\n\nThe descriptions of the Merger Agreement and the other Transaction Agreements contained in this Item 4 are not intended to be complete and are qualified in their entirety by reference to such agreements, which are filed as exhibits hereto and incorporated by reference herein.\n\nOther than as described in Item 4 above, the Reporting Persons do not have any plans or proposals which relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nThe information set forth under Item 3 of this Amendment No. 3 is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1739566/000110465926085854/0001104659-26-085854-index.html" }, { "accession_no": "0001104659-26-085813", "submission_type": "SCHEDULE 13D/A", "amendment_no": 68, "issuer_cik": 1415404, "issuer_name": "EchoStar CORP", "issuer_cusip": "278768106", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\nThe 2026 July GRAT acquired beneficial ownership of 5,000,000 shares of Class B Common Stock when Mr. Ergen contributed such shares of Class B Common Stock to the 2026 July GRAT on July 20, 2026. Mr. Ergen established the 2026 July GRAT for estate planning purposes. Shares of Class B Common Stock may be exchanged for shares of Class A Common Stock on a one-for-one basis at any time.\n\nThe Reporting Persons may from time to time acquire shares of Class A Common Stock for investment purposes. Such Class A Common Stock may be acquired with personal funds or funds borrowed by the Reporting Persons.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nAs described in Item 3 above, Mr. Ergen contributed 5,000,000 shares of Class B Common Stock to the 2026 July GRAT on July 20, 2026. Mr. Ergen established the 2026 July GRAT for estate planning purposes. Under the trust agreement establishing the 2026 July GRAT, Mr. Ergen's spouse, Cantey M. Ergen, serves as trustee of the 2026 July GRAT and holds sole voting and dispositive power over the 5,000,000 shares of Class B Common Stock held by the 2026 July GRAT, except as set forth in Item 6. Mr. Ergen receives an annual annuity amount from the 2026 July GRAT under the trust agreement governing the 2026 July GRAT. Members of Mr. and Mrs. Ergen's family are the beneficiaries of the 2026 July GRAT. The 2026 July GRAT is scheduled to expire on July 20, 2028.\n.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1415404/000110465926085813/0001104659-26-085813-index.html" }, { "accession_no": "0001104659-26-085778", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1766037, "issuer_name": "NMF SLF I, INC.", "issuer_cusip": "000000000", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": null, "item4_transaction_purpose": "On December 19, 2025, pursuant to distribution reinvestment plans (relating to distributions with record dates of September 29, 2025) (i) UAW Chrysler Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 76,990 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 119,506 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW GM Retirees Medical Benefits Plan 166,817 Shares. The price per share was $10.31.\n\nOn December 31, 2025, pursuant to distribution reinvestment plans (relating to distributions with record dates of December 18, 2025) (i) UAW Chrysler Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 72,928 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 113,201 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW GM Retirees Medical Benefits Plan 158,017 Shares. The price per share was $10.26.\n\nOn July 20, 2026, pursuant to distribution reinvestment plans (relating to distributions with record dates of March 31, 2026) (i) UAW Chrysler Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 68,955 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 107,034 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW GM Retirees Medical Benefits Plan 149,408 Shares. The price per share was $10.23.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1766037/000110465926085778/0001104659-26-085778-index.html" }, { "accession_no": "0001104659-26-085696", "submission_type": "SCHEDULE 13D/A", "amendment_no": 37, "issuer_cik": 1708599, "issuer_name": "SERINA THERAPEUTICS, INC.", "issuer_cusip": "00848H108", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-03-20", "filed_date": "2026-07-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1708599/000110465926085696/0001104659-26-085696-index.html" }, { "accession_no": "0001062993-26-003780", "submission_type": "SCHEDULE 13D/A", "amendment_no": 36, "issuer_cik": 1864843, "issuer_name": "BlackRock ESG Capital Allocation Term Trust", "issuer_cusip": "09262F100", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $250,710,064 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1864843/000106299326003780/0001062993-26-003780-index.html" }, { "accession_no": "0000921895-26-001856", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 918541, "issuer_name": "NN INC", "issuer_cusip": "629337106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-20", "filed_date": "2026-07-22", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn July 20, 2026, Raymond T. White resigned as a member of the board of directors of the Issuer, effective immediately.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/918541/000092189526001856/0000921895-26-001856-index.html" }, { "accession_no": "0002137786-26-000012", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2137777, "issuer_name": "Research Alliance Corporation IV", "issuer_cusip": "G75228109", "securities_class_title": "Class A Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-21", "item3_funds_source": "On April 7, 2026, RA Holdings IV paid $25,000 to cover certain expenses on the Issuer's behalf in exchange for the issuance of 1,014,706 Class B ordinary shares, or approximately $0.02 per share. The number of Class B ordinary shares issued was determined based on the expectation that the Class B ordinary shares would represent 15% of the Issuer's issued and outstanding ordinary shares (excluding the Private Placement Shares, as defined below) upon the consummation of the Issuer's initial public offering (the \"IPO\"). In June 2026, the Issuer effected a share capitalization for which an additional 308,823 Class B ordinary shares were issued to RA Holdings IV. In June 2026, following the share capitalization, RA Holdings IV transferred 30,000 Class B ordinary shares to each of John Maslowski and Alan Musso, who serve as outside directors of the Issuer. RA Holdings IV now holds 1,263,529 Class B ordinary shares. The Class B ordinary shares (including the Class A ordinary shares issuable upon conversion thereof) may not, subject to certain limited exceptions, be transferred, assigned or sold by the holder thereof.\n\nSimultaneously with the closing of the IPO on July 14, 2026, the Issuer consummated the private placement (\"Private Placement\") of 275,000 Class A ordinary shares (the \"Private Placement Shares\") to RA Holdings IV at a price of $10.00 per share. The total purchase price of the Private Placement Shares was $2,750,000.\n\nAll purchases of the securities described herein were for cash and were funded by capital contributions to RA Holdings IV from its equity owners, which are investment funds affiliated with RA Capital Management, L.P.", "item4_transaction_purpose": "RA Holdings IV acquired the Class A ordinary shares and Class B ordinary shares reported herein for investment purposes. Although the Reporting Persons currently have no plan or proposal to acquire any additional Issuer securities or to dispose of any of the Issuer securities reported herein, the Reporting Persons may, from time to time (including following the completion of the Issuer's initial business combination), acquire additional equity securities or debt securities of the Issuer, which debt securities may be convertible or non-convertible, secured or unsecured, and could involve the monetization of potential revenue streams deriving from development-stage or commercial programs of the Issuer, or dispose of Issuer securities they beneficially own, on the open market or in private transactions or otherwise (including by means of 10b5-1 programs), consistent with their investment purposes and in amounts, on such terms and at such times as to be determined by the Reporting Persons based upon a number of factors, including, without limitation, their ongoing assessment of the Issuer's business prospects, the availability of Issuer securities at prices that would make the purchase or sale of such securities desirable, prevailing market conditions, the availability of other investment opportunities, and/or other considerations.\n\nThe Class A ordinary shares and Class B ordinary shares held by RA Holdings IV are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed initial business combination and (B) not to redeem any shares in connection with a shareholder vote to approve a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.\n\nMr. Hammond currently serves as the Chief Executive Officer and a director of the Issuer and, therefore, will engage in regular discussions with the Issuer's board of directors and management as part of his duties.\n\nThe information in Items 3 and 6 hereof are incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2137777/000213778626000012/0002137786-26-000012-index.html" }, { "accession_no": "0001346824-26-000197", "submission_type": "SCHEDULE 13D/A", "amendment_no": 18, "issuer_cik": 1817229, "issuer_name": "VOR BIOPHARMA INC.", "issuer_cusip": "929033207", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-16", "filed_date": "2026-07-21", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nOn July 16, 2026, the Fund exercised Pre-Funded Warrants to purchase an aggregate of 2,100,000 shares of the Issuer's common stock for $0.002 a share. The Fund exercised the Pre-Funded Warrants on a cashless basis, resulting in the Issuer's withholding of 213 of such shares to satisfy the exercise price of the Pre-Funded Warrants, and the issuance to the Fund of an aggregate of 2,099,787 shares.", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented as follows:\n\nEffective July 6, 2026, Andrew Levin resigned from the Board of Directors of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1817229/000134682426000197/0001346824-26-000197-index.html" }, { "accession_no": "0001213900-26-080116", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1999261, "issuer_name": "StageWise Strategies Corp.", "issuer_cusip": "85254A101", "securities_class_title": "Common Stock", "date_of_event": "2026-07-17", "filed_date": "2026-07-21", "item3_funds_source": "To the extent required by Item 3, the information contained in Item 4 is incorporated herein by reference.", "item4_transaction_purpose": "On July 17, 2026 (the \"Closing Date\"), the Reporting Person, completed the purchase of 1,000,000 shares of Common Stock of the Issuer for an aggregate purchase price of $250,000 of his own personal funds. The Reporting Person made this investment to provide the Issuer with funds for the operation of its business.\n\nWhile the Reporting Person may, in the future, either directly or indirectly, cause the Issuer to enter into a transaction involving a future acquisition of a compatible business, which could result in his acquiring, either directly or indirectly, additional shares of the Issuer's common stock, the Reporting Person does not currently have any contracts, arrangements or understandings for the consummation of any such transaction.\n\nExcept as otherwise described in this Schedule 13D, the Reporting Person currently has no plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board except as may be required for the Issuer to comply with exchange listing requirements with respect to the number of independent directors; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) any changes in the Issuer's charter or by-laws or other actions which may impede the acquisition or control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or cease to be authorized to be quoted in an interdealer quotation system of a registered national securities association; (i) causing a class of equity securities of the Issuer to become eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934; or (j) any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1999261/000121390026080116/0001213900-26-080116-index.html" }, { "accession_no": "0001193125-26-310624", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 11544, "issuer_name": "W. R. BERKLEY CORPORATION", "issuer_cusip": "084423102", "securities_class_title": "Common Stock, par value $0.20 per share", "date_of_event": "2026-07-17", "filed_date": "2026-07-21", "item3_funds_source": "The shares of Common Stock reported as beneficially owned by the Reporting Persons were acquired in or before the initial public offering of the Issuer, through open market purchases using personal funds, by means of gift, inheritance or other gratuitous transfer, or through their service as an officer, director or employee of the Issuer.", "item4_transaction_purpose": "Item 4 is hereby amended by replacing the first paragraph with the following:\n\nCalculations of the Reporting Persons' beneficial ownership on the cover pages and in Item 5(a) of this Statement are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/11544/000119312526310624/0001193125-26-310624-index.html" }, { "accession_no": "0001193125-26-310290", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1855457, "issuer_name": "KORE Group Holdings, Inc.", "issuer_cusip": "50066V305", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-21", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Initial Schedule 13D is hereby amended and supplemented to incorporate the following at the end thereof:\n\nOn July 21, 2026, pursuant to the terms of the Merger Agreement, the Merger was consummated with the Issuer continuing as the surviving corporation (\"Surviving Corporation\"). Pursuant to the previously disclosed Voting, Support and Rollover Agreements, each of ABRY Partners VII, L.P. and ABRY Partners VII Co-Investment Fund, L.P. contributed their respective shares of Common Stock to Parent immediately prior to the Effective Time of the Merger, in exchange for interests in Parent. At the Effective Time, shares of Common Stock not held by Parent were cancelled, as applicable, pursuant to the terms of the Merger Agreement and converted into the right to receive an amount in cash equal to $9.25 per share, without interest and subject to any applicable withholding taxes.\n\nAfter giving effect to the Merger, Parent holds all of the outstanding common stock of the Surviving Corporation. Parent is managed by a board of directors, which the Reporting Persons do not control and, accordingly, none of the Reporting Persons have beneficial ownership of any common stock of the Surviving Corporation.\n\nThe Common Stock was suspended from trading on the New York Stock Exchange (\"NYSE\") prior to the opening of trading on July 21, 2026. In addition, NYSE has filed with the SEC a Notification of Removal from Listing and/or Registration under Section 12(b) of the Act on Form 25 to delist and deregister Common Stock from NYSE. As a result, the Common Stock will no longer be listed on NYSE.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1855457/000119312526310290/0001193125-26-310290-index.html" }, { "accession_no": "0001193125-26-310289", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1527753, "issuer_name": "Personalis, Inc.", "issuer_cusip": "71535D106", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-07-19", "filed_date": "2026-07-21", "item3_funds_source": "Between November 18, 2025 and December 22, 2025, Tempus purchased 320,267 shares of Common Stock in a series of open-market transactions for aggregate consideration of approximately $2.74 million. Tempus funded the purchase of the shares of Common Stock using funds from its working capital.", "item4_transaction_purpose": "Merger Agreement\n\nFollowing conclusion of confidential preliminary discussions between the Issuer and Tempus, and in response to the Issuer's request for Tempus to submit a proposal, on July 19, 2026, Tempus submitted a non-binding proposal to acquire all of the outstanding Common Stock of the Issuer. On July 20, 2026, Tempus entered into an Agreement and Plan of Merger (the \"Merger Agreement\") with the Issuer, Aviary Development, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Tempus (\"Merger Sub I\") and Toucan Development, LLC, a Nevada limited liability company and a direct, wholly owned subsidiary of Tempus (\"Merger Sub II\" and, together with Merger Sub I, the \"Merger Subs\"). Pursuant to the Merger Agreement, and upon the terms and subject to the conditions therein, (a) Merger Sub I will be merged with and into the Issuer (the \"First Merger\"), with the Issuer surviving the First Merger as a direct, wholly owned subsidiary of Tempus (the \"First Surviving Corporation\"), and (b) as part of the same overall transaction, immediately after the First Merger, the First Surviving Corporation shall merge with and into Merger Sub II (the \"Second Merger\" and, together with the First Merger, the \"Mergers\"), with Merger Sub II surviving as a direct, wholly owned subsidiary of Tempus (the \"Surviving Company\"). The parties intend that the transaction qualify as a reorganization under Section 368(a) of the Code. Capitalized terms used in this Amendment No. 3 but not otherwise defined have the meaning set forth in the Merger Agreement.\n\nApprovals. The execution and delivery of the Merger Agreement and the consummation of the transactions contemplated thereby have been approved by each of the board of directors of Tempus and the board of directors of the Issuer (the \"Issuer's Board of Directors\"), and the Issuer's Board of Directors has resolved to recommend to the stockholders of the Issuer to adopt the Merger Agreement, subject to its terms and conditions.\n\nConsideration to Issuer Stockholders. At the Effective Time, each share of Common Stock issued and outstanding immediately prior to the Effective Time (other than shares of Common Stock that are owned or held in treasury by the Issuer or are owned by Tempus, the Merger Subs or their other controlled affiliates (such shares, the \"Cancelled Shares\") and shares of Common Stock that are outstanding immediately prior to the Effective Time and which are held by stockholders who have exercised and perfected appraisal rights for such shares in accordance with DGCL (such shares, the \"Dissenting Shares\")) will be automatically converted into the right to receive in accordance with, and subject to the terms, conditions and procedures set forth in the Merger Agreement, the following consideration (collectively, the \"Merger Consideration\"):\n\n- a number of validly issued, fully paid and nonassessable shares of Tempus Class A Common Stock equal to the Exchange Ratio (the \"Stock Consideration\"); provided, however, that Tempus may elect (a \"Tempus Cash Election\") to pay cash for up to 50% of the outstanding shares of Common Stock (which such amount may be automatically reduced to preserve the intended tax treatment of the Mergers). If Tempus makes a Tempus Cash Election, each holder will receive: (a) an amount in cash equal to the Per Share Cash Consideration of $16.25 per share, without interest (the \"Cash Consideration\"), for such holder's pro rata portion of the Eligible Shares subject to the Tempus Cash Election (determined by multiplying the holder's Eligible Shares by a fraction equal to the Cash Share Number divided by the total shares of Common Stock issued and outstanding (other than Cancelled Shares)), and (b) the Stock Consideration for the holder's remaining Eligible Shares; and\n\n- cash in lieu of fractional shares of Tempus Class A Common Stock in accordance with the Merger Agreement (the \"Fractional Share Consideration\").\n\nPursuant to the Merger Agreement, the Exchange Ratio is determined as follows:\n\n- if the Tempus Stock Price (as defined below) is equal to or less than the Floor Price of $48.42, the Exchange Ratio will be fixed at 0.3356; and\n\n- if the Tempus Stock Price is greater than the Floor Price, the Exchange Ratio will be equal to $16.25 divided by the Tempus Stock Price.\n\nThe \"Tempus Stock Price\" means the volume-weighted average price of Tempus Class A Common Stock on Nasdaq for the fifteen (15) consecutive trading days ending on (but not including) the last trading day prior to the Closing Date. However, if Tempus enters into or consummates a Tempus Transaction (as defined in the Merger Agreement) prior to the Closing, the Tempus Stock Price will instead be based on the per-share consideration payable in such Tempus Transaction.\n\nThe shares of Tempus Class A Common Stock to be issued as Stock Consideration will be listed on The Nasdaq Global Select Market (\"Nasdaq\").\n\nTreatment of Issuer Equity Awards. The Merger Agreement provides that, at the Effective Time:\n\n- each In-the-Money Issuer Option (i) held by a former employee or any non-employee director (whether vested or unvested) or (ii) held by any current service provider that is vested and exercisable, in each case, that is outstanding and unexercised immediately prior to the Effective Time will be cancelled and converted into the right to receive the Stock Consideration in respect of each Net Option Share subject to such In-the-Money Issuer Option immediately prior to the Effective Time;\n\n- each other In-the-Money Issuer Option (whether vested or unvested) that is outstanding and unexercised immediately prior to the Effective Time will be assumed by Tempus and converted automatically into an option to purchase a number of shares of Tempus Class A Common Stock equal to the product obtained by multiplying (x) the number of shares subject to such In-the-Money Issuer Option immediately prior to the Effective Time, by (y) the Exchange Ratio, rounded down to the nearest whole share, with an exercise price per share of Tempus Class A Common Stock equal to (i) the per share exercise price for each share subject to the corresponding Issuer Option immediately prior to the Effective Time divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent;\n\n- each Out-of-the-Money Issuer Option outstanding and unexercised immediately prior to the Effective Time (whether vested or unvested) shall be cancelled without any consideration;\n\n- each Issuer RSU (whether vested or unvested) that is held by a non-employee director of the Issuer outstanding as of immediately prior to the Effective Time will automatically accelerate to be fully vested as of immediately prior to the Effective Time and be cancelled in exchange for the Stock Consideration;\n\n- each other Issuer RSU that is outstanding immediately prior to the Effective Time will be assumed and converted automatically into a restricted stock unit with respect to a number of shares of Tempus Class A Common Stock equal to the product obtained by multiplying (i) the total number of shares of Common Stock subject to such Issuer RSU immediately prior to the Effective Time by (ii) the Exchange Ratio, rounded to the nearest whole share;\n\n- the unvested portion of each Issuer PSU that is outstanding immediately prior to the Effective Time will accelerate and vest with respect to that number of Issuer PSUs equal to (i) the total outstanding Issuer PSUs multiplied by (ii) the quotient obtained by dividing (x) the number of full calendar quarters that have elapsed from (and including) the start of the applicable measurement period through (and including) the Closing Date by (y) the number of full calendar quarters in the measurement period. Such vested Issuer PSUs will automatically be cancelled in exchange for the Stock Consideration;\n\n- each unvested Issuer PSU that is outstanding immediately prior to the Effective Time (after giving effect to the foregoing acceleration) will be assumed and converted automatically into a restricted stock unit award with respect to a number of shares of Tempus Class A Common Stock equal to the product obtained by multiplying (i) the number of unvested Issuer PSUs by (ii) the Exchange Ratio, rounded to the nearest whole share. Following the Effective Time, the assumed PSUs shall be subject to only time-based vesting and will vest in successive, equal installments on the last day of each calendar quarter during the period beginning on (and including) the day immediately following the Closing Date and ending on the last day of the measurement period, subject to the holder's continued service through the applicable vesting date; and\n\n- (i) with respect to any offering periods in effect as of the signing of the Merger Agreement under the Issuer ESPP (the \"Current ESPP Offering Periods\"), no employee who is not a participant in the Issuer ESPP may become a participant in the Issuer ESPP and no participant may increase the percentage amount of his or her payroll deduction election from that in effect on the date hereof for such Current ESPP Offering Periods; (ii) subject to the consummation of the Mergers, the Issuer ESPP shall terminate effective immediately prior to the Effective Time; (iii) if the Current ESPP Offering Periods terminate prior to the Effective Time, then the Issuer ESPP shall be suspended and no new offering period shall be commenced under the Issuer ESPP prior to the termination of the Merger Agreement; and (iv) if any Current ESPP Offering Period is still in effect at the Effective Time, then the last day of such current ESPP offering period shall be accelerated to a date within ten (10) business days prior to the Closing Date.\n\nConditions to Closing. Under the terms of the Merger Agreement, the completion of the Mergers is subject to certain customary closing conditions, including, among others: (i) the approval of the Mergers and adoption of the Merger Agreement by the affirmative vote of the holders of at least a majority of the outstanding shares of Common Stock entitled to vote thereon; (ii) the approval for listing on Nasdaq of the Tempus Class A Common Stock to be issued in the Mergers; (iii) the effectiveness of a registration statement on Form S-4 filed by Tempus registering the Tempus Class A Common Stock to be issued in connection with the Mergers; (iv) the accuracy of the parties' respective representations and warranties in the Merger Agreement, subject to specified materiality qualifications; (v) compliance by the parties with their respective covenants in the Merger Agreement required to be performed prior to the closing in all material respects; (vi) the absence of any law or order restraining, enjoining or otherwise prohibiting the consummation of the Mergers; (vii) the expiration or termination of the required waiting period applicable to the Mergers under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended, and the approval or issuance of any other filing or consent or the expiration or termination of any other waiting period applicable to the Mergers, in accordance with the Merger Agreement; (viii) the receipt by the Issuer of an opinion to the effect that the Mergers will qualify as a reorganization for U.S. federal income tax purposes; and (ix) the absence of an Issuer Material Adverse Effect (in the case of Tempus' obligation to close) or a Tempus Material Adverse Effect (in the case of the Issuer's obligation to close).\n\nRepresentations, Warranties and Covenants. The Merger Agreement includes representations, warranties and covenants of the parties customary for a transaction of this nature. From the date of the Merger Agreement until the earlier of the Effective Time and the termination of the Merger Agreement, the Issuer has agreed, subject to certain exceptions, to use reasonable best efforts to operate its business and operations in all material respects in the ordinary course and the Issuer and Tempus have each agreed to certain other interim operating covenants, as set forth more fully in the Merger Agreement.\n\nNo-Solicitation. The Issuer has also agreed to customary \"no-shop\" restrictions on its ability to solicit alternative acquisition proposals from third parties and engage in discussions or negotiations with third parties regarding alternative acquisition proposals. Notwithstanding these restrictions, the Issuer may under certain circumstances provide, pursuant to an acceptable confidentiality agreement, information to and engage in or otherwise participate in discussions or negotiations with third parties with respect to a written alternative acquisition proposal that the Issuer's Board of Directors has determined in good faith, after consultation with its financial advisors and outside legal counsel, constitutes or could reasonably be expected to lead to a Superior Proposal and the failure to take such action would be inconsistent with fiduciary duties of the Issuer's Board of Directors under applicable law. The Merger Agreement also requires that the Issuer's Board of Directors recommend that the stockholders of the Issuer adopt the Merger Agreement (the \"Issuer Board Recommendation\") and not, among other things, (a) (i) withdraw or qualify (or modify in a manner adverse to Tempus), or otherwise propose to withdraw or qualify (or modify in a manner adverse to Tempus), the Issuer Board Recommendation, (ii) approve, recommend or declare advisable, or publicly propose to approve, recommend or declare advisable, any alternative acquisition proposal or (iii) fail to include the Issuer Board Recommendation in the Proxy Statement/Prospectus or the Form S-4, (any such action in (a), a \"Issuer Adverse Change Recommendation\"), or (b) approve, recommend or declare advisable, or propose to approve, recommend or declare advisable, or allow the Issuer to execute or enter into any Issuer Acquisition Agreement (other than an acceptable confidentiality agreement) with respect to any alternative acquisition proposal. The Issuer's Board of Directors is permitted, subject to the terms and conditions set forth in the Merger Agreement, to make an Issuer Adverse Change Recommendation in response to a Superior Proposal and/or make an Issuer Adverse Change Recommendation in response to a Change in Circumstance, subject in each case to certain notice and matching rights in favor of Tempus and payment of the termination fee described below in certain circumstances. Notwithstanding an Issuer Adverse Change Recommendation, unless the Merger Agreement is validly terminated, the Issuer is still required to convene the meeting of its stockholders to obtain the requisite stockholder approval contemplated by the Merger Agreement.\n\nTermination Rights. The Merger Agreement includes a remedy of specific performance for the Issuer and Tempus. The Merger Agreement also includes customary termination provisions for both the Issuer and Tempus and provides that, in connection with the termination of the Merger Agreement under specified circumstances, including a termination by Tempus due to an Issuer Adverse Change Recommendation, the Issuer will be required to pay to Tempus a termination fee (the \"Termination Fee\") of an amount in cash equal to approximately $76.8 million. The Termination Fee is also payable if: (a) the Merger Agreement is terminated in certain circumstances, (b) after the date of the Merger Agreement and prior to such termination a bona fide proposal for an alternative acquisition transaction has been publicly disclosed and not withdrawn, and (c) within twelve (12) months of such termination, the Issuer enters into a definitive agreement with respect to an alternative acquisition transaction that is subsequently consummated. Any such termination of the Merger Agreement by the Issuer is subject to certain conditions, including the Issuer's compliance with certain procedures set forth in the Merger Agreement, including in the case of an Issuer Adverse Change Recommendation, affording Tempus certain notice and match rights. The Issuer also has the right to terminate the Merger Agreement if the Tempus Stock Price (as finally determined pursuant to the Merger Agreement) is less than the Lower Floor Price of $46.00, which right is only expected to be exercisable within a two business day period preceding the day the closing would otherwise be required to occur.\n\nThe Merger Agreement further provides that Tempus will be required to pay the Issuer a reverse termination fee of an amount in cash equal to approximately $76.8 million in the event the Merger Agreement is terminated under certain specified circumstances, including if the Merger Agreement is terminated by Tempus or the Issuer either (a) due to the existence of a permanent legal restraint under the HSR Act or another Antitrust Law (solely to the extent such restraint is primarily due to Tempus' breach of certain of its obligations under the Merger Agreement), or (b) due to the Effective Time not having occurred by April 20, 2027 (the \"Outside Date\") (provided that the Outside Date will be automatically extended for an additional six months and an additional six months thereafter pursuant to the Merger Agreement), when, at the time of termination, the applicable regulatory conditions to the Closing under the HSR Act or another Antitrust Law have not been satisfied primarily due to Tempus' breach of certain of its obligations under the Merger Agreement, and all other conditions to the Closing have been satisfied or waived.\n\nThe foregoing description of the Merger Agreement does not purport to be complete and is qualified in its entirety by the full text of such agreement, which is attached as an exhibit to this Amendment No. 3 and incorporated herein by reference. The Merger Agreement is not intended to provide any other factual information about the Issuer, Tempus, Merger Sub I or Merger Sub II. In particular, the representations, warranties and covenants of each party set forth in the Merger Agreement have been made only for the purposes of, and were and are solely for the benefit of the parties to, the Merger Agreement, may be subject to limitations agreed upon by the contracting parties, including being qualified by confidential disclosure letters made for the purposes of allocating contractual risk between the parties to the Merger Agreement instead of establishing these matters as facts, and may be subject to standards of materiality applicable to the contracting parties that differ from those applicable to investors. Accordingly, the Merger Agreement is included with this filing only to provide information regarding the terms of the Merger Agreement and not to provide any other factual information regarding the parties or their respective businesses. These confidential disclosure letters contain information that modifies, qualifies and creates exceptions to the representations and warranties and certain covenants set forth in the Merger Agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1527753/000119312526310289/0001193125-26-310289-index.html" }, { "accession_no": "0001193125-26-310126", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1988855, "issuer_name": "Manulife Private Credit Plus Fund", "issuer_cusip": "000000000", "securities_class_title": "Common Shares of Beneficial Interest - Class I", "date_of_event": "2026-06-30", "filed_date": "2026-07-21", "item3_funds_source": "$6 million of assets of the Trust", "item4_transaction_purpose": "The purpose of the acquisition of the shares of the Manulife Private Credit Plus Fund is investment of the assets of the Trust.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1988855/000119312526310126/0001193125-26-310126-index.html" }, { "accession_no": "0001104659-26-085499", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1804176, "issuer_name": "Butterfly Network, Inc.", "issuer_cusip": "124155102", "securities_class_title": "Class A common stock, par value $0.0001 per share, Class B common stock, par value $0.0001 per share", "date_of_event": "2026-07-21", "filed_date": "2026-07-21", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1804176/000110465926085499/0001104659-26-085499-index.html" }, { "accession_no": "0001104659-26-085392", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1855457, "issuer_name": "KORE Group Holdings, Inc.", "issuer_cusip": "50066V305", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-07-21", "filed_date": "2026-07-21", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nOn July 17, 2026, Searchlight IV KOR exercised all of the Penny Warrants. Pursuant to the Rollover, Voting and Support Agreement that Searchlight entered into with the Company on February 26, 2026, Searchlight contributed all of the shares underlying the Penny Warrants to Parent immediately prior to the Effective Time.\n\nOn July 21, 2026, pursuant to the terms of the Merger Agreement, the Merger was consummated with the Company continuing as the surviving corporation (\"Surviving Corporation\"). At the Effective Time, each share of Common Stock issued and outstanding immediately prior to the Effective Time (other than (i) shares held by Parent or Merger Sub, including shares contributed to Parent pursuant to certain rollover agreements that were entered into in connection with the Merger, (ii) shares held by the Issuer as treasury stock and (iii) shares held by stockholders who have properly exercised and perfected appraisal rights under Delaware law) were cancelled and converted into the right to receive an amount in cash equal to $9.25 per share, without interest and subject to any applicable withholding taxes (the \"Merger Consideration\"). Each share of Series A-1 Preferred Stock of the Issuer, all of which shares are held by Searchlight IV KOR, L.P. (\"Searchlight\"), remained outstanding after the Merger.\n\nAt the Effective Time, any shares of Common Stock that were held by the Issuer as treasury stock and not held on behalf of third parties, and any shares of Common Stock and Penny Warrants owned by Parent or Merger Sub, in each case, that were issued and outstanding immediately prior to the Effective Time, ceased to exist, ceased to be outstanding, and were automatically cancelled without payment of any consideration therefor or any conversion thereof, and each of the 100 shares of common stock of Merger Sub issued and outstanding immediately prior to the Effective Time were, as a result of the Merger and without any action on the part of the holder of such shares, automatically converted into one validly issued, fully paid and nonassessable share of common stock, par value $0.01 per share, of the Surviving Corporation.\n\nAfter giving effect to the Merger, Parent holds all of the outstanding common stock of the Surviving Corporation. Parent is managed by a board of directors, which the Reporting Persons do not control and, accordingly, none of the Reporting Persons have beneficial ownership of any common stock of the Surviving Corporation.\n\nThe Common Stock was suspended from trading on the New York Stock Exchange (\"NYSE\") prior to the opening of trading on July 21, 2026. In addition, NYSE has filed with the SEC a Notification of Removal from Listing and/or Registration under Section 12(b) of the Act on Form 25 to delist and deregister the Common Stock from NYSE. As a result, the Common Stock will no longer be listed on NYSE.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1855457/000110465926085392/0001104659-26-085392-index.html" }, { "accession_no": "0000912282-26-001007", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1790169, "issuer_name": "ZeroStack Corp.", "issuer_cusip": "98956L1O1", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-07-20", "filed_date": "2026-07-21", "item3_funds_source": "PF and OO", "item4_transaction_purpose": "On May 5, 2026, the board of directors of the Issuer approved a grant of 500,000 options to the Reporting Person (the \"May 2026 Option Grant\"), subject to shareholder approval. The options are exercisable for shares of common stock of the Issuer at an exercise price of $5.10 per share, and vest in five equal installments subject to the Issuer's common stock meeting the following volume weighted average price (\"VWAP\") thresholds: 20% following VWAP of $7.65; 20% following VWAP of $10.20; 20% following VWAP of $12.75; 20% following VWAP of $15.30; and 20% following VWAP of $17.85.\n\nOn July 20, 2026, the shareholders approved the May 2026 Option Grant.\n\nOn July 20, 2026, the Reporting Person exercised pre-funded warrants into 5,954,743 common shares at an exercise price of $0.0001 per share.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1790169/000091228226001007/0000912282-26-001007-index.html" }, { "accession_no": "0000912282-26-001005", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1790169, "issuer_name": "ZeroStack Corp.", "issuer_cusip": "98956L1O1", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-07-20", "filed_date": "2026-07-21", "item3_funds_source": "OO", "item4_transaction_purpose": "On May 5, 2026, the board of directors of the Issuer approved a grant of 250,000 options to the Reporting Person (the \"May 2026 Option Grant\"), subject to shareholder approval. The options are exercisable for shares of common stock of the Issuer at an exercise price of $5.10 per share, and vest in five equal installments subject to the Issuer's common stock meeting the following volume weighted average price (\"VWAP\") thresholds: 20% following VWAP of $7.65; 20% following VWAP of $10.20; 20% following VWAP of $12.75; 20% following VWAP of $15.30; and 20% following VWAP of $17.85.\n\nOn July 20, 2026, the shareholders approved the May 2026 Option Grant.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1790169/000091228226001005/0000912282-26-001005-index.html" }, { "accession_no": "0000912282-26-001003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1790169, "issuer_name": "ZeroStack Corp.", "issuer_cusip": "98956L101", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-07-20", "filed_date": "2026-07-21", "item3_funds_source": "i) and ii) OO", "item4_transaction_purpose": ".", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1790169/000091228226001003/0000912282-26-001003-index.html" }, { "accession_no": "0002110919-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1624512, "issuer_name": "Boxlight Corp", "issuer_cusip": "10168L206", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-07-20", "filed_date": "2026-07-20", "item3_funds_source": "Personal funds were used to acquire the securities. All shares have been sold and no funds are currently being used.", "item4_transaction_purpose": "The reporting person has disposed of all shares of common stock previously held. The purpose of this amendment is to report the sale of all securities. The reporting person has no further plans or proposals with respect to the issuer.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1624512/000211091926000002/0002110919-26-000002-index.html" }, { "accession_no": "0001989386-26-000010", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1665300, "issuer_name": "Phunware, Inc.", "issuer_cusip": "71948P209", "securities_class_title": "Common Stock", "date_of_event": "2026-07-09", "filed_date": "2026-07-20", "item3_funds_source": "All of the Shares to which this Schedule 13D relates were purchased in open market on behalf of the Reporting Persons using the working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) o f the respective Reporting Person. The aggregate amount of funds used for the purchase of the securities reported herein was ap proximately USD $2,690,523.00, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Person acquired the shares of Common Stock reported herein for investment purposes.\n\nThe Reporting Person intends to engage in discussions with the Company's board of directors and management regarding a range of matters, including, but not limited to, the Company's governance, capital allocation, strategic direction, and overall performance.\n\nIn furtherance of the foregoing, the Reporting Person has recently initiated contact with members of the Company's board of directors to seek constructive dialogue and to improve the Company's governance, including through potential board representation.\n\nOn July 9, 2026, the Reporting Person sent an Open Letter to the Board of Phunware setting forth the Reporting Person's views regarding corporate governance, shareholder representation, capital allocation and Board accountability.\n\nThe Reporting Person believes that the Company's governance practices have materially contributed to prolonged operating losses, shareholder dilution, leadership instability and declining shareholder confidence.\n\nBased on the Company's operating and governance record during Mr Elliot Han's tenure as Chair, the Reporting Person has significant concerns regarding the Board's oversight, governance practices and capital allocation discipline.\n\nThe Reporting Person also has concerns regarding the high compensation levels paid to each member of the Board. Based on the Company's public filings, Mr Han's cumulative compensation from Phunware is estimated to exceed USD 630,000 from January 2024 to now, more than USD 250,000 per year, during a period in which shareholder value has declined substantially. The Reporting Person believes that the Board's compensation levels are significantly higher than those of comparable micro cap public companies, and these compensation decisions are inconsistent with the Company's operating performance. The Reporting Person views this stark contrast as raising serious governance concerns.\n\nThe Reporting Person believes that good governance requires accountability, and accountability requires shareholder representation. The Reporting Person believes meaningful governance reform is necessary.\n\nThe Reporting Person also believes that the Company's current governance structure has failed to restore shareholder confidence despite repeated capital raises, prolonged operating losses, leadership turnover and significant destruction of shareholder value. Accordingly, meaningful Board refreshment is necessary to protect the interests of all shareholders.\n\nTo strengthen the Board, the Reporting Person has proposed four potential director candidates: Shawn Kravetz, Richard Ding, Mona Zhang, and Steve Han. These individuals collectively bring extensive experience in corporate governance, capital allocation, business strategy, AI platform development, and business development.\n\nThe Reporting Person proposed establishing a more balanced Board for Phunware. Specifically, it recommended expanding the Board and adding at least three new directors. The Reporting Person believes such expansion would improve shareholder representation and Board independence.\n\nIf Mr. Elliot Han is no longer a member of the Board, the Reporting Person would be prepared to discuss alternative governance structures that may require fewer additional directors.\n\nBased on the parties' communications to date, the Reporting Person believes that the Board has not demonstrated a genuine willingness to consider meaningful governance improvements or changes to Board composition. Instead, the Board has declined to commit to any timetable for considering governance reforms or Board composition changes. In addition, rather than responding to the substantive governance issues raised by the Reporting Person, the Company's counsel has indicated that the Company may consider legal remedies if this Open Letter is published. The Reporting Person believes this response speaks for itself.\n\nThe Reporting Person has repeatedly attempted to resolve these matters privately through discussions with the Board before considering public action. The Reporting Person sent more than 10 emails to Chairman Elliot Han over three months to request communication; he did not reply once.\n\nRather than engaging directly with shareholders, the Board has consistently relied on the two counsel -not just one - to manage all email communications. The Board has never responded directly to any of emails or phone messages of the Reporting Person. The Reporting Person thinks this approach has unnecessarily hindered meaningful shareholder engagement and appears to prioritize protecting the existing Board over constructive communication with significant shareholders.\n\nIf the parties are unable to reach a mutually acceptable resolution, the Reporting Person may nominate director candidates and conduct a proxy solicitation in connection with the Company's 2026 Annual Meeting.\n\nThe Reporting Person is also evaluating the exercise of other shareholder rights available under applicable law, including the inspection of books and records (Section 220).\n\nThe Reporting Person remains willing to engage constructively with the Board if meaningful governance reforms are seriously considered.\n\nThe Reporting Person believes that Phunware is undervalued and there are opportunities to enhance shareholder value through improved alignment, governance, and execution, and intends to continue to evaluate all available options to achieve such objectives.\n\nDepending on various factors, including, without limitation, market conditions, the Company's performance, and ongoing discussions with the Company and other shareholders, the Reporting Person may from time to time increase or decrease its beneficial ownership of the Company's securities, and may pursue various alternatives with respect to its investment, including engaging with other shareholders, seeking board representation, or pursuing other actions available to shareholders.\n\nThe Reporting Person reserves the right to formulate and pursue any plans or proposals described in Item 4 of Schedule 13D, subject to applicable law.\n\nA copy of the Open Letter (Series 1) is attached hereto as Exhibit 99 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1665300/000198938626000010/0001989386-26-000010-index.html" }, { "accession_no": "0001643560-26-000013", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1829959, "issuer_name": "DOCEBO INC.", "issuer_cusip": "25609L105", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-07-17", "filed_date": "2026-07-20", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented as follows:\n\nOn July 17, 2026, the Issuer announced that its board of directors has approved a substantial issuer bid (the \"Offer\") under which the Company will offer to repurchase for cancellation up to US$70,000,000 of its outstanding Common Shares at a price of US$20.40 per Common Share. Intercap has informed the Company that it intends to participate in the Offer in a manner consistent with maintaining at least its current level of ownership on a percent of outstanding Common Shares basis. However, Intercap's decision to participate in the Offer is subject to market conditions and other factors and Intercap reserves the right to change its intentions at any time. Intercap's percentage ownership interest in the Company may increase as a result of the Offer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1829959/000164356026000013/0001643560-26-000013-index.html" }, { "accession_no": "0001437749-26-023888", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1004989, "issuer_name": "SPAR Group, Inc.", "issuer_cusip": "784933103", "securities_class_title": "Common Shares, par value $0.01 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-20", "item3_funds_source": "On July 1, 2026, the Reporting Person used approximately $3,296,886 in the aggregate to purchase 4,709,837 shares of Common Stock of the Issuer (the \"Shares\"). The source of the funds used to acquire the Shares is the working capital of the Reporting Person.\n\nShares of Common Stock of the Issuer held by the Reporting Person prior to the acquisition of such Shares were acquired with working capital of the Reporting Person and under the terms of a Services Agreement by and between the Reporting Person and the Issuer.", "item4_transaction_purpose": "The Shares were acquired for investment purposes. Depending on market conditions and other factors (including evaluation of the Issuer's businesses and prospects, availability of funds, alternative uses of funds and general economic conditions), the Reporting Person may from time to time acquire additional securities of the Issuer or dispose of all or a portion of its investment in the Issuer. The Reporting Person intends to review its investment in the Issuer on an ongoing basis and, in the course of its review, may take actions with respect to its investment or the Issuer, including communicating with the board of directors of the Issuer (the \"Board\"), members of management or other security-holders of the Issuer, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available.\n\nThis Schedule 13D filing is occasioned solely by the Reporting Person's beneficial ownership of more than 5% of the presently outstanding shares of Common Stock of the Issuer as a result of the investment described in Item 3. The Reporting Person's ownership as a percentage of the outstanding shares of Common Stock of the Issuer may be deemed to have the resulting effect of changing or influencing the control of the Issuer, notwithstanding that the shares of Common Stock of the Issuer beneficially owned by the Reporting Person were acquired in the ordinary course of its business and were not acquired for the purpose of changing or influencing the control of the Issuer.\n\nExcept as described herein, the Reporting Person has no present plans, proposals or intentions which would result in or relate to any of the matters described in Items 4(a)-(j) of the Instructions to Schedule 13D. However, as part of the ongoing evaluation of investment and investment alternatives, the Reporting Person may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the Board or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1004989/000143774926023888/0001437749-26-023888-index.html" }, { "accession_no": "0001213900-26-079699", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1856084, "issuer_name": "Ridgetech Inc.", "issuer_cusip": "G2124G203", "securities_class_title": "Ordinary Shares, par value $0.15 per share", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1856084/000121390026079699/0001213900-26-079699-index.html" }, { "accession_no": "0001213900-26-079584", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1574565, "issuer_name": "Evogene Ltd.", "issuer_cusip": "M4119S187", "securities_class_title": "Ordinary shares, par value NIS 0.20 per share and American Depositary Shares, each representing one (1) Ordinary Share", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended to add the following at the end thereof:\n\nPure Capital acquired 202,000 additional ADSs using working capital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574565/000121390026079584/0001213900-26-079584-index.html" }, { "accession_no": "0001213900-26-079436", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1989930, "issuer_name": "Founder Group Ltd", "issuer_cusip": "G3662E121", "securities_class_title": "Class A Shares", "date_of_event": "2026-06-11", "filed_date": "2026-07-20", "item3_funds_source": "Item 3 of this Schedule 13D is hereby amended and supplemented to add the following:\n\nOn February 10, 2026, the Company implemented a 100-for-1 reverse share split, upon completion of which, the Reporting Person held 26,080 Class A shares and 51,949 Class B shares.\n\nOn June 11, 2026, the Reporting Person received grant of 30,000 Class B shares by the Issuer as bonus payments for successful procurement of contracts relating to engineering, procurement, construction and commissioning of multiple large scale solar photovoltaic plant in Malaysia.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1989930/000121390026079436/0001213900-26-079436-index.html" }, { "accession_no": "0001213900-26-079434", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1989930, "issuer_name": "Founder Group Ltd", "issuer_cusip": "G3662E121", "securities_class_title": "Class A Shares", "date_of_event": "2026-06-11", "filed_date": "2026-07-20", "item3_funds_source": "On February 10, 2026, the Company implemented a 100-for-1 reverse share split, upon completion of which Reservoir Link Energy Bhd held 56,500 Class A shares and 20,000 Class B shares and Thien Chiet Chai held 21,299 Class B shares.\n\nOn June 11, 2026, Thien Chiet Chai received grant of 20,000 Class B shares by the Issuer as bonus payments for successful procurement of contracts relating to engineering, procurement, construction and commissioning of multiple large scale solar photovoltaic plant in Malaysia.", "item4_transaction_purpose": "The information set forth in Item 3 above is incorporated into this Item 4 by reference.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons currently have no present plans or proposals that relate to or would result in any transaction, event or action enumerated in paragraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons may, at any time, and from time to time, review, reconsider and change his position and/or change their purpose and/or develop such plans and may seek to influence management or the board of directors of the Issuer with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer, or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1989930/000121390026079434/0001213900-26-079434-index.html" }, { "accession_no": "0001193125-26-309245", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1755237, "issuer_name": "CYCLERION THERAPEUTICS, INC.", "issuer_cusip": "23255M204", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1755237/000119312526309245/0001193125-26-309245-index.html" }, { "accession_no": "0001193125-26-309174", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1844971, "issuer_name": "Vulcan Infrastructure and Power Inc.", "issuer_cusip": "39531G308", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-19", "filed_date": "2026-07-20", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented with the following:\n\nOn July 19, 2026, Atlas GREE Investment Holdco LLC, a Delaware limited liability company and an affiliate of the Reporting Persons (\"Purchaser\"), entered into a subscription agreement (the \"Subscription Agreement\") with the Issuer, pursuant to which Purchaser has agreed to purchase, 2,923,976 shares (the \"Shares\") of the Issuer's Class A Common Stock, par value $0.0001 per share (the \"Class A Common Stock\"), at a price per share of $1.71, for an aggregate purchase price of $5,000,000, in a private placement (the \"Private Placement\"). The closing of the Private Placement is subject to the satisfaction or waiver of certain customary conditions.\n\nIn connection with the closing of the Private Placement, pursuant to an Investor Rights Agreement to be entered into between the Issuer and Purchaser (or its permitted assigns) (the \"Investor Rights Agreement\"), the Issuer's board of directors (the \"Board\") will be reconstituted to consist of ten (10) members, including four (4) directors nominated by Purchaser, and following the receipt of certain regulatory approvals, the size of the Board will be reduced to eight (8) members, including one (1) director nominated by Purchaser and one (1) independent director identified by Purchaser (subject to the consent of the Issuer and another investor). Pursuant to the Investor Rights Agreement, following the Issuer's 2027 annual meeting of stockholders, if Purchaser and its affiliates collectively beneficially own at least 7.5% of the outstanding Class A Common Stock on a fully diluted basis, Purchaser will have the right to nominate two (2) directors and if such ownership is less than 7.5% but at least 5.0%, Purchaser will have the right to nominate one (1) director. In addition, the Investor Rights Agreement will provide Purchaser with certain other rights so long as it maintains certain share ownership thresholds, including the right to have an Atlas director serve on the capital committee of the Board, the right to appoint a non-voting Board observer, a right to purchase its pro rata share of issuances of equity or securities convertible or exchangeable for equity of the Issuer (subject to certain exceptions), and customary registration rights. Under the Investor Rights Agreement Purchaser will also be entitled to project-level acquisition fees and/or promote incentives, to be paid in the form of cash or shares of Class A Common Stock, for certain post-closing services provided to the Issuer, subject to arm's-length terms and required approvals.\n\nThe foregoing description of the Private Placement, Subscription Agreement and Investor Rights Agreement does not purport to be complete and is qualified in its entirety by reference to the Subscription Agreement, which is filed as Exhibit 99.3 to this Amendment No. 5 and the form of Investor Rights Agreement, which is filed as Exhibit 99.4 to this Amendment No. 5.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1844971/000119312526309174/0001193125-26-309174-index.html" }, { "accession_no": "0001193125-26-309029", "submission_type": "SCHEDULE 13D/A", "amendment_no": 23, "issuer_cik": 1397187, "issuer_name": "lululemon athletica inc.", "issuer_cusip": "550021109", "securities_class_title": "Common Stock", "date_of_event": "2026-07-17", "filed_date": "2026-07-20", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1397187/000119312526309029/0001193125-26-309029-index.html" }, { "accession_no": "0001193125-26-308519", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 2054992, "issuer_name": "Lincoln Bain Capital Total Credit Fund", "issuer_cusip": "53287N300", "securities_class_title": "Class I, Class A, Class D and Class IS shares of beneficial interest, no par value per share", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "Item 3 of the Initial 13D is hereby amended and supplemented as follows:\n\nOn July 08, 2026, the following series of the Trust, for which LFI acts as investment adviser, acquired Class I Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $10.15 in the amounts and for the aggregate purchase price as set forth below:\n\n Shares acquired Aggregate purchase price\n1: LVIP Global Growth Allocation Managed Risk Fund: 60,496.49 614,039.34\n2: LVIP Global Moderate Allocation Managed Risk Fund: 52,389.16 531,749.99\n3: LVIP U.S. Growth Allocation Managed Risk Fund: 21,316.24 216,359.82\n4: LVIP Global Conservative Allocation Managed Risk Fund: 10,763.22 109,246.65\n5: LVIP Global Aggressive Growth Allocation Managed Risk Fund: 2,623.84 26,632.01\n6: LVIP U.S. Aggressive Growth Allocation Managed Risk Fund: 1,891.30 19,196.66\n\n\nOn July 08, 2026, LNL acquired Class A Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.76 and for the aggregate purchase price of $63.21.\n\nOn July 08, 2026, LNL acquired Class D Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.77 and for the aggregate purchase price of $66.44.\n\nOn July 08, 2026, LNL acquired Class I Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $10.15 and for the aggregate purchase price of $354,663.65.\n\nOn July 08, 2026, LNL acquired Class IS Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.77 and for the aggregate purchase price of $68.75.\n\nOn June 16, 2026, the following series of the Trust, for which LFI acts as investment adviser, acquired Class I Shares from the working capital of the Issuer at the purchase price per share of $10.16 in the amounts and at the aggregate purchase price as set forth below:\n\n\n Shares acquired Aggregate purchase price\n1: LVIP Global Growth Allocation Managed Risk Fund: 935,413.01 $9,503,796.14\n2: LVIP Global Moderate Allocation Managed Risk Fund: 928,551.17 $9,434,079.84\n3: LVIP U.S. Growth Allocation Managed Risk Fund: 335,297.35 $3,406,621.09\n4: LVIP Global Conservative Allocation Managed Risk Fund: 261,368.40 $2,655,502.93", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2054992/000119312526308519/0001193125-26-308519-index.html" }, { "accession_no": "0001140361-26-029018", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1119639, "issuer_name": "PETROBRAS - PETROLEO BRASILEIRO SA", "issuer_cusip": "71654V101", "securities_class_title": "Preferred Shares, without par value", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "The information in Item 4 is incorporated by reference herein to the extent applicable.", "item4_transaction_purpose": "This Amendment is being filed to report a decrease in the Preferred Shares beneficially owned by the Reporting Persons, as a result of a combination of open market sales made by the Reporting Persons. As a result of the foregoing, the Preferred Shares owned by the Reporting Persons decreased from 916,700,003 to 865,743,903 (corresponding to approximately 15.90% of the Issuer's outstanding Preferred Shares).\n\nThe aggregate percentages of the class beneficially owned by the Reporting Persons is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' 6-K.\n\nThe Reporting Persons may, from time to time, take such actions regarding their investment in the Preferred Shares as they deem appropriate. These actions may include: (i) disposing of any or all of their Preferred Shares and/or other equity, debt, notes, other securities or derivatives or other instruments of the Issuer that are based upon or relate to the value of the Preferred Shares (collectively, \"Securities\") in the open market or otherwise, including in connection with business development transactions or financing commitments in relation thereto; (ii) engaging in any hedging or similar transactions with respect to the Securities; (iii) exercising director appointment rights or cumulative voting rights to the extent permitted under Petrobras's bylaws and otherwise by law; or (iv) proposing or considering one or more of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D. In determining whether to carry out any of the above-mentioned actions, the Reporting Persons may consider factors such as Petrobras's financial position and strategic direction, actions taken by Petrobras's board of directors, price levels of the Common Shares and Preferred Shares, conditions in the securities market and general economic and industry conditions.\n\nEach of the Reporting Persons disclaims beneficial ownership in all Preferred Shares reported herein, except to the extent of the Reporting Person's respective pecuniary interest therein. This filing shall not be deemed an admission that any of the Reporting Persons constitute a \"group\" for purposes of Section 13(d) or Section 13(g) of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1119639/000114036126029018/0001140361-26-029018-index.html" }, { "accession_no": "0001104659-26-085114", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1253689, "issuer_name": "Crescent Biopharma, Inc.", "issuer_cusip": "G2545C104", "securities_class_title": "Ordinary Shares, $0.001 par value", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nIn aggregate, the Reporting Persons have voting and dispositive power over 6,593,385 Ordinary Shares of the Company, which is comprised of (a) 3,601,316 Ordinary Shares, (b) Pre-Funded Warrants to purchase up to 102,069 Ordinary Shares, the exercise of which is subject to a beneficial ownership limitation of 9.99% of the outstanding Ordinary Shares (and therefore excluding 2,191,968 Ordinary Shares issuable upon exercise of the Pre-Funded Warrants in excess of the beneficial ownership limitation), and (c) 2,890,000 Ordinary Shares issuable upon conversion of 2,890 Series A Preferred Shares, the conversion of which is subject to a beneficial ownership limitation of 19.99% of the outstanding Ordinary Shares.\n\nOn July 16, 2026, Fund II purchased a total of (i) 853,450 Ordinary Shares and (ii) Pre-Funded Warrants to purchase up to 525,897 Ordinary Shares for an aggregate purchase price of $20,000,005.60 in an underwritten public offering (the \"Offering\"). The securities were purchased with working capital.", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented as follows:\n\nFund II purchased the Ordinary Shares and Pre-funded Warrants referenced in Item 3 for investment purposes.\n\nLock-Up Agreement\n\nIn connection with the Company's underwritten public offering of Ordinary Shares and Pre-Funded Warrants that closed on July 16, 2026, the Reporting Persons entered into a customary lock-up letter agreement (the \"Lock-Up Agreement\") with Jefferies LLC and TD Securities (USA) LLC acting as the Representatives (collectively, the \"Representatives\") of the underwiters party to to an underwriting agreement with the Company. Pursuant to the Lock-Up Agreement, the Reporting Persons agreed to refrain from selling shares of the Company's securities without the consent of the Representatives, and other customary lock-up conditions, for a period of 60 days following the date of the final prospectus supplement for the offering.\n\nThe foregoing description of the Lock-Up Agreement does not purport to be complete and is qualified in its entirety by reference to the Form of Lock-Up Agreement, which is filed as Exhibit 99.2 to this Schedule 13D and incorporated herein by reference.\n\nPre-Funded Warrants\n\nThe Pre-Funded Warrants purchased by Fund II in the offering have an exercise price of $0.001, are immediately exercisable at any time after the date of issuance and will not expire. A holder of Pre-Funded Warrants may not exercise the warrant if the holder, together with its affiliates, would beneficially own more than 9.99%, as applicable, of the number of Ordinary Shares outstanding immediately after giving effect to such exercise. A holder of Pre-Funded Warrants may increase or decrease this percentage to a percentage not in excess of 19.99% by providing notice to the Company. Any increase in the percentage will not be effective until the 61st day after such notice is delivered.\n\nThe foregoing description of the Pre-Funded Warrants does not purport to be complete and is qualified in its entirety by reference to the form of Pre-Funded Warrant, which is filed as Exhibit 99.3 hereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1253689/000110465926085114/0001104659-26-085114-index.html" }, { "accession_no": "0001104659-26-084857", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1517496, "issuer_name": "SOLAI Ltd", "issuer_cusip": "055474100", "securities_class_title": "Class A & Class B Ordinary Shares, Class A & Class A II Preference Shares, par value of $0.00005 per share", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:\n\nOn July 16, 2026, Mr. Law, through trade orders executed by broker-dealers, effected multiple open market purchase transactions of the Issuer's ADSs at different prices. Mr. Law purchased an aggregate of 54,275 ADSs for a total consideration of $194,007.37, representing a weighted average purchase price of $3.5745, at prices ranging from $3.2831 to $3.8937 inclusive. Mr. Law undertakes to provide upon request by the Commission staff full information regarding the number of ADSs purchased at each separate price within the range of prices set forth in this Item 3.\n\nThe source of the funds was the working capital of Good Luck.\n\nFollowing the purchase transactions that were effected on July 16, 2026, Mr. Law's beneficial ownership of the Issuer's ADSs increased to 132,242 ADSs (from 77,967 ADSs, after accounting for the current ADS ratio of 1 ADS to 700 Class A Ordinary Shares effective since July 6, 2026).", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:\n\nThe information set forth in Item 3 is hereby incorporated by reference in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1517496/000110465926084857/0001104659-26-084857-index.html" }, { "accession_no": "0000947871-26-000713", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1661998, "issuer_name": "Q32 Bio Inc.", "issuer_cusip": "746964105", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": "The Reporting Persons from time to time intend to review their investment in the Issuer on the basis of various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's Shares in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time. If the Reporting Persons believe that further investment in the Issuer is attractive, whether because of the market price of Shares or otherwise, they may acquire Shares or other securities of the Issuer either in the open market or in privately negotiated transactions. Similarly, depending on market and other factors, the Reporting Persons may determine to dispose of some or all of the Shares currently owned by the Reporting Persons or otherwise acquired by the Reporting Persons either in the open market or in privately negotiated transactions.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons have not formulated any plans or proposals which relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) a sale or transfer of a material amount of the assets of the Issuer or any of its subsidiaries, (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the Issuer's capitalization or dividend policy of the Issuer, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's charter or bylaws or other instrument corresponding thereto or other action which may impede the acquisition of control of the Issuer by any person, (h) causing a class of the Issuer's securities to be deregistered or delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1661998/000094787126000713/0000947871-26-000713-index.html" }, { "accession_no": "0000921895-26-001840", "submission_type": "SCHEDULE 13D/A", "amendment_no": 18, "issuer_cik": 1643303, "issuer_name": "Nano Dimension Ltd.", "issuer_cusip": "63008G203", "securities_class_title": "Ordinary Shares par value NIS 5.00 per share", "date_of_event": "2026-07-17", "filed_date": "2026-07-20", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares purchased by Nomis Bay were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 5,148,731 Shares beneficially owned by Nomis Bay is approximately $14,705,420, including brokerage commissions. In addition, in connection with the prior ADS conversions, Nomis Bay paid $270,000 in fees to the Bank of New York Mellon, as depositary.\n\nThe Shares purchased by BPY were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 3,419,407 Shares beneficially owned by BPY is approximately $9,785,746, including brokerage commissions. In addition, in connection with the prior ADS conversions, BPY paid $30,000 in fees to the Bank of New York Mellon, as depositary.\n\nThe Shares held in the Managed Positions were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 8,568,138 Shares held in the Managed Positions is approximately $24,491,023, including brokerage commissions. In addition, in connection with the prior ADS conversions, the Managed Positions paid $562,500 in fees to the Bank of New York Mellon, as depositary.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn July 17, 2026, the Reporting Persons entered into a settlement agreement (the \"Settlement agreement\") with the Issuer, pursuant to which (i) each of Robert Pons, David Stehlin, Dr. Joshua Rosensweig, and Andrew Sriubas (the \"Departing Directors\") resigned from the Issuer's board of directors (the \"Board\") and all positions with the Issuer, (ii) the Issuer appointed each of Pinchos (Paul) Fruchthandler, Moshe Rozenbaum and Eliezer Eli Tarlow to serve as a member of the Board as a Class I, Class II and Class III director, respectively, with an initial term expiring at the Issuer's 2026 annual general meeting of shareholders to fill the vacancies resulting from the resignations of the Departing Directors, and (iii) the Reporting Persons irrevocably withdrew their demand that the Issuer call an extraordinary general meeting of shareholders (the \"EGM\") to vote on various proposals submitted by such Reporting Persons, enabling the Issuer to cancel the EGM scheduled to be held on July 31, 2026.\n\nIn addition, pursuant to the Settlement Agreement, the Reporting Persons, the Issuer and the Departing Directors agreed to certain litigation-related provisions, including a release of certain claims and a covenant not to initiate or pursue certain legal proceedings, as well as certain non-disparagement provisions.\n\nThe foregoing description of the Settlement Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Settlement Agreement, which is attached as Exhibit 99.1 hereto and is incorporated herein by reference.\n\nOn July 20, 2026, the Issuer and the Reporting Persons issued a joint press release announcing the Settlement Agreement. A copy of the press release is attached as Exhibit 99.2 hereto and is incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1643303/000092189526001840/0000921895-26-001840-index.html" }, { "accession_no": "0000921895-26-001834", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1788028, "issuer_name": "Jasper Therapeutics, Inc.", "issuer_cusip": "471871202", "securities_class_title": "Voting Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares beneficially owned directly by Velan Master were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 2,381,915 Shares beneficially owned by Velan Master is approximately $23,133,322, including brokerage commissions. Velan Master also owns 1,193,415 Warrants (as defined in Amendment No. 2 to the Schedule 13D), which were acquired pursuant to the 2025 Offering (as defined in Amendment No. 2 to the Schedule 13D).\n\nThe Shares beneficially owned directly by Velan Horizon were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 41,152 Shares beneficially owned by Velan Horizon is approximately $94,855, including brokerage commissions. Velan Horizon also owns 41,152 Warrants, which were acquired pursuant to the 2025 Offering.\n\nThe Shares beneficially owned directly by Avego Fund were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 245,328 Shares beneficially owned by Avego Fund is approximately $21,512,500, including brokerage commissions.\n\nOf the 35,013 Shares beneficially owned directly by Mr. Kapoor, (i) 4,375 Shares were granted to him in connection with the closing of the Business Combination Agreement (as defined in the initial Schedule 13D) in relation to his position as President of Amplitude Healthcare Acquisition Corporation at the time and (ii) 30,638 Shares are issuable upon the exercise of stock options that were awarded to him by the Issuer in connection with his service as a director.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn July 16, 2026, the Issuer acquired Kira Pharmaceuticals (\"Kira\"), a Cayman Islands exempted company, in accordance with the terms of the Agreement and Plan of Merger, dated July 16, 2026 (the \"Merger Agreement\"), by and among the Issuer, Kira and Kira Holdco Inc., a Delaware corporation and a wholly owned subsidiary of the Issuer (\"Merger Sub\"). Pursuant to the Merger Agreement, Kira merged with and into Merger Sub, with Merger Sub continuing as the surviving corporation and a wholly owned subsidiary of the Issuer (the \"Merger\"). In accordance with the Merger Agreement, on July 16, 2026, Vishal Kapoor notified the Board of his resignation, effective immediately after the Effective Time (as defined in the Merger Agreement).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1788028/000092189526001834/0000921895-26-001834-index.html" }, { "accession_no": "0000905148-26-003279", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2033535, "issuer_name": "Costamare Bulkers Holdings Limited", "issuer_cusip": "Y2001C101", "securities_class_title": "Common Stock, $0.0001 Par Value", "date_of_event": "2026-07-17", "filed_date": "2026-07-20", "item3_funds_source": "On May 6, 2025, Costamare Inc. (\"CMRE\") distributed in the form of a dividend all of the then-outstanding Common Stock on a pro rata basis to the record holders of the common stock, par value $0.0001 per share, of CMRE (the \"CMRE Common Shares\" and such distribution, the \"Distribution\"). Each CMRE shareholder received one share of Common Stock for every five CMRE Common Shares held as of 5:00 p.m., New York City time, on April 29, 2025 (the \"Record Date\"). As a result of the Distribution and based on the Reporting Persons' beneficial ownership of CMRE Common Shares on the Record Date, the Reporting Persons acquired beneficial ownership of 4,523,506 shares of the Issuer's Common Stock on May 6, 2025.\n\nAdditionally, Achillefs Konstantakopoulos has periodically acquired Common Stock in the open market pursuant to a Rule 10b-5 plan established by Mr. Konstantakopoulos on May 21, 2026, pursuant to which he may purchase up to 500,000 shares of the Issuer's Common Stock.\n\nCostamare Shipping Services Ltd. also received 37,236 shares of Common Stock on June 30, 2025, and 60,509 shares of Common Stock on each of September 30, 2025, December 30, 2025, March 30, 2026 and June 30, 2026 (totaling 279,272 shares) pursuant to a service agreement with the Issuer's vessel-owning subsidiaries in exchange for services provided to them.", "item4_transaction_purpose": "Mr. Konstantakopoulos is the direct and indirect owner of the Common Stock identified on the cover pages to this Schedule 13D. The Reporting Persons acquired the securities reported herein for investment purposes.\n\nThe Reporting Persons intend to review their holdings in the Issuer on a continuing basis and, depending upon the price and availability of the Issuer's securities, subsequent developments affecting the Issuer, the business prospects of the Issuer, general stock market and economic conditions, tax considerations, investment considerations and/or other factors deemed relevant, may consider increasing or decreasing their investment in the Issuer, including through one or more open market purchases or private transactions. The timing and amount of such acquisitions or dispositions will depend on the conditions and considerations described in the preceding sentence and may be entered into pursuant to a Rule 10b5-1 plan. As part of this ongoing review, the Reporting Persons have engaged and/or may in the future engage, legal and financial advisors to assist them in such review and in evaluating strategic alternatives that are or may become available with respect to their holdings in the Issuer.\n\nExcept as set forth in this Schedule 13D, none of the Reporting Persons has any plan or proposal that relates to or would result in any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. However, each of the Reporting Persons reserves the right to change its plans at any time, as it deems appropriate, in light of its ongoing evaluation of (i) its business and liquidity objectives; (ii) the Issuer's financial condition, business, operations, competitive position, prospects and/or share price; (iii) industry, economic and/or securities markets conditions; (iv) alternative investment opportunities; and (v) other relevant factors. Without limiting the generality of the preceding sentence, each of the Reporting Persons reserves the right (subject to any applicable restrictions under law or other contracts) to at any time or from time to time (A) purchase or otherwise acquire additional shares or other securities of the Issuer, or instruments convertible into or exercisable for any such securities, in the open market, in privately negotiated transactions or otherwise; and/or (B) sell, transfer or otherwise dispose of Issuer securities in public or private transactions.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2033535/000090514826003279/0000905148-26-003279-index.html" }, { "accession_no": "0000807249-26-000054", "submission_type": "SCHEDULE 13D/A", "amendment_no": 62, "issuer_cik": 61004, "issuer_name": "LGL GROUP INC", "issuer_cusip": "50186A108", "securities_class_title": "Common Stock", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "The Reporting Persons used an aggregate of approximately $10,416,772 to purchase the additional Securities reported as beneficially owned in Item 5 since the most recent filing on Schedule 13D. GAMCO used approximately $149,716 of funds that were provided through the accounts of certain of their investment advisory clients (and, in the case of some of such accounts at GAMCO, may be through borrowings from client margin accounts) in order to purchase the additional Securities for such clients. Foundation used approximately $627,208 of working capital to purchase the additional Securities reported by it. GGCP used approximately $4,541,078 of working capital to purchase the additional Securities reported by it. Mario Gabelli used approximately $5,098,770 of private funds to purchase the additional Securities reported by it.", "item4_transaction_purpose": "The Reporting Persons file the long form Schedule 13D pursuant to Section 13d-1 of the Securities Exchange Act of 1934 (the \"Act\") even though they may be technically eligible to file the short form Schedule G. Because the Reporting Persons may regularly communicate with the Issuer's management, filing the Schedule 13D ensures that these conversations are compliant with the reporting obligations under the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/61004/000080724926000054/0000807249-26-000054-index.html" }, { "accession_no": "0000038777-26-000189", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-07-16", "filed_date": "2026-07-20", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000189/0000038777-26-000189-index.html" }, { "accession_no": "0002046701-26-000008", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1698530, "issuer_name": "EXICURE, INC.", "issuer_cusip": "30205M309", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-08", "filed_date": "2026-07-17", "item3_funds_source": "Item 3 of the Original Statement is hereby amended and supplemented as follows:\n\nOn June 23, 2026 and June 26, 2026, the Reporting Person entered into a series of share transfer amendment agreements (the Share Transfer Amendment Agreements) with five transferees that previously acquired Shares from the Reporting Person pursuant to transactions disclosed in prior amendments to this Schedule 13D. Pursuant to the Share Transfer Amendment Agreements, the parties agreed to reduce the number of Shares transferred to such transferees and return an aggregate of 623,277 Shares to the Reporting Person. Following completion of the Share Transfer Amendment Agreements, the Reporting Person retained aggregate proceeds of approximately KRW 4,160,554,000 in respect of the revised transactions and reacquired beneficial ownership of such returned Shares on the dates the returned Shares were recorded by the transfer agent in the name of the Reporting Person.", "item4_transaction_purpose": "Item 4 of the Original Statement is hereby amended and supplemented as follows:\n\nThe Reporting Person previously entered into share transfer transactions with certain third-party purchasers, which transactions were disclosed in prior amendments to this Schedule 13D.\nOn June 23, 2026 and June 26, 2026, the Reporting Person entered into Share Transfer Amendment Agreements with five of such purchasers pursuant to which the parties agreed to reduce the number of Shares transferred under the original transactions and return certain Shares to the Reporting Person.\n\nPursuant to the Share Transfer Amendment Agreements, an aggregate of 623,277 Shares were returned to the Reporting Person as follows:\n\nName of Original No. of Proceeds Revised Number Revised\nTransferee Shares Transferred of Shares Proceeds\n\nDaolam Co., Ltd.\t 246,913\t $1,116,108.50\t 123,456\t $824,109\nJeon Sungchan\t 258,367\t $1,162,651.50\t 129,183\t $862,338.50\nIm Sung Jin\t 248,028\t $1,116,126\t 124,014\t $827,830.50\nLee Aram\t 234,882\t $1,056,969\t 117,441\t $783,954\nIm Bumjin\t 258,362\t $1,162,629\t 124,014\t $827,830\nTotal:\t 1,246,552 $5,614,484.00 618,108 $4,126,062\n\nThe returned Shares were recorded in the name of the Reporting Person by the Issuer's transfer agent on June 23, 2026, June 24, 2026, June 26, 2026 and July 8, 2026, as applicable. Voting power and dispositive power with respect to the returned Shares reverted to the Reporting Person only upon such transfers being recorded by the transfer agent.\n\nAs a result of the Share Transfer Amendment Agreements and the return of such Shares, the Reporting Person beneficially owns 2,222,224 Shares, representing approximately 34.87% of the Issuer's outstanding Shares.\n\nTwo purchasers, Lee So-jung and Kim Jun-seo, did not participate in the Share Transfer Amendment Agreements and continue to hold an aggregate of 487,834 Shares previously acquired from the Reporting Person. The Reporting Person has advised that it is pursuing remedies under applicable pledge arrangements in respect of such Shares and may seek recovery of such Shares in the future. No assurance can be given regarding the outcome or timing of any such actions.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1698530/000204670126000008/0002046701-26-000008-index.html" }, { "accession_no": "0001398344-26-012268", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1017303, "issuer_name": "TRANSACT TECHNOLOGIES INC", "issuer_cusip": "892918103", "securities_class_title": "Common stock, par value $0.01 per share", "date_of_event": "2026-07-16", "filed_date": "2026-07-17", "item3_funds_source": "PPCM directly holds 1,563,752 shares of Common Stock. Consideration for these assets came from working capital of PPCM.", "item4_transaction_purpose": "The Reporting Persons acquired the Shares because they believe the Shares are undervalued and represent an attractive investment opportunity. The Reporting Persons have had, and intend to have, discussions with the Issuer's board of directors and management in connection with the Reporting Persons' investment in the Issuer. The topics that these conversation have covered and will cover a range of issues, including those related to the business of the Issuer, the potential exploration of strategic alternatives for the Issuer's casino and gaming ticket printer business, segmentation of the company's financial reporting, capital allocation, corporate governance and board composition The Reporting Persons may also have similar conversations with other stockholders or other interested parties, such as industry analysts, existing or potential strategic partners or competitors, investment professionals, and other investors.\nThe Reporting Persons may at any time reconsider and change their intentions relating to the foregoing. The Reporting Persons may also take one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D and may discuss such actions with the Issuer's management and the board of directors, other stockholders of the Issuer, and other interested parties, such as those set out above.\nThe Reporting Persons intend to review their investments in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position and strategic direction, the outcome of the discussions and actions referenced above, actions taken by the Issuer's board of directors, price levels of the Issuer's Common Stock, other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take actions with respect to its investment position in the Issuer as it deems appropriate, including, without limitation, purchasing additional shares of Common Stock in the open market or otherwise, selling some of or all of the Shares, and/or engaging in hedging or similar transactions with respect to the Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1017303/000139834426012268/0001398344-26-012268-index.html" }, { "accession_no": "0001213900-26-079164", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1819704, "issuer_name": "Medirom Healthcare Technologies Inc.", "issuer_cusip": "58510H103", "securities_class_title": "American depositary shares, each representing one common share, no par value", "date_of_event": "2026-07-14", "filed_date": "2026-07-17", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended and supplemented to add the following:\n\nOn July 14, 2026, the Bonds previously held by the Reporting Person were redeemed in full. As a result, the Reporting Person no longer beneficially owns any Common Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819704/000121390026079164/0001213900-26-079164-index.html" }, { "accession_no": "0001193125-26-308002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 2081043, "issuer_name": "AtaiBeckley Inc.", "issuer_cusip": "04650F101", "securities_class_title": "Common stock, par value $0.01 per share", "date_of_event": "2026-07-15", "filed_date": "2026-07-17", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated in its entirety as follows:\n\nOn July 15, 2026, the Issuer entered into an Agreement and Plan of Merger (the \"Merger Agreement\") with Eli Lilly and Company, an Indiana corporation (\"Parent\"), and Albali Acquisition Corporation, a Delaware corporation and indirect wholly owned subsidiary of Parent (\"Merger Sub\"), pursuant to which, subject to satisfaction or waiver of the conditions therein, Merger Sub will merge with and into the Issuer (the \"Merger\"), with the Issuer surviving as a wholly owned subsidiary of Parent.\n\nOn July 15, 2026, in connection with the execution of the Merger Agreement, Apeiron and Christian Angermeyer entered into separate Voting and Support Agreements (the \"Support Agreements\") with Parent. The Support Agreements provide that, among other things, each of Apeiron and Christian Angermeyer has agreed (i) to vote all of the shares of common stock held by such stockholder in favor of the adoption of the Merger Agreement, subject to certain exceptions (including the valid termination of the Merger Agreement), (ii) not to transfer such shares of common stock, and (iii) to certain other restrictions on its ability to take actions with respect to the Company and its shares of common stock.\n\nThe foregoing descriptions of the Support Agreements does not purport to be complete and is qualified in its entirety by the full text of the form of Support Agreement, a copy of which is filed as Exhibit 99.1 to this Amendment No. 4 and is incorporated into this Item 4 by reference. A copy of the form of Support Agreement and the above description of the Support Agreements have been included to provide investors with information regarding the terms of the Support Agreements. They are not intended to provide any other factual information about the parties to the Support Agreements or their respective subsidiaries or affiliates. The representations, warranties and covenants contained in the Support Agreements were made only for the purposes of the Support Agreements and as of specific dates, are solely for the benefit of the parties to the Support Agreements, may be subject to limitations agreed upon by the contracting parties, including being qualified by confidential disclosures made for the purposes of allocating contractual risk between the parties to the Support Agreements instead of establishing these matters as facts, and may be subject to standards of materiality applicable to the contracting parties that differ from those applicable to investors. Investors are not third-party beneficiaries under the Support Agreements and should not rely on the representations, warranties and covenants or any descriptions thereof as characterizations of the actual state of facts or condition of the parties thereto or any of their respective subsidiaries or affiliates. Moreover, information concerning the subject matter of representations and warranties may change after the date of the Support Agreements, which subsequent information may or may not be fully reflected in the Reporting Persons', the Issuer's or Parent's public disclosures.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2081043/000119312526308002/0001193125-26-308002-index.html" }, { "accession_no": "0001193125-26-307988", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1065088, "issuer_name": "eBay Inc.", "issuer_cusip": "278642103", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-07-15", "filed_date": "2026-07-17", "item3_funds_source": "Item 3 to the Original 13D is hereby supplemented as follows:\n\n\"Between June 8, 2026 and June 15, 2026, GameStop purchased 3,516,077 shares of Common Stock for a total purchase price of $381,301,906.81 including fees and expenses.\n\nOn July 15, 2026, GameStop notified the Issuer that it was electing to physically settle all of the 39,046,658 shares of Common Stock underlying the Put/Call Pairs, which such physical settlement occurred July 17, 2026. The total net premium paid, in the aggregate, by the Reporting Person for the 39,046,658 Put/Call Pairs was $9,832,906.61 and the final strike price, on an aggregated and averaged basis, was $101.295333. The total consideration paid to acquire the 39,046,658 shares underlying the Put/Call Pairs was $3,965,077,113.19. The source of funds used by GameStop to physically settle such shares of Common Stock was cash from its working capital.\n\nNo portion of the purchase price for such shares of Common Stock was borrowed by the Reporting Person for the purpose of acquiring, holding, trading or voting any securities discussed in this Item 3.\n\nTo the knowledge of the Reporting Person, as of the filing of this Amendment No. 4, none of the executive officers or directors of the Reporting Person listed on Exhibit 99.3 have anything additional to disclose in response to this Item.\"", "item4_transaction_purpose": "Item 4 of the Original 13D is hereby supplemented as follows:\n\n\"Item 3 to Amendment No. 4 is hereby incorporated by reference.\n\nTo the knowledge of the Reporting Person, as of the filing of this Amendment No. 4, none of the executive officers or directors of the Reporting Person listed on Exhibit 99.3 have anything additional to disclose in response to this Item.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1065088/000119312526307988/0001193125-26-307988-index.html" }, { "accession_no": "0001185185-26-003007", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2123471, "issuer_name": "Columbus Circle Capital Corp III", "issuer_cusip": "G2296W101", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-07-10", "filed_date": "2026-07-17", "item3_funds_source": "The aggregate purchase price for the Ordinary Shares currently beneficially owned by the Reporting Persons was $2,675,000. The source of these funds was the working capital of the Sponsor.", "item4_transaction_purpose": "In connection with the organization of the Issuer, in July 2025, the Sponsor paid $25,000, or approximately $0.003 per share, to cover certain of the Issuer's offering costs in exchange for 7,666,667 Class B Ordinary Shares (the \"Founder Shares\") pursuant to the Securities Subscription Agreement dated as of July 11, 2025 between the Sponsor and the Issuer (the \"Founder Share Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D which information is incorporated herein by reference.\n\nOn July 8, 2026, simultaneously with the consummation of the Issuer's Initial Public Offering (the \"IPO\"), the Sponsor purchased 265,000 units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Units Purchase Agreement, dated as of July 8, 2026, by and between the Issuer and the Sponsor (the \"Placement Units Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference.\n\nEach Placement Unit consists of one Class A Ordinary Share and one-third of a warrant, with each whole warrant exercisable into one Class A ordinary share at an exercise price of $11.50, subject to adjustment, commencing 30 days following the consummation of the Issuer's initial business combination (as described more fully in the Issuer's Final Prospectus dated July 8, 2026).\n\nThe Ordinary Shares owned by the Reporting Persons have been acquired for investment purposes. The Reporting Persons may make further acquisitions of the Ordinary Shares from time to time and, subject to certain restrictions, may dispose of any or all of the Ordinary Shares held by the Reporting\n\nPersons at any time depending on an ongoing evaluation of the investment in such securities, prevailing market conditions, other investment opportunities and other factors. However, certain of such shares are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses.\n\nUnder various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed business combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2123471/000118518526003007/0001185185-26-003007-index.html" }, { "accession_no": "0001104659-26-084768", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1680367, "issuer_name": "Shattuck Labs, Inc.", "issuer_cusip": "82024L103", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-15", "filed_date": "2026-07-17", "item3_funds_source": "Item 3 of the Prior Schedule 13D is hereby amended and supplemented in its entirety by adding the following paragraphs after the last paragraph of Item 3:\n\nOn July 17, 2026, certain private investment funds managed by Redmile (the \"Redmile Funds\"), not including RBI II, utilized their working capital in an aggregate amount of approximately $1,000,000 to acquire 143,808 shares of the Issuer's Common Stock. The participating Redmile Funds purchased the shares in open market transactions at a price of approximately $7.46 per share.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1680367/000110465926084768/0001104659-26-084768-index.html" }, { "accession_no": "0001104659-26-084641", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1804176, "issuer_name": "Butterfly Network, Inc.", "issuer_cusip": "124155102", "securities_class_title": "Class A common stock, par value $0.0001 per share, Class B common stock, par value $0.0001 per share", "date_of_event": "2026-07-15", "filed_date": "2026-07-17", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1804176/000110465926084641/0001104659-26-084641-index.html" }, { "accession_no": "0001104659-26-084636", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1829635, "issuer_name": "TransCode Therapeutics, Inc.", "issuer_cusip": "89357L501", "securities_class_title": "Common Stock", "date_of_event": "2026-07-17", "filed_date": "2026-07-17", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended by adding the below disclosure following the last paragraph:\n\nOn July 17, 2026, DEFJ submitted an irrevocable conversion notice (the \"Conversion Notice\") to the Company providing that, contingent upon Company stockholder approval of Proposals 1 and 2 set forth in the Company's proxy statement filed with the SEC on June 2, 2026 for its 2026 annual meeting, DEFJ will, on the third business day following approval of Proposals 1 and 2, convert 21.6755 shares of Series B Preferred Stock into 216,755 shares of Common Stock, such that DEFJ will hold approximately 9.99% of the Company's outstanding Common Stock as of such date.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1829635/000110465926084636/0001104659-26-084636-index.html" }, { "accession_no": "0000897069-26-001520", "submission_type": "SCHEDULE 13D/A", "amendment_no": 28, "issuer_cik": 353184, "issuer_name": "AIR T INC", "issuer_cusip": "009207101", "securities_class_title": "Common Stock, par value of $0.25 per share", "date_of_event": "2026-07-15", "filed_date": "2026-07-17", "item3_funds_source": "The Common Stock of the Reporting Persons was acquired in open market purchases with working capital of AO Partners Fund and the personal investment capital of Mr. Swenson. The amount of funds expended to acquire the aggregate shares held by the Reporting Persons is $11,600,977.", "item4_transaction_purpose": "This amendment is being filed to reflect aggregate prior changes, none of which are individually material, resulting from reconciliation of the holdings to current records.\n\nThe AO Partners Group acquired shares of Common Stock because it believes that the Common Stock is undervalued. The AO Partners Group's intent is to influence the policies of the Issuer and assert shareholder rights, with a goal of maximizing the value of the Common Stock.\n\nThe Reporting Persons previously reported the transfer of shares of Common Stock to Groveland DST. This transfer was effected solely for tax and estate planning purposes, and for income tax purposes was a transfer between Mr. Swenson, individually, and an entity owned by Mr. Swenson.\n\nThe Reporting Persons may make further purchases of shares of Common Stock. The Reporting Persons may dispose of any or all the shares of Common Stock held by them.\n\nTo the extent the actions described herein may be deemed to constitute a \"control purpose\" with respect to the Securities Exchange Act of 1934, as amended, and the regulations thereunder, the Reporting Persons have such a purpose. Except as noted in this Amended and Restated schedule 13D, none of the Reporting Persons has any plans or proposals, which relate to, or would result in, any of the matters referred to in paragraphs (b) through J), inclusive of Item (4) of Schedule 13D. Such persons may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/353184/000089706926001520/0000897069-26-001520-index.html" }, { "accession_no": "0002093315-26-000015", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2069785, "issuer_name": "GLOO HOLDINGS, INC.", "issuer_cusip": "379598105", "securities_class_title": "Class A common stock, $0.001 par value per share", "date_of_event": "2026-07-09", "filed_date": "2026-07-16", "item3_funds_source": "These shares of Class A common stock were purchased with personal funds of the Reporting Person.", "item4_transaction_purpose": "The information set forth in Item 3 of this Schedule is incorporated herein by reference.\n\nThe Reporting Person purchased 1,076,923 shares of the Company's Class A common stock in the Company's underwritten public offering (the \"Offering\") at a public offering price of $3.25 per share and on the same terms as the other purchasers in the offering. The Offering closed on July 10, 2026. The Reporting Person purchased the shares of Class A common stock for investment purposes.\n\n(a) The Reporting Person at any time and from time to time may acquire additional shares of Class A common stock or dispose of any or all of the shares of Class A common stock that the Reporting Person owns depending upon an ongoing evaluation of his investment in the shares of Class A common stock, prevailing market conditions, other investment opportunities, other investment considerations or other factors.\n\n(b) - (j) Except as disclosed in this Schedule, the Reporting Person has no plans or proposals which relate to, or could result in, any matters referred to in paragraphs (b) through (j) inclusive of the instructions to Item 4 of Schedule 13D. The Reporting Person may, at any time and from time to time, review or reconsider his position or change his purpose or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2069785/000209331526000015/0002093315-26-000015-index.html" }, { "accession_no": "0001705446-26-000010", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1615165, "issuer_name": "VERITONE, INC.", "issuer_cusip": "92347M100", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-16", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1615165/000170544626000010/0001705446-26-000010-index.html" }, { "accession_no": "0001493152-26-033502", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1695473, "issuer_name": "Greater Cannabis Company, Inc.", "issuer_cusip": "000000000", "securities_class_title": "Series A and Series B Preferred Stock", "date_of_event": "2026-06-29", "filed_date": "2026-07-16", "item3_funds_source": "The Reporting Persons acquired the securities described herein pursuant to privately negotiated transactions contemplated by that certain Series A Share Purchase Agreement and that certain Series B Share Purchase Agreement, each dated June 29, 2026. The source and amount of the funds used to acquire such securities are more fully described in such agreements, which were filed as Exhibits 10.1 and 10.2 to the Issuer's Current Report on Form 8-K filed on July 7, 2026, and are incorporated herein by reference.", "item4_transaction_purpose": "This filing is submitted in connection with the purchase by Trafalgar Asset Management, LLC, a Delaware limited liability company owned and controlled by Porfirio Sanchez Talavera of a controlling interest in The Greater Cannabis Company, Inc., pursuant to which Trafalgar Asset Management, LLC purchased (i) 7,628,665 shares of Series A Preferred Stock; and (ii) 1,000 shares of Series B Preferred Stock from certain shareholders of The Greater Cannabis Company, Inc. representing an aggregate of 28,435,885 votes or 96.62% of the aggregate voting power of outstanding voting securities of The Greater Cannabis Company, Inc. In connection with the acquisition of control, Porfirio Sanchez Talavera was appointed Chief Executive Officer, Chairman of the Board, and a director of the Issuer. The former Chief Executive Officer resigned from all officer positions and agreed to remain as a member of the Board of Directors solely until the expiration of the ten-day period required by Rule 14f-1 under the Securities Exchange Act of 1934, after which his resignation as a director shall become effective. As a result of the Share Purchase, the Reporting Persons possess voting control of the Issuer and have the ability to determine the election of directors and substantially all matters requiring stockholder approval. The Rule 14f-1 waiting period relates solely to the effectiveness of Aitan Zacharin's resignation as a director and does not affect the Reporting Persons' ownership of the securities reported herein or their voting control of the Issuer.\n\nThe Reporting Persons intend to review the business, operations, capitalization and strategic opportunities of the Issuer on an ongoing basis and, consistent with such review, may propose or undertake transactions or actions relating to the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1695473/000149315226033502/0001493152-26-033502-index.html" }, { "accession_no": "0001437749-26-023739", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1004989, "issuer_name": "SPAR Group, Inc.", "issuer_cusip": "784933103", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-16", "item3_funds_source": null, "item4_transaction_purpose": "This Schedule 13D filing is occasioned solely by the Reporting Person's beneficial ownership of less than 5% of the presently outstanding shares of Common Stock of the Issuer as a result of the sale of the shares pursuant to a stock purchase agreement on July 1, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1004989/000143774926023739/0001437749-26-023739-index.html" }, { "accession_no": "0001213900-26-078511", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1603993, "issuer_name": "AIOS Tech Inc.", "issuer_cusip": "G6593L130", "securities_class_title": "Class A common shares, par value US$0.0001 per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-16", "item3_funds_source": "The information set forth in Item 4 and Item 5 of this Schedule 13D is incorporated herein by reference into this Item 3. The aggregate consideration for the acquisition of Class B Common Shares described in Item 5 was US$500. The transaction was funded by Guo Li with his personal funds. No part of the consideration was borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the Class B Common Shares.", "item4_transaction_purpose": "The information set forth in Item 5 of this Schedule 13D is incorporated herein by reference into this Item 4. The Reporting Persons' acquisition of beneficial ownership of the Class B Common Shares was effected pursuant to a strategic equity issuance by the Issuer (the \"Transaction\"). The Transaction closed on July 14, 2026, upon the issuance of the 5,000,000 Class B Common Shares to SPL. As a result of the Transaction, Mr. Guo Li, through SPL, holds approximately 99.4% of the aggregate voting power of the Issuer, which constitutes a change in control of the Issuer. Mr. Guo Li serves as a Director and Co-Chief Executive Officer of the Issuer. The purpose of the Transaction is to establish a stable governance and control structure during a critical period of strategic transformation, thereby enabling the Issuer to implement its long-term strategic initiatives. The Transaction forms an integral part of the Issuer's strategic transformation plan as it transitions from its traditional business operations to a focus on artificial intelligence and technology services. The Reporting Persons have agreed that, for a period of five years from the date of issuance on July 14, 2026, the Class B Common Shares may not be transferred, sold, or otherwise disposed of without prior approval of the board of directors of the Issuer (the \"Board\"). Each Reporting Person may, from time to time, evaluate its position with respect to the Issuer and may take such actions as it deems appropriate in furtherance of the Transaction and the Issuer's strategic objectives, including changing its current intentions with respect to any or all matters required to be disclosed in this Schedule 13D, depending on various factors, including but not limited to the Issuer's business, prospects, financial position and strategic direction, and general economic and industry conditions. Consistent with the Transaction's strategic purposes, the Reporting Persons may engage in communications with, without limitation, one or more shareholders of the Issuer, management of the Issuer or one or more members of the Board regarding the Issuer's operations, prospects, business and financial strategies, strategic direction and transactions, assets and liabilities, business and financing alternatives and such other matters as the Reporting Persons may deem relevant to the Transaction and the Issuer's long-term development. Except as set forth in this Item 4 or Item 6 below, the Reporting Persons have no present plans or proposals that relate to or that would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1603993/000121390026078511/0001213900-26-078511-index.html" }, { "accession_no": "0001193125-26-306298", "submission_type": "SCHEDULE 13D/A", "amendment_no": 31, "issuer_cik": 703604, "issuer_name": "Distribution Solutions Group, Inc.", "issuer_cusip": "520776105", "securities_class_title": "Common Stock, $1.00 par value", "date_of_event": "2026-07-15", "filed_date": "2026-07-16", "item3_funds_source": "The information set forth in Item 4 is incorporated by reference in response to this Item 3.", "item4_transaction_purpose": "Item 4 is hereby supplemented as follows:\n\nOn July 15, 2026, the Issuer entered into an Agreement and Plan of Merger (the \"Merger Agreement\") by and among Eclipse Parent Acquisitions, LLC, a Delaware limited liability company and a wholly owned subsidiary of HW4 (\"Parent\"), Eclipse Intermediate Acquisitions, LLC, a Delaware limited liability company and a wholly owned subsidiary of Parent (\"Intermediate\"), and Eclipse Acquisitions Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Intermediate (\"Merger Sub\"). The Merger Agreement provides that, upon the terms and subject to the conditions set forth therein, and in accordance with applicable law, Merger Sub will merge with and into the Issuer (the \"Merger\" and, together with the other transactions contemplated by the Merger Agreement, collectively, the \"Transactions\"), with the Issuer continuing as the surviving corporation, becoming a wholly owned subsidiary of Intermediate and an indirect wholly owned subsidiary of Parent. The Merger Agreement is attached hereto as Exhibit 1 and incorporated by reference herein.\n\nOn the date and at the time at which the Merger becomes effective (the \"Effective Time\"), by virtue of the Merger and without any action on the part of the Issuer, Parent, Intermediate, Merger Sub or the holders of any shares of Common Stock or any shares of capital stock of Merger Sub, each share of Common Stock issued and outstanding immediately prior to the Effective Time (other than (i) shares of Common Stock that are beneficially owned, directly or indirectly, by the Reporting Persons, (ii) shares of Common Stock held in treasury or by a wholly owned subsidiary of the Issuer, and (iii) shares of Common Stock held by stockholders who are entitled to and have properly exercised and not withdrawn appraisal rights under applicable law) will be automatically cancelled and converted into and shall thereafter represent only the right to receive an amount in cash per share equal to $35.00, without interest (the \"Merger Consideration\"). In addition, the Reporting Persons expect to contribute all of their respective shares of Common Stock issued and outstanding immediately prior to the Effective Time to Parent in exchange for limited liability company interests of Parent.\n\nIn connection with the Merger Agreement, HW4 delivered (i) a commitment letter (the \"Equity Commitment Letter\") to Parent, Intermediate and Merger Sub, confirming that, subject to the terms and conditions contained therein, it is committed to purchase, or cause one or more of its affiliates to purchase, directly or indirectly, equity securities of Parent up to an aggregate amount equal to $125,000,000 to fund a portion of the amounts payable in connection with the Transactions and (ii) a limited guarantee (the \"Limited Guarantee\") to the Issuer pursuant to which, subject to the terms and conditions contained therein, HW4 will guarantee Parent's obligations to pay the Reverse Termination Fee (as defined in the Merger Agreement), if and when due and payable under the Merger Agreement as well as certain other payment obligations of Parent, such amount to not exceed $30 million in the aggregate. The Equity Commitment Letter and the Limited Guarantee are attached hereto as Exhibit 2 and Exhibit 3, respectively, and are incorporated by reference herein.\n\nIn connection with the Merger Agreement, LKCM entered into a Voting and Support Agreement (the \"Voting Agreement\") with the Issuer, pursuant to which LKCM agreed, subject to the terms and conditions contained therein, to vote (or cause to be voted) all shares of Common Stock beneficially owned by the Reporting Persons (i) in favor of the adoption of the Merger Agreement and the approval of the Merger and the other Transactions and (ii) against any alternative acquisition proposal and against any action or agreement that would reasonably be expected to impede, delay or prevent consummation of the Merger. Under the Voting Agreement, LKCM also agreed to waive any appraisal rights under applicable law with respect to the shares of Common Stock held by the Reporting Persons in connection with the Merger. The Voting Agreement is attached hereto as Exhibit 4 and incorporated by reference herein.\n\nConsummation of the Merger is subject to customary closing conditions, including, among others: (i) adoption of the Merger Agreement by the affirmative vote of the holders of a majority of the outstanding shares of Common Stock entitled to vote thereon; (ii) approval of the Transactions by the affirmative vote of a majority of the votes cast by the Issuer's disinterested stockholders (as such term as defined under applicable law) of the Issuer in respect of the Transactions, which shall not include the Reporting Persons and other persons as identified in the Merger Agreement; (iii) the expiration or termination of the waiting period applicable to the Merger under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended; (iv) the absence of any law or order that enjoins, restrains or otherwise prohibits or makes illegal the Merger; (v) no Material Adverse Effect (as defined in the Merger Agreement) having occurred since the date of the Merger Agreement; and (vi) other customary conditions, including the accuracy of the parties' respective representations and warranties (subject to customary materiality qualifiers) and material compliance with covenants as set forth in the Merger Agreement. The Merger Agreement may be terminated by either party if the Merger has not been consummated on or before December 31, 2026, subject to certain limitations and potential extensions as set forth in the Merger Agreement.\n\nThe foregoing descriptions of the Merger Agreement, the Equity Commitment Letter, the Limited Guarantee and the Voting Agreement are qualified in their entirety by reference to the agreements and documents incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/703604/000119312526306298/0001193125-26-306298-index.html" }, { "accession_no": "0001193125-26-306071", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2119322, "issuer_name": "Digimarc Corporation", "issuer_cusip": "25382K100", "securities_class_title": "Common Stock, $0.001 Par Value", "date_of_event": "2026-07-15", "filed_date": "2026-07-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is amended by deleting the last sentence of Item 4 from amendment number 1 to this Schedule 13D and adding the following:\n\nIn light of public announcements and filings with the Securities and Exchange Commission by the Issuer and its affiliates, the Reporting Persons have engaged in, and may continue to engage in, communications with members of the Board of Directors (the \"Board\") and management of the Issuer regarding: (1) the composition of the Board, including the potential appointment of designees of the Reporting Persons to the Board and the resignation of certain legacy directors, (2) the Issuer's capital structure and potential financing alternatives in an effort to address the Issuer's recent going concern disclosure, including the Reporting Persons proposing or participating in a financing transaction involving the Issuer, and (3) a range of other issues, including those relating to the business and strategy of the Issuer, corporate governance, management, operations, capital structure and allocation, financial and operational performance, mergers and acquisitions strategy, and executive compensation. The Reporting Persons may take such other steps in furtherance of such objective as they may deem appropriate, including, engaging in discussions with other stockholders, Board members, management, or other persons regarding the foregoing.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2119322/000119312526306071/0001193125-26-306071-index.html" }, { "accession_no": "0001193125-26-305785", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1345126, "issuer_name": "COMPASS DIVERSIFIED HOLDINGS", "issuer_cusip": "20451Q104", "securities_class_title": "Shares representing beneficial interests in Compass Diversified Holdings", "date_of_event": "2026-07-16", "filed_date": "2026-07-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\n\"On July 16, 2026, ADW Capital Partners, L.P. delivered an open letter to the Issuer's board of directors (the \"July Letter\"). In the July Letter, ADW Capital Partners, L.P. called for the Issuer to immediately commence a strategic review process and orderly liquidation of the Issuer to preserve value for shareholders. The July Letter included ADW Capital Partners, L.P.'s financial analysis that the Issuer could achieve value in excess of $50 to $60 dollars per share through a sequencing of asset sales to streamline the Issuer in addition to share repurchases. The foregoing description of the July Letter is qualified in its entirety by the full text of the July Letter, which is attached hereto as Exhibit 99.4 and incorporated herein by reference.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1345126/000119312526305785/0001193125-26-305785-index.html" }, { "accession_no": "0001170549-26-000002", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1649739, "issuer_name": "BayFirst Financial Corp.", "issuer_cusip": "07279B104", "securities_class_title": "Common Stock", "date_of_event": "2026-07-14", "filed_date": "2026-07-16", "item3_funds_source": "Mr. Lehman acquired the shares upon the exchange of 4,000 shares of the Company's Mandatorily Convertible Cumulative Perpetual Preferred Stock, Series E, pursuant to the Exchange Agreement (Exhibit 99.3 hereto). He acquired those shares on April 28, 2026, with his personal and Roth IRA funds.", "item4_transaction_purpose": "Mr. Lehman acquired his shares because he believes they represent a prudent investment. Mr. Lehman intends to join the board of directors of the Company and its subsidiary, BayFirst National Bank.\n\nMr. Lehman intends to review continuously his investment in the Company, including the Company's business, financial condition, results of operations, capital structure, management, competitive position, and prospects, as well as general economic, financial market, and industry conditions. Depending on such review and on other factors, including the market price of the Common Stock, conditions in the securities markets generally, general economic and industry conditions, Mr. Lehman's financial condition and investment considerations, and other factors Mr. Lehman deems relevant, Mr. Lehman may, from time to time and at any time, in the open market, in privately negotiated transactions, or otherwise: (i) acquire additional shares of Common Stock or other securities of the Company, including pursuant to the gross-up rights described in Item 6 below; (ii) dispose of all or a portion of the shares of Common Stock or other securities of the Company that he now holds or may hereafter acquire; (iii) engage\nin discussions with the Company's management, board of directors, other stockholders, or other parties concerning the business, operations, governance, management, strategy, or capital structure of the Company; or (iv) take any other action with respect to the Company or any of its securities in any manner permitted by law.\n\nExcept as described in this Schedule 13D, Mr. Lehman does not currently have any plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. Mr. Lehman reserves the right to change his plans and intentions at any time, as he deems appropriate, and to take any and all actions that he deems appropriate to maximize the value of his investment. There can be no assurance that Mr. Lehman will take any of the actions described above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649739/000117054926000002/0001170549-26-000002-index.html" }, { "accession_no": "0001104659-26-084327", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1603454, "issuer_name": "Celcuity Inc.", "issuer_cusip": "15102K100", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of this Amendment No. 2 is supplemented and amended, as the case may be, as follows:\n\nThe disclosures in Item 5 below are incorporated herein by reference.\n\nThis Amendment No. 2 is being filed to report the sale of shares of the common stock (\"Common Stock\") of Celcuity Inc. (the \"Issuer\") reported in Item 5(c) that resulted in a more than 1% change in beneficial ownership. The disclosure regarding the sales in Item 5(c) below is incorporated herein by reference. Additionally, on July 14, 2026, the Adviser on behalf of the Funds submitted written notice to the Issuer to set the beneficial ownership limitation (the \"Maximum Percentage\") with respect to 481,437 and 5,666,350 prefunded warrants to purchase Common Stock at an exercise price of $0.001 per share (the \"$0.001 Prefunded Warrants\") held by 667 and Life Sciences, respectively, at 9.99%, effective immediately.\n\nThe Funds hold securities of the Issuer for investment purposes. The Reporting Persons or their affiliates may purchase additional securities or dispose of securities in varying amounts and at varying times depending upon the Reporting Persons' continuing assessments of pertinent factors, including the availability of shares of Common Stock or other securities for purchase at particular price levels, the business prospects of the Issuer, other business investment opportunities, economic conditions, stock market conditions, money market conditions, the attitudes and actions of the board of directors and management of the Issuer, the availability and nature of opportunities to dispose of securities of the Issuer and other plans and requirements of the particular entities.\n\nDepending upon their assessments of the above factors, the Reporting Persons may acquire additional securities of the Issuer, including shares of Common Stock (by means of open market purchases, privately negotiated purchases, exercise of $0.001 Prefunded Warrants, conversion of 2.75% Convertible Notes (as defined in Item 5) or otherwise) or dispose of some or all of the securities of the Issuer, including shares of Common Stock, under their control.\n\nAs a result of the dispositions of Common Stock reported in Item 5(c) and the setting of the Maximum Percentage at 9.99% described above, the Reporting Persons beneficially own less than 10% of the outstanding Common Stock, are not affiliates of the Issuer, and hold the securities of the Issuer for investment purposes and not with the purpose or effect of changing or influencing control of the Issuer. Accordingly, the Reporting Persons are eligible to report their beneficial ownership of the Common Stock on Schedule 13G and intend to report on Schedule 13G in future filings, subject to the applicable requirements of Rule 13d-1.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1603454/000110465926084327/0001104659-26-084327-index.html" }, { "accession_no": "0001104659-26-084244", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1534248, "issuer_name": "Chemomab Therapeutics Ltd.", "issuer_cusip": "16385C203", "securities_class_title": "Ordinary shares, no par value per share", "date_of_event": "2026-07-09", "filed_date": "2026-07-16", "item3_funds_source": "On July 25, 2024, Chemomab Therapeutics Ltd. (the \"Issuer\") entered into a Securities Purchase Agreement (the \"Purchase Agreement\") with certain investors, including HBM (the \"Purchasers\"), pursuant to which the Issuer agreed to sell to certain investors ADSs, each representing twenty (20) Ordinary Shares at that time, at a purchase price of $1.235 per ADS; and (ii) in lieu of additional ADSs, pre-funded warrants (the \"Pre-Funded Warrants\") to purchase ADSs at a price per Pre-Funded Warrant of $1.235 (together, the \"Private Placement\"). The Pre-Funded Warrants have an exercise price of $0.0001 per ADS, were immediately exercisable, and remain exercisable until exercised in full. The exercise of the Pre-Funded Warrants was subject to a beneficial ownership limitation (the \"Blocker\") of 4.99% or 9.99%, at the holder's option, of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of Ordinary Shares underlying the ADSs issuable upon exercise of the Pre-Funded Warrants. A holder of Pre-Funded Warrants could increase its Blocker to 9.99% upon written notice to the Issuer, provided that any such increase in the Blocker would not be effective until the 61st day after such notice is delivered to the Issuer. The Pre-Funded Warrants could be modified or amended or the provisions waived only with the written consent of the Issuer and the holders of outstanding Pre-Funded Warrants entitling such holders to a majority of the Pre-Funded Warrant ADSs.\n\nIn connection with the Private Placement, HBM purchased 910,000 ADSs (equal to 18,200,000 Ordinary Shares) and Pre-Funded Warrants to purchase up to 3,138,583 ADSs (equal to 62,771,660 Ordinary Shares), at an aggregate purchase price of approximately $5 million. The source of funds used to acquire the ADSs and Pre-Funded Warrants was HBM's working capital. HBM elected a 4.99% Blocker for the Pre-Funded Warrants it acquired in connection with the Private Placement.\n\nOn August 26, 2025, the Issuer effected a 1-for-4 reverse stock split (the \"Reverse Stock Split\"). As a result of the Reverse Stock Split, the ratio of ADSs to underlying Ordinary Shares changed from one ADS representing twenty (20) Ordinary Shares to one ADS representing eighty (80) Ordinary Shares. Consequently, following the Reverse Stock Split, HBM owned 227,500 ADSs and Pre-Funded Warrants to purchase up to 784,646 ADSs, subject to the 4.99% Blocker.\n\nThe foregoing descriptions of the Purchase Agreement and Pre-Funded Warrants do not purport to be complete and are qualified in their entirety by reference to the full text of the Purchase Agreement and Pre-Funded Warrants, a copy of each of which is attached as an exhibit to this Schedule 13D and is incorporated herein by reference.", "item4_transaction_purpose": "The responses to Item 3 and Item 6 of this Schedule 13D are incorporated herein by reference.\n\nOn July 7, 2026, the Issuer, Scipher Medicine Corporation, a Delaware corporation (\"Scipher\"), Snowdrift Parent Corporation, a Delaware corporation (\"Chemomab Parent\"), Snowdrift Sub Corp., a Delaware corporation and a wholly owned subsidiary of Chemomab Parent (the \"Merger Sub\"), and Elderwood Ltd., an Israeli company and a wholly owned subsidiary of Chemomab Parent (the \"Domestication Merger Sub\") entered into an Agreement and Plan of Merger (the \"Merger Agreement\"), pursuant to which, among other things, the parties will effect a series of transactions resulting in the Issuer redomiciling into the U.S. and Scipher becoming a wholly owned subsidiary of the Issuer following such domestication (the \"Merger\", and the time at which the Merger becomes effective, the \"Effective Time\").\n\nThe Merger is expected to be completed in the fourth calendar quarter of 2026, and if it is completed, the business of Scipher will combine with the business of the Issuer in Chemobab Parent (collectively, the \"Combined Company\"), and the parties expect the common stock of the Combined Company to be listed on the Nasdaq Capital Market under the ticker symbol \"SCIP.\" Following the completion of the Merger, Chemomab Parent will change its name to \"Scipher Medicine Corporation.\" Immediately following the closing of the Merger (the \"Closing\"), holders of the Issuer's Ordinary Shares represented by ADSs and vested options to acquire Ordinary Shares represented by ADSs will be entitled to receive contingent value rights (\"CVRs\"), providing the opportunity to receive additional value upon the achievement of certain specified milestones related to the Issuer's legacy asset, nebokitug, subject to the terms and conditions of the CVR agreement. Specifically, holders of the Issuer's ADSs will receive one CVR per Ordinary Share (including Ordinary Shares underlying ADSs) of a $10 million milestone payment upon approval by the U.S. Food and Drug Administration of nebokitug in treating rheumatoid arthritis, and a $40 million milestone payment if the Issuer's Primary Sclerosing Cholangitis program advances to a Phase III Clinical Trial (as defined in the CVR Agreement).\n\nConcurrently with the execution of the Merger Agreement, HBM entered into a Shareholder Support Agreement (the \"Shareholder Support Agreement\") with Scipher, pursuant to which HBM agreed to vote all of its Ordinary Shares - including those represented by ADSs held directly by HBM, and those represented by ADSs that HBM has the right to acquire upon exercise of its Pre-Funded Warrants (collectively, \"Covered Shares\") - in favor of the Merger Agreement and the Contemplated Transactions (as defined in the Shareholder Support Agreement) and against any competing proposal. Additionally, HBM agreed not to transfer any of its Covered Shares, or beneficial ownership thereof or any other interest therein, during the term of the Shareholder Support Agreement. The foregoing description of the Shareholder Support Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Shareholder Support Agreement, a copy of which is attached as an exhibit to this Schedule 13D and is incorporated herein by reference.\n\nIn anticipation of the execution of the Merger Agreement and Shareholder Support Agreement, the Issuer requested a waiver of the 9.99% ceiling on the Blocker in the Pre-Funded Warrants held by HBM, to which HBM, as the sole holder of the Pre-Funded Warrants, consented on June 29, 2026.\n\nSubsequent to the execution of the Merger Agreement, on July 8, 2026, HBM sent formal notice to the Issuer of its intent to increase the Blocker on the Pre-Funded Warrants from 4.99% to 19.99%, which increase shall be effective on September 7, 2026, the 61st day after notice was delivered to the Issuer, in accordance with the terms of the Pre-Funded Warrants. Accordingly, effective July 9, 2026, HBM has the right to acquire, within 60 days, all of the Ordinary Shares represented by ADSs underlying its Pre-Funded Warrants, and is therefore filing this Schedule 13D to report its more-than-5% beneficial ownership of the Ordinary Shares.\n\nThe Reporting Person intends to exercise its Pre-Funded Warrants, after they become exercisable in full on September 7, 2026, in order to effectuate its voting obligations under the Shareholder Support Agreement. The Reporting Person intends to exercise the Pre-Funded Warrants on a cashless basis, in order to provide for the tacking of the holding period for the Ordinary Shares under Rule 144 under the Securities Act of 1933, as amended.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1534248/000110465926084244/0001104659-26-084244-index.html" }, { "accession_no": "0001072613-26-000587", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1162027, "issuer_name": "ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND INC", "issuer_cusip": "01864U106", "securities_class_title": "Common Shares", "date_of_event": "2026-07-15", "filed_date": "2026-07-16", "item3_funds_source": "Karpus an independent registered investment advisor, has accumulated 3,609,635 Shares on behalf of accounts managed by Karpus (the \"Accounts\") under limited powers of attorney. All funds that have been utilized in making such purchases for the Accounts (which are open market purchases unless otherwise noted) are from such Accounts.\n\nThe aggregate purchase price of the 3,609,635 Shares beneficially owned by Karpus is approximately $39,329,160.76, excluding brokerage commissions. The Shares purchased by Karpus with working capital (which may at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases except as otherwise noted herein.", "item4_transaction_purpose": "Securities were acquired for investment purposes and Karpus does not currently have any plans or proposals relating to the matters listed in Item 4(a)-(j).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1162027/000107261326000587/0001072613-26-000587-index.html" }, { "accession_no": "0000927089-26-000122", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1901637, "issuer_name": "USCB FINANCIAL HOLDINGS, INC.", "issuer_cusip": "90355N101", "securities_class_title": "Class A Common Stock, Par Value $1.00 Per Share", "date_of_event": "2026-07-15", "filed_date": "2026-07-16", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1901637/000092708926000122/0000927089-26-000122-index.html" }, { "accession_no": "0000921895-26-001822", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 791908, "issuer_name": "XOMA Royalty Corp", "issuer_cusip": "98419J206", "securities_class_title": "Common Stock, $0.0075 par value", "date_of_event": "2026-07-14", "filed_date": "2026-07-16", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nAs described in Items 4 and 5 below, the Reporting Persons no longer beneficially own any Shares.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn July 14, 2026, the Issuer consummated the Merger with Ligand Pharmaceuticals Incorporated (\"Parent\") in accordance with the terms of that certain Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the \"Merger Agreement\"). Pursuant to the Merger Agreement, Flex Merger Sub, Inc., a wholly owned subsidiary of Parent merged with and into XOMA Royalty Holdings Corporation (\"HoldCo\") (the \"Merger\"), with HoldCo surviving the Merger as a wholly owned subsidiary of Parent and the Issuer effected the Holding Company Reorganization (as defined in the Merger Agreement) and the Merger. Pursuant to the Merger Agreement and various other transactions, each Share was automatically converted into the right to receive (i) $39.00 per Share in cash, plus (ii) an amount of contingent value rights representing a right to receive potential cash payments.\n\nAccordingly, the Reporting Persons ceased to beneficially own any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/791908/000092189526001822/0000921895-26-001822-index.html" }, { "accession_no": "0000919574-26-004450", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1766478, "issuer_name": "Angel Oak Mortgage REIT, Inc.", "issuer_cusip": "03464Y108", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-16", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1766478/000091957426004450/0000919574-26-004450-index.html" }, { "accession_no": "0000902664-26-003126", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1854270, "issuer_name": "Senti Biosciences Holdings, Inc.", "issuer_cusip": "816944102", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-16", "item3_funds_source": "On July 14, 2026, Senti Biosciences Holdings, Inc. (the \"Issuer\"), Senti Holdings, Inc. (\"Midco\"), Senti Biosciences, Inc. (\"Opco\"), Celadon Partners SPV 35 Limited (\"Parent\"), and Senti Merger Sub, Inc. (\"Merger Sub\") entered into an Agreement and Plan of Merger (the \"Merger Agreement\"). Parent is an exempted company incorporated under the laws of the Cayman Islands and is an entity affiliated with Celadon Partners SPV 24.\n\nPursuant to the Merger Agreement, Merger Sub will merge with and into Midco (the \"Merger\"), with Midco surviving as a wholly owned subsidiary of Parent. At the effective time of the Merger, each outstanding share of Midco common stock (other than shares owned by Midco or its subsidiaries, which will be cancelled) will be cancelled and converted into the right to receive contingent value rights (\"CVRs\") representing the right to receive pro rata portions of milestone payments of up to $60 million in the aggregate if certain development, regulatory and commercial milestones for SENTI-202 are achieved.\n\nPursuant to the Merger Agreement, no later than twenty-one (21) days from the date of the Merger Agreement, Parent or an affiliate of Parent is required to fund and purchase Additional Notes (as defined in the Securities Purchase Agreement) in accordance with the terms of the Securities Purchase Agreement, in an amount equal to $6,000,000 (the \"Additional Funding Amount\"), minus the aggregate amount of net proceeds actually received by the Issuer from sales of the Issuer's common stock pursuant to the Issuer's existing at-the-market offering facility with Leerink Partners LLC (the \"ATM Facility\"). Parent has the right, in its sole discretion, to first direct the Issuer to sell shares of common stock pursuant to the ATM Facility, and net proceeds received will reduce, dollar-for-dollar, the Additional Funding Amount.\n\nThe foregoing description of the Merger Agreement is qualified in its entirety by reference to the Merger Agreement, a copy of which is filed as Exhibit H hereto and is incorporated by reference in this Item 3.", "item4_transaction_purpose": "The Reporting Persons and their affiliates entered into the Merger Agreement for the purpose of acquiring the Issuer's assets relating to its Gene-Circuit-enabled pipeline, including the rights to SENTI-202, through the Merger. Following the Merger, the Issuer is expected to remain a public company with a streamlined operating structure, retaining certain intellectual property, collaborations and early-stage programs focused on its Regulator Dial(TM) technology platform while the remaining business is expected to merge into Parent's subsidiary.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1854270/000090266426003126/0000902664-26-003126-index.html" }, { "accession_no": "0001213900-26-078374", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1720592, "issuer_name": "Repay Holdings Corporation", "issuer_cusip": "76029L100", "securities_class_title": "Class A Common Stock, par value $0.0001", "date_of_event": "2026-07-13", "filed_date": "2026-07-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1720592/000121390026078374/0001213900-26-078374-index.html" }, { "accession_no": "0001193125-26-304838", "submission_type": "SCHEDULE 13D/A", "amendment_no": 81, "issuer_cik": 1067983, "issuer_name": "Berkshire Hathaway Inc.", "issuer_cusip": "084670108", "securities_class_title": "Class A Common Stock, Par Value $5.00 per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1067983/000119312526304838/0001193125-26-304838-index.html" }, { "accession_no": "0001193125-26-304251", "submission_type": "SCHEDULE 13D/A", "amendment_no": 23, "issuer_cik": 895421, "issuer_name": "MORGAN STANLEY", "issuer_cusip": "617446448", "securities_class_title": "Common Stock, par value $0.01 per Share", "date_of_event": "2026-07-15", "filed_date": "2026-07-15", "item3_funds_source": "The last paragraph of Item 3 of the Schedule 13D is amended and restated as follows:\n\nIn addition to the 377,085,167 shares of Common Stock held by MUFG directly, as of July 7, 2026, certain affiliates of MUFG held in the aggregate 3,425,951 shares of Common Stock (the \"Managed Shares\") solely in a fiduciary capacity as the trustee of trust accounts or as the manager of investment funds, other investment vehicles and managed accounts. MUFG disclaims beneficial ownership of the Managed Shares, and the inclusion of the Managed Shares in this Amendment shall not be construed as an admission that MUFG is, for purposes of Sections 13(d) or 13(g) of the Act, the beneficial owner of such shares.", "item4_transaction_purpose": "On April 18, 2018, MUFG entered into a sales plan (the \"Plan\") with the Company and Morgan Stanley & Co. LLC (\"MS & Co.\") to sell shares of Common Stock to the Company, through its agent MS & Co., as part of the Company's share repurchase program. The Plan was filed as Exhibit 20 to the thirteenth amendment to the Schedule 13D.\n\nOn December 10, 2020, the Company provided written notice to MUFG pursuant to Paragraph F.2(i) of the Plan to suspend the Plan effective immediately.\n\nOn July 15, 2026, MUFG provided written notice to the Company that Sales (as defined in the Plan) shall resume with July 30, 2026 as the first Sale Day.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/895421/000119312526304251/0001193125-26-304251-index.html" }, { "accession_no": "0001104659-26-083957", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1722606, "issuer_name": "Metalla Royalty & Streaming Ltd.", "issuer_cusip": "59124U605", "securities_class_title": "Common Shares, without par value", "date_of_event": "2026-07-13", "filed_date": "2026-07-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1722606/000110465926083957/0001104659-26-083957-index.html" }, { "accession_no": "0001104659-26-083931", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1716166, "issuer_name": "Vivos Therapeutics, Inc.", "issuer_cusip": "92859E207", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-15", "item3_funds_source": "Available net assets were used to purchase the shares referred to in Item 4 of this Schedule 13D. The total amount of the funds used to make the purchases was $1,600,000 (the \"Subscription Amount\"). The Subscription Amount included the conversion and satisfaction in full of $1,100,000 pursuant to a Convertible Promissory Note, dated May 7, 2026, between the Issuer and V-Co 4 (the \"Convertible Promissory Note\"). The Convertible Promissory Note included an original issue discount of $100,000.", "item4_transaction_purpose": "The Reporting Person's purpose of acquiring these securities is for investment purposes. The Reporting Person intends to engage, or has engaged, in discussions with the Issuer and its management and/or board of directors regarding the Issuer's financial performance, strategic direction, operational matters, and corporate governance practices. On June 30, 2026, the Issuer and V-Co 4 entered into a Securities Purchase Agreement where the Issuer sold to V-Co 4 in a private placement: (i) 2,749,330 shares of Series A Convertible Preferred Stock (\"Convertible Preferred Stock\"), and (ii) a Common Stock Purchase Warrant (\"Common Stock Warrant\") to purchase up to 2,749,330 shares of Common Stock (\"Warrant Shares\"). In compliance with the listing rules of the Nasdaq Stock Market LLC, V-Co 4 purchased the Shares at a purchase price of $0.582 per share. The Common Stock Warrant is immediately exercisable with a five-year term from the date of purchase and has an exercise price of $0.456 per share. V-Co 4 is prohibited from converting such Convertible Preferred Stock and exercising such Common Stock Warrants if it results in V-Co 4 or its affiliates owning in excess of 19.99% of the then outstanding Common Stock of the Issuer. Accordingly, for purposes of this Schedule 13D, only 86,979 of the shares of Common Stock underlying the Convertible Preferred Stock and Common Stock Warrant purchased by V-Co 4 in the private placement are deemed to be beneficially owned by V-Co 4.\n\nSee Item 5 for a description of all of the securities that the Reporting Persons may acquire upon conversion or exercise of such securities, without regard to the beneficial ownership limitations described herein.\n\nOther than as described above, the Reporting Persons do not have any current plans or proposals which relate to, or would result in, (a) any acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) any extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;(c) any sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the Issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940; (g) any change in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to section 12(g)(4) of the Act; or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1716166/000110465926083931/0001104659-26-083931-index.html" }, { "accession_no": "0001104659-26-083783", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1499780, "issuer_name": "GLOBUS MARITIME LTD", "issuer_cusip": "Y27265126", "securities_class_title": "Common Shares, par value $0.004 per share", "date_of_event": "2026-07-13", "filed_date": "2026-07-15", "item3_funds_source": "Firment Shipping currently owns an aggregate of 6,578,633 Common Shares, all of which were purchased using the personal funds of Mr. Feidakis. Since the filing of Amendment No. 10, Firment Shipping purchased an aggregate of 221,166 Common Shares for a total purchase price of $602,887. Unless noted above, no part of the purchase price for such Common Shares was borrowed by any Reporting Person for the purpose of acquiring, holding, trading or voting any securities discussed in this Item 3.", "item4_transaction_purpose": "The information set forth in Item 3 and Item 6 is hereby incorporated herein by reference.\n\nMr. Feidakis is a director of the Issuer, and therefore may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Any future decision of Mr. Feidakis to take any such actions with respect to the Issuer or its securities will take into account various factors, including the prospects of the Issuer, general market and economic conditions and other factors deemed relevant.\n\nThe Reporting Persons acquired the Common Shares, as described herein, for investment purposes, and to potentially acquire more Common Shares or dispose of them.\n\nDepending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Common Shares at prices that would make the purchase of additional Common Shares desirable, the Reporting Persons may endeavor to increase their position in the Issuer through, among other things, the purchase of Common Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable. The Reporting Persons further reserve the right to act in concert with any other shareholders of the Issuer, or other persons, for a common purpose should they determine to do so, and/or to recommend courses of action to the Issuer's management, the Issuer's board of directors, the Issuer's shareholders and others.\n\nMr. Feidakis regularly has discussions with officers of the Issuer, board members of the Issuer, and shareholders of the Issuer, which discussions from time to time relate to management, governance and board composition, the Issuer's operations and financial condition or strategic transactions.\n\nNo Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon completion of any of the actions discussed above.\n\nNotwithstanding the foregoing, the Reporting Persons may determine to change their intentions with respect to the Issuer at any time in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1499780/000110465926083783/0001104659-26-083783-index.html" }, { "accession_no": "0000950103-26-010634", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1597672, "issuer_name": "RAYONIER ADVANCED MATERIALS INC.", "issuer_cusip": "75508B104", "securities_class_title": "Common stock, par value $0.01 per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-15", "item3_funds_source": "The Reporting Persons used approximately $25,440,275.04 (excluding brokerage commissions) in the aggregate to purchase the shares of Common Stock reported in this Schedule 13D (the \"Shares\").\n\nThe source of the funds used to acquire the Shares is the working capital of Lightship and funds drawn from its existing credit facility.", "item4_transaction_purpose": "Item 4 of the Initial Statement is hereby amended and restated as follows:\n\nOn April 20, 2026, the Issuer announced that it is engaged in a formal process to explore strategic alternatives to maximize shareholder value. In connection therewith, the Reporting Persons entered into a standard confidentiality agreement with the Issuer, which includes customary \"standstill\" and other customary non-disclosure and non-use provisions. In this regard, if the Reporting Persons (or any of their affiliates) are invited to further participate in the strategic review process by the Issuer or the Board of Directors of the Issuer (the \"Board\") (or any committee thereof) or any of their respective representatives or advisors, the Reporting Persons expect that they (or one or more of their affiliates) are likely to do some or all of the following depending on how the process were to develop:\n\n-conduct due diligence on the Issuer and its subsidiaries;\n-subject to further due diligence and applicable internal approvals, submit one or more non-binding proposals (any such proposal, a \"Proposal\") to the Board (or any committee thereof) with respect to the acquisition of some or all of the Issuer's assets or shares or other transaction involving the Issuer, on terms and conditions to be set forth in any such proposal (any such transaction, a \"Proposed Transaction\");\n-enter into discussions and negotiations with the Issuer and/or the Board (or any committee thereof), management of the Issuer and representatives and advisors of the foregoing with respect to any such Proposal(s) and any Proposed Transaction; and/or\n-enter into certain customary agreements (including engagement letters with financial advisors, financing sources or other consultants or advisors) relating to any such discussions.\n\nIf the Reporting Persons (or one or more affiliates thereof) were to take any or more of the foregoing actions, they would be doing so pursuant to a process that is being managed and directed by the Board (and/or a committee thereof) and its representatives and advisors and the Reporting Persons are therefore putting the market on notice that they do not intend to amend this Schedule 13D if and when any such actions are taken pursuant to such process unless and until a definitive agreement has been reached with respect to a Proposed Transaction, or unless the Reporting Persons determine that such disclosure is otherwise required under applicable U.S. securities laws.\n\nThe submission of a Proposal does not obligate in any way the Reporting Persons or the Issuer to negotiate or enter into definitive transaction documentation with respect to a transaction or otherwise complete a Proposed Transaction, and a binding commitment with respect to a Proposed Transaction will result only from the execution and delivery of definitive transaction documentation. Any definitive transaction documentation entered into in connection with a Proposed Transaction is likely to be subject to customary closing conditions. The Reporting Persons make no assurances that any definitive transaction agreement will be entered into with respect to a Proposed Transaction contemplated by a Proposal, or that a Proposed Transaction will be consummated even if the Issuer accepts any such Proposal and make no assurances as to the terms of any such transaction if one were to be consummated.\n\nNeither any Proposal nor this Amendment No. 1 is meant to be, nor should be construed as, an offer to buy or a solicitation of an offer to sell any of the Issuer's securities.\n\nIf a Proposed Transaction is consummated, one or more of the transactions, events or actions specified in clauses (a) through (j) to the instructions of Item 4 of Schedule 13D may result, including, without limitation, an acquisition of additional securities of the Issuer, an extraordinary corporate transaction (such as a merger) involving the Issuer, other material changes in the Issuer's business or corporate structure, and the shares of the Common Stock would become eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act and would be delisted from the New York Stock Exchange.\n\nIf a Proposed Transaction or similar transaction by unrelated parties is not consummated, the Reporting Persons may, at any time and from time to time, review, reconsider and/or change their position or purpose or formulate different plans or proposals with respect thereto. At any time and from time to time, the Reporting Persons may, in connection with monitoring and evaluating their investment in the Issuer, and after giving consideration to, among other things, any communications about the Issuer, market conditions, contractual restrictions, legal restrictions, the status of the review of strategic alternatives by the Board and/or other conditions, formulate a plan, proposal or other course of action which may relate to or result in, among other things and without limitation: (i) the purchase of additional or all shares of Common Stock, options or related derivatives in the open market, in privately negotiated transactions or otherwise; (ii) the sale of all or a portion of the shares of Common Stock, options or related derivatives now beneficially owned or hereafter acquired by them; (iii) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; or (iv) any of the other matters referred to in the instructions to Item 4 of Schedule 13D. Any action taken by the Reporting Persons may be effected at any time and from time to time, subject to applicable limitations imposed by applicable law and any contractual limitations then applicable to the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1597672/000095010326010634/0000950103-26-010634-index.html" }, { "accession_no": "0001989386-26-000008", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1665300, "issuer_name": "Phunware, Inc.", "issuer_cusip": "71948P209", "securities_class_title": "Common Stock", "date_of_event": "2026-07-09", "filed_date": "2026-07-14", "item3_funds_source": "All of the Shares to which this Schedule 13D relates were purchased in open market on behalf of the Reporting Persons using the working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) o f the respective Reporting Person. The aggregate amount of funds used for the purchase of the securities reported herein was ap proximately USD $2,690,523.00, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Person acquired the shares of Common Stock reported herein for investment purposes.\n\nThe Reporting Person intends to engage in discussions with the Company's board of directors and management regarding a range of matters, including, but not limited to, the Company's governance, capital allocation, strategic direction, and overall performance.\n\nIn furtherance of the foregoing, the Reporting Person has recently initiated contact with members of the Company's board of directors to seek constructive dialogue and to improve the Company's governance, including through potential board representation.\n\nOn July 9, 2026, the Reporting Person sent an Open Letter to the Board of Phunware setting forth the Reporting Person's views regarding corporate governance, shareholder representation, capital allocation and Board accountability.\n\nThe Reporting Person believes that the Company's governance practices have materially contributed to prolonged operating losses, shareholder dilution, leadership instability and declining shareholder confidence.\n\nBased on the Company's operating and governance record during Mr Elliot Han's tenure as Chair, the Reporting Person has significant concerns regarding the Board's oversight, governance practices and capital allocation discipline.\n\nThe Reporting Person also has concerns regarding the high compensation levels paid to each member of the Board. Based on the Company's public filings, Mr Han's cumulative compensation from Phunware is estimated to exceed USD 630,000 from January 2024 to now, more than USD 250,000 per year, during a period in which shareholder value has declined substantially. The Reporting Person believes that the Board's compensation levels are significantly higher than those of comparable micro cap public companies, and these compensation decisions are inconsistent with the Company's operating performance. The Reporting Person views this stark contrast as raising serious governance concerns.\n\nThe Reporting Person believes that good governance requires accountability, and accountability requires shareholder representation. The Reporting Person believes meaningful governance reform is necessary.\n\nThe Reporting Person also believes that the Company's current governance structure has failed to restore shareholder confidence despite repeated capital raises, prolonged operating losses, leadership turnover and significant destruction of shareholder value. Accordingly, meaningful Board refreshment is necessary to protect the interests of all shareholders.\n\nTo strengthen the Board, the Reporting Person has proposed four potential director candidates: Shawn Kravetz, Richard Ding, Mona Zhang, and Steve Han. These individuals collectively bring extensive experience in corporate governance, capital allocation, business strategy, AI platform development, and business development.\n\nThe Reporting Person proposed establishing a more balanced Board for Phunware. Specifically, it recommended expanding the Board and adding at least three new directors. The Reporting Person believes such expansion would improve shareholder representation and Board independence.\n\nIf Mr. Elliot Han is no longer a member of the Board, the Reporting Person would be prepared to discuss alternative governance structures that may require fewer additional directors.\n\nBased on the parties' communications to date, the Reporting Person believes that the Board has not demonstrated a genuine willingness to consider meaningful governance improvements or changes to Board composition. Instead, the Board has declined to commit to any timetable for considering governance reforms or Board composition changes. In addition, rather than responding to the substantive governance issues raised by the Reporting Person, the Company's counsel has indicated that the Company may consider legal remedies if this Open Letter is published. The Reporting Person believes this response speaks for itself.\n\nThe Reporting Person has repeatedly attempted to resolve these matters privately through discussions with the Board before considering public action. The Reporting Person sent more than 10 emails to Chairman Elliot Han over three months to request communication; he did not reply once.\n\nRather than engaging directly with shareholders, the Board has consistently relied on the two counsel -not just one - to manage all email communications. The Board has never responded directly to any of emails or phone messages of the Reporting Person. The Reporting Person thinks this approach has unnecessarily hindered meaningful shareholder engagement and appears to prioritize protecting the existing Board over constructive communication with significant shareholders.\n\nIf the parties are unable to reach a mutually acceptable resolution, the Reporting Person may nominate director candidates and conduct a proxy solicitation in connection with the Company's 2026 Annual Meeting.\n\nThe Reporting Person is also evaluating the exercise of other shareholder rights available under applicable law, including the inspection of books and records (Section 220).\n\nThe Reporting Person remains willing to engage constructively with the Board if meaningful governance reforms are seriously considered.\n\nThe Reporting Person believes that Phunware is undervalued and there are opportunities to enhance shareholder value through improved alignment, governance, and execution, and intends to continue to evaluate all available options to achieve such objectives.\n\nDepending on various factors, including, without limitation, market conditions, the Company's performance, and ongoing discussions with the Company and other shareholders, the Reporting Person may from time to time increase or decrease its beneficial ownership of the Company's securities, and may pursue various alternatives with respect to its investment, including engaging with other shareholders, seeking board representation, or pursuing other actions available to shareholders.\n\nThe Reporting Person reserves the right to formulate and pursue any plans or proposals described in Item 4 of Schedule 13D, subject to applicable law.\n\nA copy of the Open Letter (Series 1) is attached hereto as Exhibit 99 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1665300/000198938626000008/0001989386-26-000008-index.html" }, { "accession_no": "0001536588-26-000020", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 885307, "issuer_name": "JEWETT CAMERON TRADING CO LTD", "issuer_cusip": "47733C207", "securities_class_title": "Common Stock", "date_of_event": "2026-07-13", "filed_date": "2026-07-14", "item3_funds_source": "The Shares beneficially owned by each of AJB Fund II and AJB Capital were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases. The aggregate purchase price of the 337,328 Shares beneficially owned by AJB Fund II and AJB Capital is approximately of $693,621, including brokerage commissions. The Shares beneficially owned by Mr. Bradley are held in an individual retirement account and in the accounts of the children of Mr. Bradley and Ms. Bradley (the \"Bradley Children\"), and were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The aggregate purchase price of the 44,394 Shares beneficially owned by Mr. Bradley is approximately $94,464, including brokerage commissions. The Shares beneficially owned by Ms. Bradley are held in an individual retirement account and were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The aggregate purchase price of the 46,436 shares beneficially owned by Ms. Bradley is approximately $100,160, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable. The Reporting Persons do not have any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - U) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position, results and strategic direction, actions taken by the Issuer's management team and the Issuer's board of directors (the \"Board\"), price levels of the Shares, conditions in the securities markets, general economic and industry conditions, and other investment opportunities available to the Reporting Persons, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board, engaging in discussions with the Issuer, stockholders of the Issuer or other third parties about the Issuer and the Reporting Persons'\ninvestment, including potential business combinations, dispositions or financing transactions involving the Issuer or certain of its businesses or assets, including transactions in which the Reporting Persons may seek to participate and potentially engage in, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, Board structure (including Board composition), or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative transactions, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/885307/000153658826000020/0001536588-26-000020-index.html" }, { "accession_no": "0001437749-26-023580", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 948708, "issuer_name": "SMITH MICRO SOFTWARE, INC.", "issuer_cusip": "832154504", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-12", "filed_date": "2026-07-14", "item3_funds_source": "The shares of Common Stock covered by this filing include shares purchased in the open market from time to time by William W. Smith, Jr. using personal funds, when permitted to do so under the terms of the Issuer's policies, including its Insider Trading Policy, shares acquired by him from the Issuer pursuant to private placement offerings of Common Stock, convertible notes convertible into shares of Common Stock, and warrants exercisable for shares of Common Stock, stock splits, shares issued to him by the Issuer as compensation, and shares sold in the open market or transferred by William W. Smith, Jr. to the Smith Living Trust. The shares of Common Stock covered by this filing also include those of such shares held by the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees.", "item4_transaction_purpose": "Item 4 of the Schedule is hereby amended to add the following:\n\nAs noted in the Explanatory Note, on March 10, 2026 the Smith Living Trust purchased for investment purposes a common stock purchase warrant exercisable for 1,763,651 shares of Common Stock and a convertible note, the principal of which may be converted into 1,348,675 shares of Common Stock, which in each case as a result of the passage of time has become exercisable or convertible within 60 days. Under the terms of this convertible note and this warrant, the Smith Living Trust may not convert the convertible note or exercise any portion of this warrant to the extent such conversion or exercise (as the case may be) would cause the Reporting Person to beneficially own more than 49.99% of the Issuer's outstanding Common Stock immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion of such convertible note or upon exercise of such warrant (as the case may be).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/948708/000143774926023580/0001437749-26-023580-index.html" }, { "accession_no": "0001213900-26-078102", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1850862, "issuer_name": "Tax-Free Fixed Income Fund for Puerto Rico Residents, Inc.", "issuer_cusip": "87677L102", "securities_class_title": "Common Shares, $0.01 par value", "date_of_event": "2026-07-13", "filed_date": "2026-07-14", "item3_funds_source": "The funds for purchase of the 1,388,483.00 shares of Common Stock owned by RAD Investments LLC were derived from the working capital of RAD Investments LLC.", "item4_transaction_purpose": "Item 4 is hereby supplemented to add the following:\n\nOcean Capital, Mr. Hawk and Mr. Danial entered into a joint filing and solicitation agreement (the \"Joint Filing and Solicitation Agreement\") for the purpose, among other things, of soliciting proxies for the Proposal. A copy of the Joint Filing and Solicitation Agreement is filed as Exhibit E hereto and is incorporated into this Item 4 by reference. This Amendment No. 9 adds Mr. Danial as a Reporting Person.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1850862/000121390026078102/0001213900-26-078102-index.html" }, { "accession_no": "0001213900-26-078067", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2088281, "issuer_name": "Midera Food Processing, Inc.", "issuer_cusip": "59739R104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-07", "filed_date": "2026-07-14", "item3_funds_source": "On July 6, 2026, Middleby completed separation of its food processing business (the \"Spin-Off\") into a new, publicly traded company, the Issuer. The Spin-Off was achieved through the distribution by Middleby of 100% of the issued and outstanding shares of Common Stock on a pro rata basis to the holders of Middleby common stock. Each holder of Middleby common stock received one share of Common Stock for each share of Middleby common stock held of record as of 4:00 p.m., Central Time, on June 26, 2026. The Common Stock commenced trading on The Nasdaq Stock Market LLC on July 7, 2026.\n\nIn connection with the Spin-Off, the Reporting Persons acquired 3,380,845 shares of Common Stock.", "item4_transaction_purpose": "Each of the Reporting Persons acquired the Common Stock in the Spin-Off, as described in Item 3. In addition, effective as of immediately prior to the consummation of the Spin-Off, Brian Jacoby, Founding Partner and Head of Research at GIM, was appointed to serve as a member of the board of directors of the Issuer (the \"Board\").\n\nThe Reporting Persons may consider, explore or develop plans or make proposals (whether preliminary or final) to the Issuer or third parties with respect to, among other things, potential changes in the Issuer's operations, governance, capital structure, capital allocation policy, management compensation policies and approach, and/or corporate strategy and plans. The Reporting Persons intend to continue to communicate with the Issuer's management and Board about, and may enter into negotiations and agreements with them regarding, the foregoing and a broad range of operational and strategic matters and to communicate with other shareholders or third parties, subject in all cases to compliance with applicable law and policies that may apply to Mr. Jacoby in his capacity as a member of the Board.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis and depending upon various factors, including the Issuer's financial performance and position and strategic direction, overall market conditions, and the availability of securities of the Issuer at prices that would make the purchase or sale of such securities desirable, the Reporting Persons may increase or decrease their position in the Issuer through, among other things, the purchase or sale of securities of the Issuer, including through transactions involving the Common Stock or other equity, debt or other securities, in the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable, but subject in all cases to compliance with applicable law and policies that may apply to Mr. Jacoby in his capacity as a member of the Board. In addition, any of the Reporting Persons may, at any time and from time to time, (i) review or reconsider its position or change its purpose and/or formulate plans or proposals with respect thereto and (ii) consider or propose one or more of the actions described in subparagraphs (a) - (j) of Item 4 of Schedule 13D. The foregoing list of intentions, plans, strategies, negotiations, discussions, activities and potential transactions under consideration is subject to termination, evolution, modification or change at any time, without notice, and there can be no assurance that any of the Reporting Persons will take any of the actions set forth above. No Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2088281/000121390026078067/0001213900-26-078067-index.html" }, { "accession_no": "0001193125-26-303540", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1579214, "issuer_name": "Emerald Holding, Inc.", "issuer_cusip": "29103W104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-14", "filed_date": "2026-07-14", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented to add the following: Pursuant to and in connection with the transactions contemplated by that certain Agreement and Plan of Merger, dated May 9, 2026, entered into by Emerald Holding, Inc., a Delaware corporation (the \"Company\" or \"Emerald\"), Emma Buyer, LLC, a Delaware limited liability company (\"Parent\"), and Emma Merger Sub, Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (\"Merger Sub\"), on July 14, 2026, Merger Sub merged with and into Emerald, with Emerald surviving the merger and becoming a wholly-owned subsidiary of Parent (such merger, the \"Transaction\"). Parent and Merger Sub are newly formed holding companies owned by funds managed by affiliates of Apollo Global Management, Inc. (\"Apollo\").\n\nEach share of common stock, par value $0.01 per share, of Emerald (each, a share of \"Emerald Common Stock\") issued and outstanding immediately prior to the effective time of the Transaction (the \"Effective Time\"), other than shares of Emerald Common Stock (i) held by Emerald as treasury stock or owned by Parent or Merger Sub (which were cancelled) or any wholly owned subsidiary of Emerald and Parent (other than Merger Sub), or (ii) as to which appraisal rights were properly exercised in accordance with Delaware law (and not validly withdrawn), was cancelled and converted into the right to receive $5.03 per share of Emerald Common Stock in cash (the \"Merger Consideration\"), without interest.\n\nAs a result of the Transaction the Reporting Persons no longer beneficially own any securities of the Issuer, nor do they have sole or shared power to vote, direct the vote, dispose or direct the disposition with respect to any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1579214/000119312526303540/0001193125-26-303540-index.html" }, { "accession_no": "0001193125-26-303495", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2097545, "issuer_name": "AMG BBH Asset-Backed Credit Fund, LLC", "issuer_cusip": "03116N203", "securities_class_title": "Class I, Class M, and Class S Units of Beneficial Interest", "date_of_event": "2026-07-07", "filed_date": "2026-07-14", "item3_funds_source": "The information set forth in Items 4, 5 and 6 hereof is hereby incorporated by reference into this Item 3.\n\nOn March 4, 2026, the Issuer issued 10,000 Class S Units to the Reporting Person for an aggregate purchase price of $100,000, or $10.00 per Class S Unit.\n\nOn May 20, 2026, the Issuer issued 982,000 Class S Units to the Reporting Person for an aggregate purchase price of $9,820,000, or $10.00 per Class S Unit.\n\nOn May 20, 2026, the Issuer issued 10,000 Class I Units to the Reporting Person for an aggregate purchase price of $100,000, or $10.00 per Class I Unit.\n\nOn May 20, 2026, the Issuer issued 10,000 Class M Units to the Reporting Person for an aggregate purchase price of $100,000, or $10.00 per Class M Unit.\n\nOn June 23, 2026, the Issuer issued 224,097.9577 Class S Units to the Reporting Person for an aggregate purchase price of $2,240,000, or $9.9956288 per Class S Unit.\n\nThe Issuer's Registration Statement on Form N-2 (File No. 333-291973) was declared effective by the Securities and Exchange Commission on July 1, 2026.\n\nOn July 7, 2026, the Issuer issued 182,783.934 Class S Units to the Reporting Person for an aggregate purchase price of $1,825,224.80, or $9.985696 per Class S Unit.\n\nThe Class S, I and M Units were purchased using working capital of the Reporting Person.", "item4_transaction_purpose": "The information set forth in Items 3, 5 and 6 of this Schedule 13D is incorporated herein by reference.\n\nAll of the Units were acquired for investment purposes. Depending on market conditions and other factors (including evaluation of the Issuer's businesses and prospects, availability of funds, alternative uses of funds and general economic conditions), the Reporting Person may from time to time acquire additional securities of the Issuer or dispose of all or a portion of its investment in the Issuer.\n\nWhen permitted by applicable law, the Reporting Person may dispose of some or all of its Units, from time to time, by tendering such Units for repurchase by the Issuer pursuant to the Issuer's quarterly repurchase offers, depending on price, market liquidity, developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Person, general stock market and economic conditions, tax considerations and other factors deemed relevant. The Reporting Person intends to review its investment in the Issuer on an ongoing basis and, in the course of its review, may take actions (including through its affiliates) with respect to its investment or the Issuer, including communicating with the board of directors of the Issuer (the \"Board\"), members of management or other security-holders of the Issuer, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available.\n\nThe Reporting Person is an affiliate of the Issuer and the Issuer's investment adviser, Brown Brothers Harriman Credit Partners, LLC. This Schedule 13D filing is occasioned solely by the Reporting Person's beneficial ownership of more than 5% of the presently outstanding Class I, M and S Units of the Issuer as a result of the investments described in Item 3 and the Reporting Person's ownership as a percentage of the outstanding Class I, M and S Units may be deemed to have the resulting effect of changing or influencing the control of the Issuer, notwithstanding that the Class I, M and S Units of the Issuer beneficially owned by the Reporting Person were acquired in the ordinary course of its business and were not acquired for the purpose of changing or influencing the control of the Issuer.\n\nCertain of the Issuer's officers and directors other than the Issuer's independent directors, are employees of the Reporting Person or its affiliates. In such capacities, these individuals, together with the Reporting Person may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as described herein, the Reporting Person has no present plans, proposals or intentions which would result in or relate to any of the matters described in Items 4(a)-(j) of the Instructions to Schedule 13D. However, as part of the ongoing evaluation of investment and investment alternatives, the Reporting Person may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the Board or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2097545/000119312526303495/0001193125-26-303495-index.html" }, { "accession_no": "0001193125-26-302440", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1886190, "issuer_name": "Gogoro Inc.", "issuer_cusip": "G9491K139", "securities_class_title": "Ordinary shares, par value $0.002 per share", "date_of_event": "2026-06-22", "filed_date": "2026-07-14", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended by adding the following paragraphs:\n\nFollowing the death of Mr. Yin's father, Mr. Yin, his mother, and another successor became entitled under the laws of descent and distribution to one-third each of the Gold Sino shares formerly held by his father. On June 22, 2026, Mr. Yin's mother agreed to assign her entitlement to one-third of the Gold Sino shares to Mr. Yin. No Ordinary Shares were directly acquired by Mr. Yin in connection with such events. The change in beneficial ownership results from the entitlement and assignment arrangement described herein.\n\nThe information set forth in or incorporated by reference into Items 2, 4, 5 and 6 of this Schedule 13D is hereby incorporated by reference in its entirety into this Item 3.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended by adding the following paragraphs:\n\nOn September 16, 2025, the Issuer announced that, at the request of the Issuer, Mr. Yin agreed to issue an undertaking to the lenders led by Mega International Commercial Bank Co., Ltd. (\"Mega\") that he will procure equity investments in the Issuer with an aggregate investment amount of NTD$2,500 million by December 31, 2026 (the \"Undertaking\"). The Undertaking was provided to facilitate discussions regarding a potential further amendment to the syndicated credit facility agreement with Mega, as mandated lead arranger, and the other lenders. Such equity investments are expected to be made based on the prevailing market price of the Issuer's Ordinary Shares at the time of the investments, subject to approval by the audit committee and the board of directors of the Issuer as applicable.\n\nOn March 12, 2026, the Issuer announced the new equity investment under the share purchase agreement, comprising the issuance of 5,300,000 Ordinary Shares to Gold Sino for an aggregate subscription price of approximately US$16.7 million. As announced by the Issuer, the new equity investment was the first equity investment secured by Mr. Yin pursuant to the Undertaking. Gold Sino acquired the purchased shares for investment purposes. To the extent Mr. Yin procures further equity investments in the Issuer in satisfaction of the Undertaking, such investments may result in the acquisition of additional securities of the Issuer, including by Gold Sino or its affiliates, and a corresponding change in the Issuer's capitalization. As noted in the Issuer's announcements, any such equity investments remain subject to further negotiation, the execution of definitive agreements and approval by the audit committee and the board of directors of the Issuer as applicable, and there can be no assurance that any such equity investments will be procured or completed.\n\nThe Reporting Persons intend to review their respective investment on a regular basis and, as a result thereof, may at any time or from time to time determine, either alone or as part of a group, (i) to acquire additional securities of the Issuer, through open market purchases, privately negotiated transactions or otherwise, (ii) to dispose of all or a portion of the securities of the Issuer owned by them in the open market, in privately negotiated transactions or otherwise, (iii) to undertake an extraordinary corporate transaction such as a tender offer or exchange offer for some or all of the Ordinary Shares not held by the Reporting Persons or a merger, acquisition, consolidation or other business combination or reorganization involving the Issuer or (iv) to take any other available course of action, which could involve one or more of the types of transactions or have one or more of the results specified in clauses (a) through (j) of Item 4 of Schedule 13D under the Exchange Act, as amended. Any such acquisition or disposition or other transaction would be made in compliance with all applicable laws and regulations. Notwithstanding anything contained herein, the Reporting Persons specifically reserve the right to change their intention with respect to any or all of such matters. In reaching any decision as to their respective course of action (as well as to the specific elements thereof), the Reporting Persons each currently expects that they would take into consideration a variety of factors, including, but not limited to, the following: the Issuer's business and prospects; other developments concerning the Issuer and its businesses generally; other business opportunities available to such Reporting Person; developments with respect to the business of the Reporting Persons; changes in law and government regulations; general economic conditions; and liquidity and stock market conditions, including the market price of the securities of the Issuer and currency fluctuations.\n\nThe information set forth in or incorporated by reference into Items 3, 5 and 6 of this Schedule 13D is hereby incorporated by reference in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1886190/000119312526302440/0001193125-26-302440-index.html" }, { "accession_no": "0001123292-26-001010", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1860871, "issuer_name": "Tevogen Bio Holdings Inc.", "issuer_cusip": "88165K101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-10", "filed_date": "2026-07-14", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe Reporting Person received a grant of 1,220,000 shares of Restricted Stock on July 10, 2026 as compensation for his service as Chairman and Chief Executive Officer of the Issuer.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe information set forth in Items 3 and 6 of this Amendment is incorporated into this Item 4 by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1860871/000112329226001010/0001123292-26-001010-index.html" }, { "accession_no": "0001104659-26-083585", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1971387, "issuer_name": "Liminatus Pharma, Inc.", "issuer_cusip": "53271X108", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-02", "filed_date": "2026-07-14", "item3_funds_source": "On June 24, 2026, Valetudo Therapeutics LLC (\"Valetudo\") transferred 4,373,603 shares of common stock to Ewon Comfortech Co., Ltd and retains voting power over such shares pursuant to a voting agreement. On July 2, 2026, Valetudo received 3,448,926 shares of common stock and 48,975.10742 shares of the Issuer's newly designated Series A Non-Voting Convertible Preferred Stock (\"Series A Preferred Stock\") as consideration paid to former members of InnocsAI LLC (\"InnocsAI\") in connection with the Issuer's acquisition of InnocsAI. Each share of Series A Preferred Stock will be convertible into 10,000 shares of common stock, which conversion is contingent upon prior stockholder approval of the issuance of the underlying common shares to the extent required under applicable Nasdaq Stock Market LLC listing rules. The Series A Preferred Stock has no expiration date. Mr. Chris Kim is the CEO and controlling member of Valetudo and has voting and dispositive power over, and may be deemed to be the beneficial owner of, the shares held by Valetudo.", "item4_transaction_purpose": "The information set forth in Item 3 above is incorporated into this Item 4 by reference. The Reporting Persons may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. Chris Kim serves as Chief Executive Officer and a director of the Issuer, and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Except as described in this Statement, each of the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons acquired the shares reported herein for investment purposes. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the shares of common stock, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board of Directors of the Issuer, engaging in discussions with shareholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional shares of common stock and/or other securities, selling some or all of its shares of common stock and/or other securities, or changing its intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1971387/000110465926083585/0001104659-26-083585-index.html" }, { "accession_no": "0001104659-26-083513", "submission_type": "SCHEDULE 13D/A", "amendment_no": 67, "issuer_cik": 1415404, "issuer_name": "EchoStar CORP", "issuer_cusip": "278768106", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-07-10", "filed_date": "2026-07-14", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\nAs described in Item 4 below, on July 10, 2026, the 2024 July GRAT contributed 15,939,781 shares of Class B Common Stock to Telluray Holdings in exchange for membership units in Telluray Holdings. Mr. Ergen and Mrs. Ergen are the managers of Telluray Holdings. As a manager of Telluray Holdings, Mrs. Ergen has sole voting power over the shares of Class B Common Stock held by Telluray Holdings. As managers of Telluray Holdings, Mr. Ergen and Mrs. Ergen share dispositive power over the shares of Class B Common Stock held by Telluray Holdings.\n\nThe Reporting Persons may from time to time acquire shares of Class A Common Stock for investment purposes. Such Class A Common Stock may be acquired with personal funds or funds borrowed by the Reporting Persons.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nDuring the third quarter of each year, Mr. Ergen receives an annuity amount from the 2024 July GRAT, assuming that the 2024 July GRAT has not expired. The number of shares of Class B Common Stock to be distributed as an annuity payment is based in part on the price of the Class A Common Stock on the distribution date and therefore cannot be calculated until the date of distribution. In addition to shares of Class B Common Stock, the annuity payments (and their associated timing) may include, and be based upon, amounts generated from the holdings of the 2024 July GRAT including, among other things, stock recapitalizations or dividends paid or payable with respect to the shares of Class B Common Stock held by the 2024 July GRAT. On July 10, 2026, the 2024 July GRAT: (i) distributed 2,622,061 shares of Class B Common Stock held by the 2024 July GRAT to Mr. Ergen as an annuity payment; and (ii) contributed the remaining 15,939,781 shares of Class B Common Stock held by the 2024 July GRAT to Telluray Holdings, and the 2024 July GRAT expired in accordance with its terms.\n.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1415404/000110465926083513/0001104659-26-083513-index.html" }, { "accession_no": "0001104659-26-083372", "submission_type": "SCHEDULE 13D/A", "amendment_no": 29, "issuer_cik": 1844684, "issuer_name": "NC SLF INC.", "issuer_cusip": "000000000", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-10", "filed_date": "2026-07-14", "item3_funds_source": null, "item4_transaction_purpose": "This Item 4 is hereby amended to include the following:\n\nOn July 10, 2026, pursuant to distribution reinvestment plans (i) UAW Chrysler Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 310,088 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 483,420 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested distribution proceeds in the Issuer and the Issuer issued to UAW GM Retirees Medical Benefits Plan 796,689 Shares. The price per Share was $9.58.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1844684/000110465926083372/0001104659-26-083372-index.html" }, { "accession_no": "0001013594-26-000736", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1831096, "issuer_name": "Great Elm Group, Inc.", "issuer_cusip": "39037G109", "securities_class_title": "Common Stock, $0.001 Par Value", "date_of_event": "2026-07-10", "filed_date": "2026-07-14", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is amended and supplemented to add the following information for updating as of the date hereof:\n\nAs of the date of this Statement, each of Northern Right QP, NRC LO and Mr. Drapkin is the holder of an aggregate principal amount of $2,745,290, $1,016,880 and $342,021, respectively, of the PIK Notes. The PIK Notes are convertible into Common Stock. On July 10, 2026, Northern Right QP, NRC LO and Mr. Drapkin entered into a letter agreement (the \"Forbearance Agreement\") with the Issuer, supplementing that certain letter agreement, dated as of December 6, 2024, by and among Northern Right QP, Mr. Drapkin and the Issuer (as previously supplemented by that certain letter agreement dated January 13, 2025), pursuant to which Northern Right QP, NRC LO and Mr. Drapkin irrevocably agreed to forbear from exercising their respective rights to convert the PIK Notes (and any additional PIK Notes issued pursuant to the PIK Notes) into Common Stock until July 15, 2027 (the \"Forbearance End Date\"). The Forbearance End Date may be extended by each of Northern Right QP, NRC LO or Mr. Drapkin as to their respective PIK Notes with the prior written consent of the Issuer. As of the date of this Statement, if the Forbearance Agreement were not in place, the PIK Notes would be convertible by Northern Right QP, NRC LO and Mr. Drapkin into 790,648 shares, 292,863 shares and 98,502 shares, respectively, of Common Stock. As a result of the Forbearance Agreement, the Common Stock issuable upon conversion by Northern Right QP, NRC LO or Mr. Drapkin of the PIK Notes will not be deemed to be beneficially owned by Northern Right QP, NRC LO or Mr. Drapkin, will not be deemed to be beneficially owned by BCA to the extent that BCA may be deemed to beneficially own shares of Common Stock currently held by Northern Right QP, and will not be deemed to be beneficially owned by NRC Fund GP to the extent that NRC Fund GP may be deemed to beneficially own shares of Common Stock currently held by NRC LO.\n\nOther than any extension of the Forbearance End Date by Northern Right QP, NRC LO or Mr. Drapkin as to their respective PIK Notes, the Forbearance Agreement may only be amended or terminated by a written amendment, fully executed and delivered by Northern Right QP, NRC LO and Mr. Drapkin with no less than 61 days' prior written notice to the Issuer.\n\nThe foregoing description of the Forbearance Agreement is qualified in its entirety by reference to the full text of the Forbearance Agreement, which is attached as Exhibit 99.12 hereto and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1831096/000101359426000736/0001013594-26-000736-index.html" }, { "accession_no": "0000929638-26-002599", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2097545, "issuer_name": "AMG BBH Asset-Backed Credit Fund, LLC", "issuer_cusip": "03116N104", "securities_class_title": "Class S Units of Beneficial Interest", "date_of_event": "2026-07-01", "filed_date": "2026-07-14", "item3_funds_source": "On May 20, 2026, June 23, 2026 and July 7, 2026, Credit Partners acquired 253,000.00, 56,024.4894, and 45,695.984 Class S Units of Beneficial Interest, respectively, from the Issuer for purchase prices of approximately $2,530,000, $560,000 and $456,306, respectively, in each case using working capital. On July 1, 2026, Client Accounts for which BBH serves as investment adviser acquired an aggregate of 614,790.0400 Class S Units of Beneficial Interest from the Issuer for an aggregate purchase price of $6,134,000, using funds of such Client Accounts. The purchase settled on July 2, 2026. BBH may be deemed to beneficially own such securities by virtue of its investment discretion over the Client Accounts.", "item4_transaction_purpose": "All of the securities reported herein were acquired for investment purposes. The Reporting Persons intend to review such investments on a continuing basis and, depending upon various factors, including, without limitation, the Issuer's financial condition, investment performance, market conditions, client investment objectives (in the case of securities held for Client Accounts), and other factors that the Reporting Persons may deem material to their investment decisions, the Reporting Persons may acquire additional securities of the Issuer or may determine to sell or otherwise dispose of all or a portion of the securities deemed beneficially owned by them. \r\n\r\nCredit Partners and Affiliated Managers Group, Inc., an indirect minority owner of Credit Partners, have agreed to make, directly, or through one or more affiliated entities, certain seed investments in the Issuer.\r\n\r\nBBH and Credit Partners have agreed to an internal corporate revenue sharing arrangement under which Credit Partners will provide BBH a certain percentage of net revenues that Credit Partners earns on assets attributed to investments in the Issuer by certain clients of BBH with respect to which BBH is not otherwise compensated by such clients.\r\n\r\nCredit Partners serves as the investment adviser to the Issuer, and certain of the Issuer's officers and directors are employees of a Reporting Person or its affiliates. Through such relationships, these individuals and the Reporting Person may have influence over the activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. In addition, the Reporting Person may from time to time take actions (including through their affiliates) with respect to their investment or the Issuer, including communicating with the board of directors of the Issuer (the \"Board\"), members of management or other security-holders of the Issuer, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available. Except as described herein, neither Reporting Person presently has any plans or proposals that relate to or would result in any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2097545/000092963826002599/0000929638-26-002599-index.html" }, { "accession_no": "0000038777-26-000187", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-07-13", "filed_date": "2026-07-14", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000187/0000038777-26-000187-index.html" }, { "accession_no": "0002064835-26-000078", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1006045, "issuer_name": "IRIDEX CORP", "issuer_cusip": "462684101", "securities_class_title": "Common Stock", "date_of_event": "2025-03-19", "filed_date": "2026-07-13", "item3_funds_source": "On April 1, 2026, the Issuer issued 87,949 shares of Common Stock to Novel inspiration as a quarterly interest payment on the Note. (Unless otherwise defined, all terms used in this Amendment are as defined in the original Schedule 13D filed on January 8, 2026.)\n\nOn July 7, 2026, the Issuer issued 111,997 shares of Common Stock to Novel Inspiration as a quarterly interest payment on the Note.\n\nFrom March 25, 2025 through March 30, 2026, Xinpo purchased a total of 1,186,809 shares of Common Stock in open market transactions on the Nasdaq Capital Market at an aggregate cost of $1,310,308 (net of commissions), primarily using Xinpo's investment income to make the purchases.", "item4_transaction_purpose": "The Reporting Persons beneficially own outstanding shares of Common Stock and Common Stock underlying Series B Preferred Stock and the Note, in each case for investment purposes. The Reporting Persons intend to communicate, directly or through intermediaries, with members of the Issuer's board of directors (the \"Board of Directors\" or the \"Board\") and management, concerning matters relating to the business and affairs of the Issuer, including discussions relating to the composition and selection of the Board and management team generally, and the potential for representation by the Reporting Persons on the Board of Directors. These discussions may also include assisting and engaging with the Issuer on a review of its strategic activities, assessment of its organization, opportunities for operational improvement, and the pursuit of initiatives for enhancing shareholder value (including but not limited to strategic mergers and acquisitions, balance sheet optimization, use of leverage, dividend and share repurchase policy, or a going private transaction).\n\nThe Reporting Persons intend to review their investments in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Issuer's securities, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may at any time, and from time to time, (i) acquire Common Stock and/or other securities of the Issuer (collectively, \"Issuer Securities\"), (ii) sell, transfer or otherwise dispose of Issuer Securities in public or private transactions, (iii) engage in or encourage communications with the Issuer, members of management and the Board of Directors, other existing or prospective security holders, industry analysts, existing or potential strategic partners or competitors, investment and financing professionals, sources of credit and other investors to consider exploring any items mentioned in this Schedule 13D, as amended, and/or (iv) take such other actions and pursue such other options with respect to their investment in the Issuer as they deem appropriate, including, without limitation, any of the actions referred to in paragraphs (a)-(j) of Item 4 of Schedule 13D under the Securities Exchange Act of 1934, as amended (the \"Exchange Act\").\n\nExcept as set forth above, the Reporting Persons have no plans or proposals which relate to or would result in any of the actions enumerated in clauses (a)-(j) of Item 4 of Schedule 13D under the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1006045/000206483526000078/0002064835-26-000078-index.html" }, { "accession_no": "0001493152-26-033090", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1770450, "issuer_name": "Xerox Holdings Corp", "issuer_cusip": "98421M106", "securities_class_title": "Common Stock, par value $1 per share", "date_of_event": "2026-07-09", "filed_date": "2026-07-13", "item3_funds_source": "All of the securities reported herein were purchased by the applicable Reporting Persons for an aggregate purchase price of $21,021,403, comprised of (i) $20,829,403 paid for shares of Common Stock and (ii) $192,000 paid in premiums for call options purchased by Mr. Bostl. The Common Stock held by the Fund was purchased in the open market with working capital of the Fund. The Common Stock and call options held by Mr. Bostl were purchased in the open market with his personal funds.", "item4_transaction_purpose": "The Reporting Persons increased their investment in the Issuer in light of their intention to engage more actively and constructively with the Issuer's management and Board of Directors regarding the Issuer's long-term strategy, capital allocation priorities, and opportunities to enhance shareholder value, including the Issuer's positioning in higher-growth IT and digital markets. The Reporting Persons may also have similar conversations with other stockholders of the Issuer.\n\nExcept as set forth in the preceding paragraph, as of the date hereof, the Reporting Persons do not have any plan or proposal that relates to or would result in any of the transactions enumerated in sub items (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1770450/000149315226033090/0001493152-26-033090-index.html" }, { "accession_no": "0001493152-26-033062", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1598981, "issuer_name": "SKYX Platforms Corp.", "issuer_cusip": "78471E105", "securities_class_title": "Common Stock, no par value per share", "date_of_event": "2026-07-02", "filed_date": "2026-07-13", "item3_funds_source": "Item 3 is hereby amended and supplemented by the following:\n\nThe aggregate amount paid by DZDLUX to acquire the shares of Common Stock pursuant to the Purchase Agreement (as defined below) was approximately $245,140. The source of funds for such purchase was DZDLUX's working capital.", "item4_transaction_purpose": "On July 2, 2026, SGA entered into a share purchase agreement (the \"Purchase Agreement\") with DZDLUX, pursuant to which DZDLUX purchased 235,712 shares of Common Stock for cash consideration of approximately $245,140. SGA no longer holds shares of Common Stock following the transaction.\n\nThe Reporting Persons acquired the securities reported in this Statement for investment purposes. The Reporting Persons may in the future acquire additional securities of the Company or dispose of some or all of the securities of the Company held by the Reporting Persons in open-market transactions or privately negotiated transactions, on such terms and at such times as the Reporting Persons may deem advisable.\n\nNone of the Reporting Persons has any present plan or proposal that would result in any of the actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D, except as set forth herein or as may be proposed by Mr. Shiff in his capacity as a director of the Company or by the Board of Directors with his participation. The Reporting Persons reserve the right in the future to formulate any such plans or proposals, and to take any actions with respect to their investments in the Company, including any or all of the actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1598981/000149315226033062/0001493152-26-033062-index.html" }, { "accession_no": "0001493152-26-033030", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 2069785, "issuer_name": "GLOO HOLDINGS, INC.", "issuer_cusip": "379598105", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-07-09", "filed_date": "2026-07-13", "item3_funds_source": "Item 3 of the Schedule 13D is hereby supplemented as follows:\n\nOn July 9, 2026 (the \"Event Date\"), the Reporting Person agreed to purchase 923,076 shares of Class A Common Stock, par value $0.001 per share (the \"Class A Common Stock\"), of Gloo Holdings, Inc. (the Issuer\") in the Issuer's underwritten public offering of Class A Common Stock (the \"Transaction\") at the offering price of $3.25 per share, for an aggregate purchase price of approximately $3,000,000. The Transaction closed on July 10, 2026.\n\nThe source of funds required for the Transaction consisted of working capital of the Reporting Person.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2069785/000149315226033030/0001493152-26-033030-index.html" }, { "accession_no": "0001493152-26-032907", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2041338, "issuer_name": "Dreamland Ltd", "issuer_cusip": "G28385121", "securities_class_title": "Class A Ordinary Shares, par value $0.00125 per share", "date_of_event": "2026-07-07", "filed_date": "2026-07-13", "item3_funds_source": "On July 7, 2026, the Reporting Person entered into a Securities Purchase Agreement with the Issuer pursuant to which the Reporting Person agreed to purchase an aggregate of 580,000 Class A Ordinary Shares and 72,000 Class B Ordinary Shares at a price of USD3.75 per Placement Share.", "item4_transaction_purpose": "The Reporting Person acquired the Shares pursuant to a Securities Purchase Agreement dated July 7, 2026, with the Issuer, under which the Reporting Person purchased an aggregate of 580,000 Class A Ordinary Shares and 72,000 Class B Ordinary Shares in a private placement. The Reporting Person holds the Shares for investment purposes. The Reporting Person is a member of the board of directors of the Issuer and serves as the Chairlady and, as a result, may be asked to vote on or discuss matters related to items (a) through (j) of this Item 4 of Schedule 13D with representatives of the Issuer and others. Except as may be set forth herein, the Reporting Person has no current intention, plan or proposal with respect to items (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2041338/000149315226032907/0001493152-26-032907-index.html" }, { "accession_no": "0001104659-26-083164", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1818382, "issuer_name": "HUMACYTE, INC.", "issuer_cusip": "020751103", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-10", "filed_date": "2026-07-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended by the addition of the following information:\n\nConsistent with FME AG's FME Reignite strategy implementation and the strategic focus previously outlined to investors, FME AG and FMCH have determined to reduce their beneficial ownership of the Issuers' securities. FME Reignite centers on value creation, based on three strategic elements: Reignite the core, Reignite growth and innovation and Reignite culture. Additional information about the FME AG Reignite strategy can be found in FME AG's public filings and its investor communications. The Distribution Agreement between the Issuer and FMCH, as amended to date, remains in effect.\n\nTo actualize this determination, on July 10, 2026, FMCH established a trading plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the \"Plan\"), with Citigroup Global Markets Inc. (\"CGMI\"). Pursuant to the Plan, CGMI has agreed to use its reasonable best efforts to sell 5,000,000 shares of the Issuer's Common Stock during the Plan sales period commencing upon expiration of the 30-day cooling-off period following the date of the Plan, as required by Rule 10b5-1(c), and ending on October 31, 2026 in accordance with the terms and conditions of the Plan, or earlier if the Plan is terminated in accordance with its terms. The sale of shares of Common Stock under the Plan is subject to certain volume limitations and other transaction parameters included in the Plan. The number of shares of Common Stock to be sold under the Plan is subject to adjustment to account for any stock split, reverse stock split, stock dividend, or other like distribution or adjustment affecting the Common Stock or any change in the Issuer's capitalization.\n\nWhile FME AG and FMCH expect to continue to sell Common Stock following the completion of sales pursuant to the Plan, the timing and amount of any such additional sales will depend on a number of factors, including consideration of the business, operations, and financial condition of the Issuer, the market price of the Common Stock, conditions in the securities markets, and general economic and industry conditions. In connection with its consideration of such factors and in preparation for establishment of the Plan, FMCH instructed its observer on the Issuer's board to discontinue attending board meetings and to decline access to materials that the Issuer furnishes to its directors and any other confidential information relating to the Issuer. The sale of all shares of Common Stock covered by the Plan will reduce FMCH's and FME AG's beneficial ownership below 5% of the Issuer's Common Stock, and any sales of the Common Stock after completion of sales pursuant to the Plan will not be subject to reporting under Section 13(d) of the Securities Exchange Act and Regulation 13D-G thereunder.\n\nThe foregoing description of the Plan does not purport to be complete and is qualified in its entirety by the terms and conditions of such Amendment, which is an exhibit to this Schedule 13D Amendment No. 10).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1818382/000110465926083164/0001104659-26-083164-index.html" }, { "accession_no": "0000921895-26-001801", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1144980, "issuer_name": "ASBURY AUTOMOTIVE GROUP INC", "issuer_cusip": "043436104", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-10", "filed_date": "2026-07-13", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe 897,724 Shares beneficially owned by the Impactive Funds were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases. The aggregate purchase price of the 897,724 Shares beneficially owned by the Impactive Funds is approximately $106,412,287, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1144980/000092189526001801/0000921895-26-001801-index.html" }, { "accession_no": "0001989386-26-000007", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1665300, "issuer_name": "Phunware, Inc.", "issuer_cusip": "71948P209", "securities_class_title": "Common Stock", "date_of_event": "2026-07-09", "filed_date": "2026-07-10", "item3_funds_source": "All of the Shares to which this Schedule 13D relates were purchased in open market on behalf of the Reporting Persons using the working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) o f the respective Reporting Person. The aggregate amount of funds used for the purchase of the securities reported herein was ap proximately USD $2,589,688, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Person acquired the shares of Common Stock reported herein for investment purposes.\n\nThe Reporting Person intends to engage in discussions with the Company's board of directors and management regarding a range of matters, including, but not limited to, the Company's governance, capital allocation, strategic direction, and overall performance.\n\nIn furtherance of the foregoing, the Reporting Person has recently initiated contact with members of the Company's board of directors to seek constructive dialogue and to improve the Company's governance, including through potential board representation.\n\nOn July 9, 2026, the Reporting Person sent an Open Letter to the Board of Phunware setting forth the Reporting Person's views regarding corporate governance, shareholder representation, capital allocation and Board accountability.\n\nThe Reporting Person believes that the Company's governance practices have materially contributed to prolonged operating losses, shareholder dilution, leadership instability and declining shareholder confidence.\n\nBased on the Company's operating and governance record during Mr Elliot Han's tenure as Chair, the Reporting Person has significant concerns regarding the Board's oversight, governance practices and capital allocation discipline.\n\nThe Reporting Person also has concerns regarding the high compensation levels paid to each member of the Board. Based on the Company's public filings, Mr Han's cumulative compensation from Phunware is estimated to exceed USD 630,000 from January 2024 to now, more than USD 250,000 per year, during a period in which shareholder value has declined substantially. The Reporting Person believes that the Board's compensation levels are significantly higher than those of comparable micro cap public companies, and these compensation decisions are inconsistent with the Company's operating performance. The Reporting Person views this stark contrast as raising serious governance concerns.\n\nThe Reporting Person believes that good governance requires accountability, and accountability requires shareholder representation. The Reporting Person believes meaningful governance reform is necessary.\n\nThe Reporting Person also believes that the Company's current governance structure has failed to restore shareholder confidence despite repeated capital raises, prolonged operating losses, leadership turnover and significant destruction of shareholder value. Accordingly, meaningful Board refreshment is necessary to protect the interests of all shareholders.\n\nTo strengthen the Board, the Reporting Person has proposed four potential director candidates: Shawn Kravetz, Richard Ding, Mona Zhang, and Steve Han. These individuals collectively bring extensive experience in corporate governance, capital allocation, business strategy, AI platform development, and business development.\n\nThe Reporting Person proposed establishing a more balanced Board for Phunware. Specifically, it recommended expanding the Board and adding at least three new directors. The Reporting Person believes such expansion would improve shareholder representation and Board independence.\n\nIf Mr. Elliot Han is no longer a member of the Board, the Reporting Person would be prepared to discuss alternative governance structures that may require fewer additional directors.\n\nBased on the parties' communications to date, the Reporting Person believes that the Board has not demonstrated a genuine willingness to consider meaningful governance improvements or changes to Board composition. Instead, the Board has declined to commit to any timetable for considering governance reforms or Board composition changes. In addition, rather than responding to the substantive governance issues raised by the Reporting Person, the Company's counsel has indicated that the Company may consider legal remedies if this Open Letter is published. The Reporting Person believes this response speaks for itself.\n\nThe Reporting Person has repeatedly attempted to resolve these matters privately through discussions with the Board before considering public action. The Reporting Person sent more than 10 emails to Chairman Elliot Han over three months to request communication; he did not reply once.\n\nRather than engaging directly with shareholders, the Board has consistently relied on the two counsel -not just one - to manage all email communications. The Board has never responded directly to any of emails or phone messages of the Reporting Person. The Reporting Person thinks this approach has unnecessarily hindered meaningful shareholder engagement and appears to prioritize protecting the existing Board over constructive communication with significant shareholders.\n\nIf the parties are unable to reach a mutually acceptable resolution, the Reporting Person may nominate director candidates and conduct a proxy solicitation in connection with the Company's 2026 Annual Meeting.\n\nThe Reporting Person is also evaluating the exercise of other shareholder rights available under applicable law, including the inspection of books and records (Section 220).\n\nThe Reporting Person remains willing to engage constructively with the Board if meaningful governance reforms are seriously considered.\n\nThe Reporting Person believes that Phunware is undervalued and there are opportunities to enhance shareholder value through improved alignment, governance, and execution, and intends to continue to evaluate all available options to achieve such objectives.\n\nDepending on various factors, including, without limitation, market conditions, the Company's performance, and ongoing discussions with the Company and other shareholders, the Reporting Person may from time to time increase or decrease its beneficial ownership of the Company's securities, and may pursue various alternatives with respect to its investment, including engaging with other shareholders, seeking board representation, or pursuing other actions available to shareholders.\n\nThe Reporting Person reserves the right to formulate and pursue any plans or proposals described in Item 4 of Schedule 13D, subject to applicable law.\n\nA copy of the Open Letter (Series 1) is attached hereto as Exhibit 99 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1665300/000198938626000007/0001989386-26-000007-index.html" }, { "accession_no": "0001989386-26-000005", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1665300, "issuer_name": "Phunware, Inc.", "issuer_cusip": "71948P209", "securities_class_title": "Common Stock", "date_of_event": "2026-07-09", "filed_date": "2026-07-10", "item3_funds_source": "All of the Shares to which this Schedule 13D relates were purchased in open market on behalf of the Reporting Persons using the working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) o f the respective Reporting Person. The aggregate amount of funds used for the purchase of the securities reported herein was ap proximately USD $2,589,688, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Person acquired the shares of Common Stock reported herein for investment purposes.\n\nThe Reporting Person intends to engage in discussions with the Company's board of directors and management regarding a range of matters, including, but not limited to, the Company's governance, capital allocation, strategic direction, and overall performance.\n\nIn furtherance of the foregoing, the Reporting Person has recently initiated contact with members of the Company's board of directors to seek constructive dialogue and to improve the Company's governance, including through potential board representation.\n\nOn July 9, 2026, the Reporting Person sent an Open Letter to the Board of Phunware setting forth the Reporting Person's views regarding corporate governance, shareholder representation, capital allocation and Board accountability.\n\nThe Reporting Person believes that the Company's governance practices have materially contributed to prolonged operating losses, shareholder dilution, leadership instability and declining shareholder confidence.\n\nBased on the Company's operating and governance record during Mr Elliot Han's tenure as Chair, the Reporting Person has significant concerns regarding the Board's oversight, governance practices and capital allocation discipline.\n\nThe Reporting Person also has concerns regarding the high compensation levels paid to each member of the Board. Based on the Company's public filings, Mr Han's cumulative compensation from Phunware is estimated to exceed USD 630,000 from January 2024 to now, more than USD 250,000 per year, during a period in which shareholder value has declined substantially. The Reporting Person believes that the Board's compensation levels are significantly higher than those of comparable micro cap public companies, and these compensation decisions are inconsistent with the Company's operating performance. The Reporting Person views this stark contrast as raising serious governance concerns.\n\nThe Reporting Person believes that good governance requires accountability, and accountability requires shareholder representation. The Reporting Person believes meaningful governance reform is necessary.\n\nThe Reporting Person also believes that the Company's current governance structure has failed to restore shareholder confidence despite repeated capital raises, prolonged operating losses, leadership turnover and significant destruction of shareholder value. Accordingly, meaningful Board refreshment is necessary to protect the interests of all shareholders.\n\nTo strengthen the Board, the Reporting Person has proposed four potential director candidates: Shawn Kravetz, Richard Ding, Mona Zhang, and Steve Han. These individuals collectively bring extensive experience in corporate governance, capital allocation, business strategy, AI platform development, and business development.\n\nThe Reporting Person proposed establishing a more balanced Board for Phunware. Specifically, it recommended expanding the Board and adding at least three new directors. The Reporting Person believes such expansion would improve shareholder representation and Board independence.\n\nIf Mr. Elliot Han is no longer a member of the Board, the Reporting Person would be prepared to discuss alternative governance structures that may require fewer additional directors.\n\nBased on the parties' communications to date, the Reporting Person believes that the Board has not demonstrated a genuine willingness to consider meaningful governance improvements or changes to Board composition. Instead, the Board has declined to commit to any timetable for considering governance reforms or Board composition changes. In addition, rather than responding to the substantive governance issues raised by the Reporting Person, the Company's counsel has indicated that the Company may consider legal remedies if this Open Letter is published. The Reporting Person believes this response speaks for itself.\n\nThe Reporting Person has repeatedly attempted to resolve these matters privately through discussions with the Board before considering public action. The Reporting Person sent more than 10 emails to Chairman Elliot Han over three months to request communication; he did not reply once.\n\nRather than engaging directly with shareholders, the Board has consistently relied on the two counsel -not just one - to manage all email communications. The Board has never responded directly to any of emails or phone messages of the Reporting Person. The Reporting Person thinks this approach has unnecessarily hindered meaningful shareholder engagement and appears to prioritize protecting the existing Board over constructive communication with significant shareholders.\n\nIf the parties are unable to reach a mutually acceptable resolution, the Reporting Person may nominate director candidates and conduct a proxy solicitation in connection with the Company's 2026 Annual Meeting.\n\nThe Reporting Person is also evaluating the exercise of other shareholder rights available under applicable law, including the inspection of books and records.\n\nThe Reporting Person remains willing to engage constructively with the Board if meaningful governance reforms are seriously considered.\n\nThe Reporting Person believes that Phunware is undervalued and there are opportunities to enhance shareholder value through improved alignment, governance, and execution, and intends to continue to evaluate all available options to achieve such objectives.\n\nDepending on various factors, including, without limitation, market conditions, the Company's performance, and ongoing discussions with the Company and other shareholders, the Reporting Person may from time to time increase or decrease its beneficial ownership of the Company's securities, and may pursue various alternatives with respect to its investment, including engaging with other shareholders, seeking board representation, or pursuing other actions available to shareholders.\n\nThe Reporting Person reserves the right to formulate and pursue any plans or proposals described in Item 4 of Schedule 13D, subject to applicable law.\n\nA copy of the Open Letter (Series 1) is attached hereto as Exhibit 99.1 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1665300/000198938626000005/0001989386-26-000005-index.html" }, { "accession_no": "0001213900-26-076953", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1574565, "issuer_name": "Evogene Ltd.", "issuer_cusip": "M4119S187", "securities_class_title": "Ordinary shares, par value NIS 0.20 per share and American Depositary Shares, each representing one (1) Ordinary Share", "date_of_event": "2026-07-10", "filed_date": "2026-07-10", "item3_funds_source": "The Ordinary Shares reported herein as beneficially owned by the Reporting Persons were acquired with the working capital of the Reporting Persons as applicable (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business).", "item4_transaction_purpose": "On July 10, 2026, the Reporting Persons delivered a letter to the Issuer demanding that the Issuer convene a special general meeting of shareholders. In such letter, the Reporting Persons requested that the agenda of the special general meeting include proposals to (i) remove the current members of the Issuer's board of directors other than Mr. Ofer Haviv, (ii) elect the Reporting Persons' nominees to the Issuer's board of directors and (iii) approve compensation, exemption, indemnification and insurance arrangements for such nominees. A copy of the letter is attached hereto as Exhibit 2.\n\nThe Reporting Persons believe that changes to the composition of the Issuer's board of directors are necessary in order to enhance shareholder value and improve oversight of the Issuer's business and operations.\n\nThe Reporting Persons intend to engage in discussions with the Issuer's board of directors, management, shareholders and other interested parties regarding the foregoing matters and may take such actions as they determine appropriate in connection therewith, including seeking shareholder support for the proposals described above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574565/000121390026076953/0001213900-26-076953-index.html" }, { "accession_no": "0001193125-26-300964", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1381640, "issuer_name": "Melco Resorts & Entertainment Limited", "issuer_cusip": "585464100", "securities_class_title": "Ordinary Shares, par value $0.01 per share", "date_of_event": "2026-04-05", "filed_date": "2026-07-10", "item3_funds_source": "Melco Leisure was one of the founding shareholders of the Issuer and received 500,000,000 Ordinary Shares from the Issuer in March 2005 in exchange for the contribution of various operating assets and development projects to start the Issuer's business. The contributed assets were existing assets of Melco Leisure and its affiliates.\n\nMelco Leisure purchased 33,750,000 additional Ordinary Shares in May 2009 from the Issuer for $44,887,500 as part of a registered public offering conducted by the Issuer to raise additional capital.\n\nDuring 2010, 2011 and 2012, Melco Leisure acquired 2,366,538, 20,105,965 and 3,006,540 Ordinary Shares, respectively, through various transactions.\n\nIn February 2017, Melco Leisure purchased 198,000,000 Ordinary Shares for $1.188 billion from Crown Asia Investments Pty. Ltd. (\"Crown Asia\"), which was the other founding shareholder of the Issuer. The purpose of this transaction was to buy out some of the interests of Crown Asia, which wanted to divest itself of some of its interests in the Issuer. Crown Asia simultaneously sold 40,925,499 Ordinary Shares to the public in an underwritten secondary offering. Through this transaction, the Reporting Persons obtained majority control over the Issuer. The purchase price was financed with a bank loan which was secured by 727,733,982 Ordinary Shares held by Melco Leisure.\n\nIn July 2019, the Issuer acquired a 75% interest in ICR Cyprus Holdings Limited from Melco International in exchange for the issuance of 55,500,738 Ordinary Shares to Melco Leisure. These Ordinary Shares were valued by the parties at $375,000,000.\n\nIn June 2021, Melco Leisure and Melco International entered into a $1 billion, 5-year credit facility (the \"Credit Facility\") which refinanced the February 2017 bank loan. The Credit Facility is secured by 677,360,904 Ordinary Shares held by Melco Leisure.\n\nIn March 2022, the Issuer entered into a facility agreement with Melco International (the \"Intercompany Loan Agreement\"), pursuant to which a $250 million revolving loan facility was granted by the Issuer as lender to Melco International as borrower for a period of 12 months after the first utilization date (the last day of such period being the \"Final Repayment Date\"). A drawdown by Melco International in the amount of $200 million was utilized in April 2022 and repaid in January 2023. On December 31, 2022, the Issuer and Melco International executed an Amendment Letter whereby the parties agreed to extend the Final Repayment Date to June 30, 2024.\n\nIn August 2022, the Issuer repurchased 84,995,799 Ordinary Shares from Melco Leisure for an aggregate purchase price of $152,709,118. These repurchases provided liquidity and working capital for Melco Leisure and Melco International.\n\nIn August 2023, the Issuer, Melco Leisure and Melco International entered into a share repurchase agreement (\"Share Repurchase Agreement\"), pursuant to which Melco Leisure agreed to sell and the Issuer agreed to repurchase 40,373,076 Ordinary Shares for an aggregate repurchase price of $169,836,073. The net proceeds from the repurchase were used to (i) pay all accrued interest, fees and expenses due under the Intercompany Loan Agreement, which was then terminated, and (ii) repay existing indebtedness of Melco International, or as otherwise agreed between the Issuer (acting through the disinterested members of the Audit and Risk Committee of its board of directors), Melco Leisure and Melco International. The description of the Share Repurchase Agreement in this Item 3 is qualified in its entirety by reference to the complete text of the Share Repurchase Agreement, which was filed as Exhibit 99.2 to Amendment No. 7 to the Schedule 13D filed on March 9, 2023 and which is incorporated herein by reference in its entirety.\n\nMr. Ho holds, has held, and from time to time expects to hold, directly and indirectly (other than through Melco International and Melco Leisure), Ordinary Shares and restricted shares obtained through various transactions, including open-market purchases of Ordinary Shares using cash on hand or the proceeds from borrowings, as well as grants of restricted shares and options by the Issuer to Mr. Ho in connection with his service as an officer and director of the Issuer and the vesting and exercises of such restricted shares and options.", "item4_transaction_purpose": "As of the date of this Amendment, the Reporting Persons control a majority of the Ordinary Shares. As the majority shareholders, the Reporting Persons can elect a majority of the members of the board of directors of the Issuer, and could thus indirectly control all aspects of the Issuer's business. As of the date of this Amendment, three out of seven board members of the Issuer are current officers or board members of Melco International and Melco Leisure, and thus the Reporting Persons have significant influence and control over the Issuer.\n\nEach Reporting Person may take actions pursuant to, exercise any of its rights under, and/or comply with the obligations of, each contract, governing document, or arrangement described above. Each Reporting Person may waive, delay the exercise of, decline to enforce, or decline to comply with, any of those rights and obligations in its sole discretion.\n\nThe Reporting Persons may, from time to time, engage in discussions, whether initiated by the Reporting Persons or another party, concerning proposals for transactions or other arrangements that may relate to or, if consummated, result in an event described in Item 4 of Schedule 13D under 17 CFR 240.13d-101. The Reporting Persons may review and evaluate their investments in the Issuer at any time, whether in light of the discussions described in the immediately preceding sentence or otherwise, which may give rise to plans or proposals that, if consummated, would result in one or more of the events described in Item 4 of Schedule 13D under 17 CFR 240.13d-101. Any such discussion or actions may depend upon various factors, including, without limitation, the Issuer's business prospects and other developments concerning the Issuer, alternative investment opportunities, general economic conditions, financial and stock market conditions and any other facts and circumstances that may become known to the Reporting Persons regarding or related to the matters described in this Amendment.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1381640/000119312526300964/0001193125-26-300964-index.html" }, { "accession_no": "0001140361-26-028176", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1328919, "issuer_name": "STEALTHGAS INC.", "issuer_cusip": "Y81669106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-08", "filed_date": "2026-07-10", "item3_funds_source": "The aggregate purchase price (inclusive of commissions) of the shares of Common Stock beneficially owned by TowerView as of the date hereof is $10,589,264. All shares of Common Stock reported herein were purchased with TowerView's working capital in open market transactions through brokers.", "item4_transaction_purpose": "TowerView holds its shares of the Company's Common Stock as an investment. TowerView believes that the Company's stock price has not properly reflected the value of its assets. TowerView has sent a letter to the Board of Directors of the Company requesting that they consider a liquidation of the Company's assets and the return of capital to the shareholders (the \"Letter\"). The foregoing description of the Letter does not purport to be complete and is qualified in its entirety by reference to the full text of the Letter, which is incorporated by reference as Exhibit 1, and is incorporated herein by reference.\n\nDepending on, among other things, trading prices for the Common Shares, the financial condition, results of operations and prospects of the Company, general economic, market and industry conditions, and TowerView's overall investment objectives, strategic position and financial condition, TowerView may, from time to time, acquire additional Common Shares in private or public transactions, maintain its present ownership position, or sell Common Shares. While the Common Shares held by TowerView were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the Company and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, it is possible that in the future, based on the factors enumerated above, that TowerView could engage in conversations with the management or Board members or other shareholders of the Company concerning the Company's financial condition and operations and possible transactions that the Company might pursue.\n\nExcept as set forth herein, at the present time, TowerView has no plans or proposals which relate to or would result in (a) the acquisition by any person of additional securities of the Company, or the disposition of securities of the Company, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Company or any of its subsidiaries, (c) a sale or transfer of a material amount of assets of the Company or any of its subsidiaries, (d) any change in the present board of directors or management of the Company, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the present capitalization or dividend policy of the Company, (f) any other material change in the Company's business or corporate structure, (g) changes in the Company's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Company by any person, (h) causing a class of securities of the Company to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of the Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934 or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1328919/000114036126028176/0001140361-26-028176-index.html" }, { "accession_no": "0001104659-26-082401", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1899830, "issuer_name": "Perfect Corp.", "issuer_cusip": "G7006A109", "securities_class_title": "Class A Ordinary Shares, par value of $0.10 per share", "date_of_event": "2026-07-10", "filed_date": "2026-07-10", "item3_funds_source": "On July 10, 2026, ProjectNY, an exempted company with limited liability incorporated under the laws of the Cayman Islands (\"Merger Sub\"), and Perfect Corp., an exempted company with limited liability incorporated under the laws of the Cayman Islands (the \"Issuer\" or the \"Company\"), entered into an Agreement and Plan of Merger (as may be amended, supplemented or otherwise modified from time to time, the \"Merger Agreement\"), pursuant to which Merger Sub will be merged with and into the Issuer (the \"Merger\"), with the Issuer surviving the Merger as the surviving company (the \"Surviving Company\"). Merger Sub is controlled by the Chairwoman Parties and, as of the date of this Amendment No. 2, does not own any Shares.\n\nPursuant to the Merger Agreement, at the Effective Time, each Class A ordinary share, par value US$0.10 per share, and each Class B ordinary share, par value US$0.10 per share, of the Issuer, other than Dissenting Shares, Continuing Shares and Excluded Shares, will be cancelled and cease to exist in consideration for the right to receive US$2.00 in cash per Share, without interest. The 36,960,961 Class A ordinary shares held by CyberLink International Technology Corp. (\"CyberLink International\") will constitute Continuing Shares, will not be cancelled in the Merger and will remain outstanding and continue to exist without interruption as ordinary shares of the Surviving Company. CyberLink International will not receive the Per Share Merger Consideration in respect of such Continuing Shares.\n\nThe Reporting Persons do not expect to expend funds to purchase additional Shares in connection with the Merger and do not have any payment obligations under the Limited Guarantee described in Item 4. The cash consideration payable to holders of Shares entitled to receive the Per Share Merger Consideration, together with other amounts payable in connection with the Merger, is expected to be funded through available cash of the Issuer in accordance with the terms of the Merger Agreement.\n\nThe information set forth in or incorporated by reference in Item 4 of this statement is incorporated herein by reference in its entirety.", "item4_transaction_purpose": "As previously disclosed, on March 18, 2026, Ms. Alice H. Chang (\"Ms. Chang\") and her controlled affiliates GOLDEN EDGE CO., LTD. (\"Golden Edge\"), DVDonet.com. Inc. (\"DVDonet\") and World Speed Company Limited (\"World Speed\" and, together with Ms. Chang, Golden Edge and DVDonet, the \"Chairwoman Parties\"), and CyberLink International entered into a consortium agreement (the \"Consortium Agreement\") in connection with a proposed going-private transaction involving the Issuer. In connection with the Consortium Agreement, the Chairwoman Parties and CyberLink International submitted a preliminary non-binding proposal, dated March 18, 2026 (the \"Proposal\"), to the Issuer's board of directors to acquire all of the outstanding ordinary shares of the Issuer not owned by them for US$1.95 per ordinary share in cash.\n\nOn July 10, 2026, the Chairwoman Parties and CyberLink International entered into a Termination Agreement (the \"Consortium Termination Agreement\"), pursuant to which the Consortium Agreement was terminated in its entirety and ceased to be of further force or effect. The Consortium Termination Agreement provides that, as of the date thereof, no party has any further rights or obligations under the Consortium Agreement and that CyberLink International will have no obligations with respect to the Transaction except as expressly set forth in the CyberLink Support Agreement (as defined below), the Consortium Termination Agreement or any other written agreement to which CyberLink International is a party in connection with the Transaction. Accordingly, CyberLink International ceased to participate as a member of the consortium formed pursuant to the Consortium Agreement and will instead have a limited and passive role in the Transaction as a continuing shareholder of the Issuer.\n\nOn July 10, 2026, Merger Sub and the Issuer entered into the Merger Agreement. Pursuant to the Merger Agreement, and subject to the terms and conditions thereof, Merger Sub will merge with and into the Issuer, with the Issuer continuing as the Surviving Company. At the Effective Time, each Share, other than Dissenting Shares, Continuing Shares and Excluded Shares, will be cancelled in exchange for the right to receive US$2.00 in cash per Share, without interest. Each Continuing Share will not be cancelled in the Merger and will remain outstanding and continue to exist without interruption as one validly issued, fully paid and non-assessable ordinary share of the Surviving Company. The Continuing Shares held by the Chairwoman Parties and CyberLink International will constitute all of the issued and outstanding share capital of the Surviving Company immediately after the Effective Time. The Merger Agreement also provides for, among other things, the treatment of Company Options, Company Warrants and Company Earnout Shares, the delisting of the Issuer's Class A ordinary shares from the New York Stock Exchange and the deregistration of the Issuer's equity securities under the Act.\n\nOn July 10, 2026, as an inducement to the Issuer's willingness to enter into the Merger Agreement, CyberLink International entered into a Voting and Support Agreement with Merger Sub (the \"CyberLink Support Agreement\"). Pursuant to the CyberLink Support Agreement, CyberLink International agreed, among other things, (i) to vote all of its Securities in favor of the authorization and approval of the Merger Agreement, the Plan of Merger and the Transactions, including the Merger, subject to the terms and conditions set forth therein, (ii) to vote against certain competing or inconsistent transactions or actions, (iii) to comply with certain restrictions on transfers of its Securities, (iv) to waive appraisal or dissenters' rights with respect to its Securities, (v) that its Continuing Shares will not be cancelled in the Merger and will remain outstanding and continue to exist without interruption as ordinary shares of the Surviving Company and (vi) to provide certain information and disclosure cooperation in connection with the Transaction. The CyberLink Support Agreement provides that CyberLink International will receive no cash consideration for its Continuing Shares.\n\nOn July 10, 2026, Merger Sub entered into a separate Voting and Support Agreement with the Chairwoman Parties (the \"Chairwoman Support Agreement\"), and Ms. Chang entered into a limited guarantee in favor of the Issuer (the \"Limited Guarantee\") to guarantee certain payment obligations of Merger Sub under the Merger Agreement, subject to the cap and other limitations set forth therein. The Reporting Persons are not parties to the Chairwoman Support Agreement or the Limited Guarantee and do not have any rights or obligations thereunder.\n\nIf the Merger is completed, the Issuer's Class A ordinary shares would be delisted from the New York Stock Exchange, and the Issuer's obligation to file periodic reports under the Act would terminate. In addition, consummation of the Merger may result in one or more of the actions specified in clauses (a)-(j) of Item 4 of Schedule 13D, including the acquisition or disposition of securities of the Issuer, a merger or other extraordinary transaction involving the Issuer, a change to the board of directors of the Issuer, and changes to the Issuer's memorandum and articles of association to reflect that the Issuer would become a privately held company.\n\nOther than as described in this Item 4, none of the Reporting Persons currently has any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D. No assurance can be given that the Merger will be consummated.\n\nThe information disclosed in this Item 4 does not purport to be complete and is qualified in its entirety by reference to the Merger Agreement, the Consortium Termination Agreement and the CyberLink Support Agreement, each of which is filed as an exhibit hereto or incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1899830/000110465926082401/0001104659-26-082401-index.html" }, { "accession_no": "0001104659-26-082399", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1899830, "issuer_name": "Perfect Corp.", "issuer_cusip": "G7006A109", "securities_class_title": "Class A Ordinary Shares, par value of $0.10 per share", "date_of_event": "2026-07-10", "filed_date": "2026-07-10", "item3_funds_source": "On July 10, 2026, ProjectNY, an exempted company with limited liability incorporated under the laws of the Cayman Islands (\"Merger Sub\"), and Perfect Corp., an exempted company with limited liability incorporated under the laws of the Cayman Islands (the \"Issuer\" or the \"Company\"), entered into an Agreement and Plan of Merger (as may be amended, supplemented or otherwise modified from time to time, the \"Merger Agreement\"), pursuant to which Merger Sub will be merged with and into the Issuer (the \"Merger\"), with the Issuer surviving the Merger as the surviving company (the \"Surviving Company\"). Merger Sub is an entity controlled by the Chairwoman Parties and was formed solely for purposes of the Merger and the other transactions contemplated by the Merger Agreement.\n\nPursuant to the Merger Agreement, at the Effective Time, each Class A ordinary share, par value 0.10 per share, and each Class B ordinary share, par value US$0.10 per share, of the Issuer, other than Dissenting Shares, Continuing Shares and Excluded Shares, will be cancelled and cease to exist in consideration for the right to receive US$2.00 in cash per Share, without interest. The Continuing Shares held by the Reporting Persons and CyberLink International Technology Corp. (\"CyberLink International\") will not be cancelled in the Merger and will remain outstanding and continue to exist without interruption as ordinary shares of the Surviving Company, and the holders of such Continuing Shares will not receive the Per Share Merger Consideration in respect of such Continuing Shares.\n\nThe Reporting Persons do not expect to expend funds to purchase additional Shares in connection with the Merger. The cash consideration payable to holders of Shares entitled to receive the Per Share Merger Consideration, together with other amounts payable in connection with the Merger, is expected to be funded through available cash of the Issuer in accordance with the terms of the Merger Agreement. In connection with the Merger Agreement, Ms. Chang has delivered a Limited Guarantee in favor of the Issuer to guarantee certain payment obligations of Merger Sub under the Merger Agreement, subject to the limitations set forth therein.\n\nThe information set forth in or incorporated by reference in Item 4 of this statement is incorporated herein by reference in its entirety.", "item4_transaction_purpose": "As previously disclosed, on March 18, 2026, Ms. Alice H. Chang (\"Ms. Chang\") and her controlled affiliates GOLDEN EDGE CO., LTD. (\"Golden Edge\"), DVDonet.com. Inc. (\"DVDonet\") and World Speed Company Limited (\"World Speed\" and, together with Ms. Chang, Golden Edge and DVDonet, the \"Chairwoman Parties\"), and CyberLink International entered into a consortium agreement (the \"Consortium Agreement\") in connection with a proposed going-private transaction involving the Issuer. In connection with the Consortium Agreement, the Chairwoman Parties and CyberLink International submitted a preliminary non-binding proposal, dated March 18, 2026 (the \"Proposal\"), to the Issuer's board of directors to acquire all of the outstanding ordinary shares of the Issuer not owned by them for US$1.95 per ordinary share in cash.\n\nOn July 10, 2026, the Chairwoman Parties and CyberLink International entered into a Termination Agreement (the \"Consortium Termination Agreement\"), pursuant to which the Consortium Agreement was terminated in its entirety and ceased to be of further force or effect. The Consortium Termination Agreement provides that, as of the date thereof, no party has any further rights or obligations under the Consortium Agreement and that CyberLink International will have no obligations with respect to the Transaction except as expressly set forth in the CyberLink Support Agreement (as defined below), the Consortium Termination Agreement or any other written agreement to which CyberLink International is a party in connection with the Transaction.\n\nOn July 10, 2026, Merger Sub and the Issuer entered into the Merger Agreement. Pursuant to the Merger Agreement, and subject to the terms and conditions thereof, Merger Sub will merge with and into the Issuer, with the Issuer continuing as the Surviving Company. At the Effective Time, each Share, other than Dissenting Shares, Continuing Shares and Excluded Shares, will be cancelled in exchange for the right to receive US$2.00 in cash per Share, without interest. Each Continuing Share will not be cancelled in the Merger and will remain outstanding and continue to exist without interruption as one validly issued, fully paid and non-assessable ordinary share of the Surviving Company. The Continuing Shares held by the Chairwoman Parties and CyberLink International will constitute all of the issued and outstanding share capital of the Surviving Company immediately after the Effective Time. The Merger Agreement also provides for, among other things, the treatment of Company Options, Company Warrants and Company Earnout Shares, the delisting of the Issuer's Class A ordinary shares from the New York Stock Exchange and the deregistration of the Issuer's equity securities under the Act.\n\nOn July 10, 2026, as an inducement to the Issuer's willingness to enter into the Merger Agreement, the Chairwoman Parties entered into a Voting and Support Agreement with Merger Sub (the \"Chairwoman Support Agreement\"). Pursuant to the Chairwoman Support Agreement, each Chairwoman Party agreed, among other things, (i) to vote all of its or her Securities in favor of the authorization and approval of the Merger Agreement, the Plan of Merger and the Transactions, including the Merger, subject to the terms and conditions set forth therein, (ii) to vote against certain competing or inconsistent transactions or actions, (iii) to comply with certain restrictions on transfers of its or her Securities, (iv) to waive appraisal or dissenters' rights with respect to its or her Securities and (v) that its or her Continuing Shares will not be cancelled in the Merger and will remain outstanding and continue to exist without interruption as ordinary shares of the Surviving Company. The Chairwoman Support Agreement provides that the Chairwoman Parties will receive no cash consideration for their Continuing Shares.\n\nOn July 10, 2026, as an inducement to the Issuer's willingness to enter into the Merger Agreement, CyberLink International entered into a separate Voting and Support Agreement with Merger Sub (the \"CyberLink Support Agreement\" and, together with the Chairwoman Support Agreement, the \"Support Agreements\"). Pursuant to the CyberLink Support Agreement, CyberLink International agreed, among other things, (i) to vote all of its Securities in favor of the authorization and approval of the Merger Agreement, the Plan of Merger and the Transactions, including the Merger, subject to the terms and conditions set forth therein, (ii) to vote against certain competing or inconsistent transactions or actions, (iii) to comply with certain restrictions on transfers of its Securities, (iv) to waive appraisal or dissenters' rights with respect to its Securities and (v) that its Continuing Shares will not be cancelled in the Merger and will remain outstanding and continue to exist without interruption as ordinary shares of the Surviving Company. The CyberLink Support Agreement provides that CyberLink International will receive no cash consideration for its Continuing Shares.\n\nOn July 10, 2026, Ms. Chang entered into a limited guarantee in favor of the Issuer (the \"Limited Guarantee\"), pursuant to which Ms. Chang guaranteed the due and punctual payment, observance, performance and discharge of certain payment obligations of Merger Sub under the Merger Agreement, including the Merger Sub Termination Fee and certain related collection costs and expenses, subject to the cap and other limitations set forth in the Limited Guarantee.\n\nIf the Merger is completed, the Issuer's Class A ordinary shares would be delisted from the New York Stock Exchange, and the Issuer's obligation to file periodic reports under the Act would terminate. In addition, consummation of the Merger may result in one or more of the actions specified in clauses (a)-(j) of Item 4 of Schedule 13D, including the acquisition or disposition of securities of the Issuer, a merger or other extraordinary transaction involving the Issuer, a change to the board of directors of the Issuer, and changes to the Issuer's memorandum and articles of association to reflect that the Issuer would become a privately held company.\n\nOther than as described in this Item 4, none of the Reporting Persons currently has any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D. No assurance can be given that the Merger will be consummated.\n\nThe information disclosed in this Item 4 does not purport to be complete and is qualified in its entirety by reference to the Merger Agreement, the Consortium Termination Agreement, the Chairwoman Support Agreement, the CyberLink Support Agreement and the Limited Guarantee, each of which is filed as an exhibit hereto or incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1899830/000110465926082399/0001104659-26-082399-index.html" }, { "accession_no": "0000921895-26-001792", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1169445, "issuer_name": "TruBridge, Inc.", "issuer_cusip": "205306103", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-09", "filed_date": "2026-07-10", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nAs previously disclosed, on April 23, 2026, the Issuer entered into an Agreement and Plan of Merger (the \"Merger Agreement\") with Inventurus Knowledge Solutions, Inc., a Delaware corporation (\"Parent\"), IKS Next Horizon, Inc., a Delaware corporation and wholly owned subsidiary of Parent (\"Merger Sub\"), and solely for certain limited purposes as specified therein, Inventurus Knowledge Solutions Limited, an Indian public limited company. On July 9, 2026, pursuant to the terms and conditions of the Merger Agreement, Merger Sub merged with and into the Issuer (the \"Merger\"), effective as of the effective time of the Merger (the \"Effective Time\"), with the Issuer continuing as the surviving corporation in the Merger and a wholly owned subsidiary of Parent. At the Effective Time, each Share owned by the Reporting Persons immediately prior to the Effective Time was automatically converted into the right to receive $26.25 per Share in cash, without interest (the \"Per Share Merger Consideration\"), pursuant to the Merger Agreement.\n\nAccordingly, as a result of the Merger, the Reporting Persons no longer beneficially own any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1169445/000092189526001792/0000921895-26-001792-index.html" }, { "accession_no": "0000912282-26-000965", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1218683, "issuer_name": "Big Digital Energy, Inc.", "issuer_cusip": "57778N307", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-30", "filed_date": "2026-07-10", "item3_funds_source": "Item 3 is hereby amended to read as follows:\n\nThe Series D Convertible Preferred Stock (the \"Series D\") and underlying Shares of the Issuer were purchased by Six Thirty AI with funds borrowed from YA II PN, LTD, an investor otherwise unaffiliated with the Issuer, for the purpose of acquiring the Series D. See Item 4 for additional information. The aggregate purchase price of the 16,700 shares of Series D beneficially owned by Six Thirty AI is 90% of the face amount of $16,700,000, or $15,030,000.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following: On June 30, 2026, Six Thirty AI purchased in a private placement 16,700 shares of the Issuer's Series D Convertible Preferred Stock (\"Series D\") with funds borrowed by Six Thirty AI from YA II PN, LTD, an investor otherwise unaffiliated with the Issuer. Six Thirty AI has the right to convert the Series D into Shares within 60 days of the date reflected on Amendment No. 10 to Schedule 13D filed with the SEC on July 2, 2026. The Series D and underlying Shares are pledged to YA II PN, LTD pursuant to a Loan and Guaranty Agreement dated June 30, 2026, and related agreements, and the Series D are exchangeable for the borrowed funds. The Conversion Price floats (95% of lowest daily VWAP in the five trading days prior to notice of conversion, with a floor price of $1.80 (20% of the closing price immediately prior to the initial closing), but there is a 19.99% cap on conversion until shareholder approval is obtained. The floating Conversion Price is otherwise subject to the terms and conditions established in the Certificate of Designations for the Series D Convertible Preferred Stock. Assuming the daily VWAP of a Share as of June 30, 2026 ($8.81) is used to calculate the Conversion Price, the Series D Convertible Preferred Stock would convert into 1,995,221 Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1218683/000091228226000965/0000912282-26-000965-index.html" }, { "accession_no": "0000912282-26-000961", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1534133, "issuer_name": "CalciMedica, Inc.", "issuer_cusip": "38942Q202", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-07-10", "item3_funds_source": "On March 20, 2023, the Delaware corporation formerly known as \"Graybug Vision, Inc.\" completed its previously announced merger transaction in accordance with the terms and conditions of the Agreement and Plan of Merger and Reorganization, dated as of November 21, 2022, as amended on February 10, 2023 (the \"Merger Agreement\"), by and among Graybug Vision, Inc. (\"Graybug\"), Camaro Merger Sub, Inc., a wholly owned subsidiary of Graybug (\"Merger Sub\"), and CalciMedica, Inc. (\"CalciMedica\"), pursuant to which Merger Sub merged with and into CalciMedica, with CalciMedica surviving the merger as a wholly owned subsidiary of Graybug (the \"Merger\"). Additionally, on March 20, 2023, the Issuer changed its name from \"Graybug Vision, Inc.\" to \"CalciMedica, Inc.\". See Item 2.01 of the Issuer's current report on Form 8-K filed with the Commission on March 22, 2023 for additional information regarding completion of the Merger.\n\nOn January 23, 2024, in connection with the closing of the Issuer's private placement transaction, the Reporting Persons purchased 261,302 shares of Common Stock and received two Common Stock Warrants to purchase an aggregate of 261,302 shares of Common Stock. On December 31, 2024, one Common Stock Warrant to purchase 130,651 shares of Common Stock expired. The remaining Common Stock Warrant has an exercise price equal to $7.15 per share and is exercisable at any time for one share of Common Stock until the earlier of (i) 5:00 p.m. on December 31, 2026 and (ii) thirty days after the Issuer's disclosure of topline results from its planned Phase 2 clinical trial patients with acute kidney injury; provided, however, that the holder will be prohibited, subject to certain exceptions, from exercising such warrant for shares of Common Stock to the extent that immediately prior to or after giving effect to such exercise, the holder, together with its affiliates and other attribution parties, would own more than 4.99% of the total number of shares of Common Stock then issued and outstanding, which percentage may be changed at the holder's election to a lower percentage at any time or to a higher percentage upon 61 days' notice to the Issuer.\n\nOn March 20, 2023, the Delaware corporation formerly known as \"Graybug Vision, Inc.\" completed its previously announced merger transaction in accordance with the terms and conditions of the Agreement and Plan of Merger and Reorganization, dated as of November 21, 2022, as amended on February 10, 2023 (the \"Merger Agreement\"), by and among Graybug Vision, Inc. (\"Graybug\"), Camaro Merger Sub, Inc., a wholly owned subsidiary of Graybug (\"Merger Sub\"), and CalciMedica, Inc. (\"CalciMedica\"), pursuant to which Merger Sub merged with and into CalciMedica, with CalciMedica surviving the merger as a wholly owned subsidiary of Graybug (the \"Merger\"). Additionally, on March 20, 2023, the Issuer changed its name from \"Graybug Vision, Inc.\" to \"CalciMedica, Inc.\". See Item 2.01 of the Issuer's current report on Form 8-K filed with the Commission on March 22, 2023 for additional information regarding completion of the Merger.\n\nOn January 23, 2024, in connection with the closing of the Issuer's private placement transaction, the Reporting Persons purchased 261,302 shares of Common Stock and received two Common Stock Warrants to purchase an aggregate of 261,302 shares of Common Stock. On December 31, 2024, one Common Stock Warrant to purchase 130,651 shares of Common Stock expired. The remaining Common Stock Warrant has an exercise price equal to $7.15 per share and is exercisable at any time for one share of Common Stock until the earlier of (i) 5:00 p.m. on December 31, 2026 and (ii) thirty days after the Issuer's disclosure of topline results from its planned Phase 2 clinical trial patients with acute kidney injury; provided, however, that the holder will be prohibited, subject to certain exceptions, from exercising such warrant for shares of Common Stock to the extent that immediately prior to or after giving effect to such exercise, the holder, together with its affiliates and other attribution parties, would own more than 4.99% of the total number of shares of Common Stock then issued and outstanding, which percentage may be changed at the holder's election to a lower percentage at any time or to a higher percentage upon 61 days' notice to the Issuer.\n\nIn 2024 and 2025, the Reporting Persons also purchased on the open market an aggregate of 1,321,851 shares of Common Stock at prices ranging from $2.10 to $3.75 per share for an aggregate purchase price of approximately $3.6 million.\n\nOn June 23, 2026, the Issuer entered into a securities purchase agreement (the \"Purchase Agreement\") with certain new and existing institutional and accredited investors named therein (each, an \"Investor\" and collectively, the \"Investors\"), for the private placement (the \"Private Placement\") of an aggregate of 14,938,370 units (the \"Units\"), each Unit comprised of (i) (A) one share of the Common Stock, or (B) one pre-funded warrant to purchase one share of Common Stock (each, a \"Pre-Funded Warrant\" and collectively, the \"Pre-Funded Warrants\"), and, in each case, (ii) a right to receive one Series A warrant to purchase one share of Common Stock or a pre-funded warrant to purchase one share of Common Stock (each, a \"Series A Warrant\" and collectively, the \"Series A Warrants\") upon receipt of Stockholder Approval (as defined below), and (iii) a right to receive one Series B warrant to purchase one share of Common Stock or a pre-funded warrant to purchase one share of Common Stock (each, a \"Series B Warrant\" and collectively, the \"Series B Warrants\", and together with the Series A Warrants, the \"Warrants\") upon receipt of Stockholder Approval (the shares of Common Stock issuable upon exercise of the Pre-Funded Warrants and Warrants, the \"Warrant Shares\"). \"Stockholder Approval\" means such approval as may be required by the applicable rules and regulations of The Nasdaq Capital Market from the stockholders of the Issuer with respect to the issuance of all of the Series A Warrants and Series B Warrants and the Warrant Shares issuable upon the exercise thereof. A Unit comprised of one share of Common Stock, one right to receive a Series A Warrant and one right to receive a Series B Warrant shall have a purchase price of $0.8033 (the \"Common Stock Unit Purchase Price\") and a Unit comprised of one Pre-Funded Warrant, one right to receive a Series A Warrant and one right to receive a Series B Warrant shall have a purchase price of $0.8032 (the \"Pre-Funded Warrant Unit Purchase Price\", and together with the Common Stock Unit Purchase Price, the \"Purchase Prices\"). Each Pre-Funded Warrant will have an exercise price of $0.0001 per Pre-Funded Warrant Share, will be immediately exercisable on the date of issuance and will not expire. If a registration statement covering the resale of the Pre-Funded Warrant Shares is not available, the Pre-Funded Warrants may also be exercisable on a net exercise \"cashless\" basis. The Pre-Funded Warrants may not be exercised if the aggregate number of shares of Common Stock beneficially owned by the holder thereof immediately following such exercise would exceed a specified beneficial ownership limitation, not to exceed 19.99%. The Series A Warrants shall have an exercise price equal to $0.8033 per Warrant Share, will be exercisable immediately upon issuance and will expire on the earlier of (i) 18 months after the closing date of the Private Placement and (ii) 30 days following the Issuer's public announcement of the clearance of its Investigational New Drug Application by the U.S. Food and Drug Administration for CM5480 (the \"Series A Expiration Date\"); provided that if such date occurs prior to the date on which Stockholder Approval is obtained (the \"Stockholder Approval Date\"), the Series A Expiration Date shall be extended until 30 days following the Stockholder Approval Date. The Series A Warrants will be issued upon receipt of Stockholder Approval. If a registration statement covering the resale of the Warrant Shares is not available, the Series A Warrants may also be exercisable on a net exercise \"cashless\" basis. The Series A Warrants may not be exercised if the aggregate number of shares of Common Stock beneficially owned by the holder thereof immediately following such exercise would exceed a specified beneficial ownership limitation, not to exceed 19.99%. To the extent that exercise of the Series A Warrants will result in a holder thereof beneficially owning shares of Common Stock above such ownership limitations, the holder may exercise its Series A Warrants for pre-funded warrants to purchase shares of Common Stock. Such pre-funded warrants will have terms substantially similar to the Pre-Funded Warrants described above. The Series B Warrants shall have an exercise price equal to $1.00 per Warrant Share, will be exercisable immediately upon issuance and will expire five years from the closing date of the Private Placement. The Series B Warrants will be issued upon receipt of Stockholder Approval. If a registration statement covering the resale of the Warrant Shares is not available, the Series B Warrants may also be exercisable on a net exercise \"cashless\" basis. The Series B Warrants may not be exercised if the aggregate number of shares of Common Stock beneficially owned by the holder thereof immediately following such exercise would exceed a specified beneficial ownership limitation, not to exceed 19.99%. To the extent that exercise of the Series B Warrants will result in a holder thereof beneficially owning shares of Common Stock above such ownership limitations, the holder may exercise its Series B Warrants for pre-funded warrants to purchase shares of Common Stock. Such pre-funded warrants will have terms substantially similar to the Pre-Funded Warrants described above. The exercise price and the number of Warrant Shares will be subject to appropriate adjustment in the event of certain stock dividends and distributions, stock splits, stock combinations, reclassifications or similar events affecting the Common Stock. Pursuant to the Purchase Agreement, the Issuer agreed to file a registration statement with the U.S. Securities and Exchange Commission (the \"SEC\") within 30 days after the closing of the Private Placement (subject to certain exceptions) for purposes of registering the resale of the shares of Common Stock and the Warrant Shares, to use its reasonable best efforts to have such registration statement declared effective within the time period set forth in the Purchase Agreement, and to keep such registration statement effective until the earliest of (i) the time as all of the shares of Common Stock and Warrant Shares purchased by the Investors pursuant to the terms of the Purchase Agreement have been sold or otherwise transferred by the holder thereof pursuant to and in a manner contemplated by the registration statement, (ii) such time as such shares of Common Stock or Warrant Shares are sold pursuant to Rule 144 under circumstances in which any legend borne by such security relating to restrictions on transferability thereof, under the Securities Act of 1933, as amended (the \"Securities Act\"), or otherwise, is removed by the Issuer, or (iii) such time as the shares of Common Stock and Warrant Shares become eligible for resale by non-affiliates without any volume limitations or other restrictions pursuant to Rule 144 under the Securities Act or any other rule of similar effect. On June 25, 2026, in connection with the closing of the Private Placement, Alafi Capital purchased 3,529,192 Units for $0.8033 per Unit for an aggregate purchase price of approximately $2.8 million and received 3,529,192 shares of Common Stock. The Series A Warrant to purchase 3,529,192 shares of Common Stock and the Series B Warrant to purchase 3,529,192 shares of Common Stock will be issued subject to stockholder approval. All shares of the capital stock of the Issuer purchased by Alafi Capital have been purchased using investment funds provided to Alafi Capital by its limited partner and general partner investors.", "item4_transaction_purpose": "None", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1534133/000091228226000961/0000912282-26-000961-index.html" }, { "accession_no": "0000905148-26-003237", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1743881, "issuer_name": "BridgeBio Pharma, Inc.", "issuer_cusip": "10806X102", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-09", "filed_date": "2026-07-10", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nThe response to Item 5(c) of this Amendment No. 12 is incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1743881/000090514826003237/0000905148-26-003237-index.html" }, { "accession_no": "0000897101-26-000331", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 811922, "issuer_name": "ABERDEEN GOVERNMENT MARKETS INCOME FUND", "issuer_cusip": "552939100", "securities_class_title": "Common Stock", "date_of_event": "2026-07-08", "filed_date": "2026-07-10", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/811922/000089710126000331/0000897101-26-000331-index.html" }, { "accession_no": "0000038777-26-000186", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-07-09", "filed_date": "2026-07-10", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000186/0000038777-26-000186-index.html" }, { "accession_no": "0002141719-26-000003", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2088256, "issuer_name": "Horizon Quantum Holdings Ltd.", "issuer_cusip": "Y4000A102", "securities_class_title": "Class A Ordinary Shares, no par value", "date_of_event": "2026-03-19", "filed_date": "2026-07-09", "item3_funds_source": "Between March 25, 2020 and July 23, 2025, Peak Investments Seed acquired securities of Horizon Quantum Computing Pte. Ltd. (Company Registration No.: 201802755E), a Singapore private company limited by shares (\"Private Horizon\") for an aggregate investment of $6,000,000.\n\nEffective March 16, 2026 (the \"Closing Date\"), pursuant to the business combination agreement, dated as of September 9, 2025 (the \"Business Combination Agreement\") by and among the Issuer, dMY Squared Technology Group, Inc., Rose Acquisition Pte. Ltd. (Company Registration No.: 202537790M), a Singapore private company limited by shares and a wholly-owned subsidiary of the Issuer, Horizon Merger Sub 2, Inc., a Massachusetts corporation and wholly-owned subsidiary of the Issuer, and Private Horizon, all outstanding securities of Private Horizon, including the securities held by Peak Investments Seed, were automatically converted into the right to receive securities of the Issuer, on the terms and subject to the conditions of the Business Combination Agreement (the \"Closing\"). In the Closing, Peak Investments Seed's Private Horizon securities were converted into an aggregate of 6,468,999 Class A Ordinary Shares of the Issuer.\n\nThe funds Peak Investments Seed used to acquire the securities described above were contributed to Peak Investments Seed by Peak Seed I and Peak Principals Seed I. Peak Seed I and Peak Principals Seed I received such funds through capital contributions from their respective equity investors.", "item4_transaction_purpose": "Peak Investments Seed purchased the aforementioned securities for investment purposes with the aim of increasing the value of its investments and the Issuer. Subject to applicable legal requirements, one or more of the Reporting Persons may purchase additional securities of the Issuer from time to time in open market or private transactions, depending on its evaluation of the Issuer's business, prospects and financial condition, the market for the Issuer's securities, other developments concerning the Issuer, the reaction of the Issuer to the Reporting Persons' ownership of the Issuer's securities, other opportunities available to the Reporting Persons, and general economic, money market and stock market conditions. In addition, depending upon the factors referred to above, the Reporting Persons may dispose of all or a portion of their securities of the Issuer at any time (including by means of programs adopted pursuant to Rule 10b5-1 under the Act). Each of the Reporting Persons reserves the right to increase or decrease its holdings on such terms and at such times as each may decide.\n\nExcept as set forth in this Item 4 and Item 6 below, none of the Reporting Persons has a present plan or proposal that relates to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Act. However, each of the Reporting Persons reserves the right to propose or participate in future transactions which may result in one or more of such actions, including but not limited to, an extraordinary corporate transaction, such as a merger, reorganization or liquidation, sale of a material amount of assets of the Issuer or its subsidiaries, or other transactions which might have the effect of causing the Class A Ordinary Shares to become eligible for termination of registration under Section 12(g) of the Act. The Reporting Persons also retain the right to change their investment intent at any time, to acquire additional shares of Class A Ordinary Shares or other securities of the Issuer from time to time, or to sell or otherwise dispose of all or part of the Class A Ordinary Shares beneficially owned by them (or any shares of Class A Ordinary Shares into which such securities are converted) in any manner permitted by law. The Reporting Persons may engage from time to time in ordinary course transactions with financial institutions with respect to the securities described herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2088256/000214171926000003/0002141719-26-000003-index.html" }, { "accession_no": "0001999371-26-014664", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 276720, "issuer_name": "Pure Cycle Corp", "issuer_cusip": "746228303", "securities_class_title": "Common Stock, par value 1/3 of $0.01 per share", "date_of_event": "2026-05-21", "filed_date": "2026-07-09", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn May 21, 2026, Daniel J. Roller resigned from his position as a member of the Board of Directors of the Issuer (the \"Board\").\n\nOn July 7, 2026, Daniel Kozlowski resigned from his position as a member of the Board.\n\nMaran Capital Management intends to exercise its replacement rights for both Daniel J. Roller and Daniel Kozlowski as detailed in Item 1(a)(ii) of its Cooperation Agreement with the Issuer dated January 14, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/276720/000199937126014664/0001999371-26-014664-index.html" }, { "accession_no": "0001734341-26-000007", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1614178, "issuer_name": "Yext, Inc.", "issuer_cusip": "98585N106", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-09", "item3_funds_source": "All of the Common Stock reported herein was purchased by Lynrock Lake Master Fund LP (the \"Lynrock Fund\") between March 9, 2022 and June 15, 2026. The source of the capital to purchase such securities was the Lynrock Fund's working capital, consisting of contributions from its general and limited partners (and which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 19,015,087 shares of Common Stock reported herein is approximately $122,020,350, inclusive of brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons acquired beneficial ownership of the shares of Common Stock reported herein for investment purposes, and such acquisition was made in the Reporting Persons' ordinary course of business. The Reporting Persons filed an initial Schedule 13G on February 14, 2024, which filing was amended on November 14, 2024, February 14, 2025, May 15, 2025, November 7, 2025, February 10, 2026 and April 7, 2026 (as amended, the \"Schedule 13G\"). The Reporting Persons are filing this Schedule 13D to supersede the Schedule 13G.\n\nAs an institutional investor and a significant holder of the Issuer's common stock, representatives of Lynrock Lake LP, including Ms. Paul, from time to time engage in ordinary course discussions with members of the Issuer's management team and board of directors regarding topics including the Issuer's business, operations, and financial performance. On July 1, 2026, during a conversation with the Issuer's general counsel, the Issuer extended an invitation to Ms. Paul to join the Issuer's Board of Directors, subject to the satisfaction of customary governance approvals. Ms. Paul accepted the invitation. On July 7, 2026, the board formally approved the appointment of Ms. Paul as a director, to serve until the Issuer's 2027 Annual Meeting of Stockholders.\n\nMs. Paul currently serves as a director of the Issuer and therefore will engage in regular discussions with the Issuer's board of directors and management as part of her duties as a director. Neither Ms. Paul (other than in her capacity as a director) nor the other Reporting Persons have any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons may, in their sole discretion, depending on market conditions, an evaluation of the business and the prospects of the Issuer and other factors, purchase additional Common Stock, or other securities convertible into or exchangeable for Common Stock, or dispose of Common Stock or other securities convertible into or exchangeable for Common Stock, from time to time in the open market, in privately negotiated transactions or otherwise, subject to market conditions and other factors. The Reporting Persons also may engage in conversations with management and/or the Board regarding a range of issues, including those relating to the business and strategy of the Issuer, management, corporate governance, operations, investor communications, capital allocation, capital structure, mergers and acquisitions strategy, and executive compensation. The Reporting Persons also may have conversations with other interested parties, including industry analysts, other shareholders, existing or potential strategic partners or competitors, and other professionals.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1614178/000173434126000007/0001734341-26-000007-index.html" }, { "accession_no": "0001493152-26-032723", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1775734, "issuer_name": "Beneficient", "issuer_cusip": "08178Q507", "securities_class_title": "Class A Common Stock, par value $0.001 per share", "date_of_event": "2025-10-15", "filed_date": "2026-07-09", "item3_funds_source": "Item 4 below, which is incorporated herein by reference, summarizes certain agreements that pertain to the securities of the Issuer that are held by the Reporting Person.", "item4_transaction_purpose": "REU Agreement\n\nPursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan (as amended, the \"Plan\") and the Restricted Equity Unit Award Agreement between the Issuer and Mr. Silk (the \"REU Agreement\"), Mr. Silk received an award of 28 restricted equity units (\"REUs\") representing 35 Class A Shares on April 1, 2022. Such award of REUs vested 40% on June 8, 2023 and in 20% installments on each of April 1, 2024 and April 1, 2025. The remaining 20% vested on April 1, 2026. Additionally, on January 1, 2020, Mr. Silk received an award of 87 REUs representing 109 Class A Shares. Such award of REUs vested 20% on the date of grant and in 20% installments on each of January 1, 2021, 2022, 2023 and 2024.\n\nThe foregoing description of the REU award does not purport to be complete and is qualified in its entirety by reference to the Plan, the First Amendment to the Plan, and a form of the REU Agreement, which are incorporated herein by reference to Exhibits 99.1, 99.2, and 99.3, respectively, of this Schedule 13D.\n\nRSU Agreement\n\nPursuant to the Beneficient 2023 Long-Term Incentive Plan (the \"2023 Plan\") and the Restricted Stock Award Agreement between the Issuer and Mr. Silk (the \"RSU Agreement\"), Mr. Silk received an award of 150 restricted stock units (\"RSUs\") on July 15, 2023. Such award of RSUs vested in 20% installments on each of September 1, 2023, September 1, 2024 and September 1, 2025. The remaining 40% shall vest in two equal annual installments on September 1st of each subsequent calendar year. Also on July 15, 2023, Mr. Silk received an award of 120 RSUs, which were 100% vested on September 1, 2023.\n\nThe foregoing description of the RSU award does not purport to be complete and is qualified in its entirety by reference to the 2023 Plan and a form of the RSU Agreement, which are incorporated herein by reference to Exhibits 99.4 and 99.5, respectively, of this Schedule 13D.\n\nLimited Partnership Agreement of BCH\n\nOn June 7, 2023, the Eighth Amended and Restated Limited Partnership Agreement of Beneficient Company Holdings, L.P. (\"BCH\") was adopted and became effective (references to the \"BCH LPA\" refer to the Amended and Restated Limited Partnership Agreement of BCH currently in effect unless otherwise indicated). The BCH LPA amended the existing BCH limited partnership agreement, to, among other things, make certain revisions facilitating the Issuer's business combination with Avalon Acquisition, Inc. and the related transactions, including replacing The Beneficient Company Group, L.P. as the general partner of BCH with Beneficient Company Group, L.L.C., a Delaware limited liability company (\"Ben LLC\"), and the Issuer's contribution to Ben LLC of all of the BCH limited partnership interests and general partnership interests held by the Issuer. Following the effectiveness of the BCH LPA, the units of BCH consist of five classes: (i) the BCH Class A Units, (ii) the BCH Class S Ordinary Units, (iii) the BCH Class S Preferred Units, (iv) the BCH FLP Unit Accounts, and (v) the BCH Preferred Series Unit Accounts (each as defined in the BCH LPA). On April 18, 2024, the Ninth Amended and Restated Limited Partnership Agreement of BCH was adopted and became effective.\n\nThe BCH Preferred Series Unit Accounts are further subdivided into Preferred Series A Subclass 0 Unit Accounts (\"BCH Preferred A-0 Unit Accounts\") and Preferred Series A Subclass 1 Unit Accounts (\"BCH Preferred A-1 Unit Accounts\"), in each case, with such rights as expressly provided in the BCH LPA. In addition, certain additional amendments were made to the BCH LPA which (i) reduced and delayed the preferred returns on certain preferred units of BCH, (ii) delayed the date upon which the BCH Preferred A-1 Unit Accounts could be converted until January 1, 2025, subject to certain exceptions, and (iii) amended the conversion prices applicable to the BCH Preferred A-0 Unit Accounts and BCH Preferred A-1 Unit Accounts.\n\nThe foregoing description of the BCH LPA does not purport to be complete and is qualified in its entirety by reference to the BCH LPA, which is incorporated herein by reference to Exhibit 99.6 to this Schedule 13D.\n\nExchange Agreement\n\nPursuant to the terms of the BCH LPA, certain units of BCH may be exchanged from time to time and subject to certain terms and conditions for Class A Shares of the Issuer. To facilitate the exchange of such BCH units and to set forth certain terms and conditions for such exchange, the Issuer entered into the Exchange Agreement (the \"Exchange Agreement\"), dated June 7, 2023, by and among the Issuer, Ben LLC and BCH.\n\nThe number of Class A Shares of the Issuer issuable upon any such exchange governed by the Exchange Agreement will be determined pursuant to the BCH LPA and related agreements. The Issuer may delay the issuance of any Class A Shares of the Issuer, unless (i) the issuance of such securities is registered under the Securities Act of 1933, as amended, and applicable state securities laws or (ii) the Issuer has determined that the issuance of such securities would be exempt from registration under any and all applicable securities laws.\n\nThe foregoing description of the Exchange Agreement does not purport to be complete and is qualified in its entirety by reference to the Exchange Agreement, which is incorporated herein by reference to Exhibit 99.7 to this Schedule 13D.\n\nBCH Class S Ordinary Units, pursuant to the terms of the BCH LPA and the Exchange Agreement, may be exchanged, on a one-for-one basis, for Class A Shares of the Issuer upon the election of the holder thereof. A holder must provide not less than sixty-one days prior notice (\"Notice\") of the exchange to both the Issuer and Ben LLC, which shall occur on the later of (i) the expiration of such sixty-one day Notice period, unless waived, (ii) the third business day after the date of the earnings release by the Issuer covering the fiscal quarter in which the Notice is provided, or (iii) the first day following the earnings release by the Issuer covering the fiscal quarter in which the Notice is provided that directors and executive officers of the Issuer are permitted to trade under the applicable policies of Issuer relating to trading by directors and executive officers.\n\nMr. Silk holds BCH Preferred A-0 Unit Accounts. In accordance with the terms of the BCH LPA, the capital account balance of the BCH Preferred A-0 Unit Accounts held by Mr. Silk may be freely converted into BCH Class S Ordinary Units. Upon conversion, the number of BCH Class S Ordinary Units issued will equal the capital account balance associated with the BCH Preferred A-0 Unit Accounts being converted divided by a price equal to, the average of (i) $6,720, and (ii) the volume-weighted average closing price of Class A Shares of the Issuer for the twenty days preceding the applicable exchange date; provided that, through December 31, 2027, such conversion price shall not be less than $6,720.\n\nPrior to the Limited Conversion (as defined below), Mr. Silk also held BCH Preferred A-1 Unit Accounts. In accordance with the BCH LPA, at any time on or after January 1, 2025, the capital account balance of BCH Preferred A-1 Unit Accounts held by Mr. Silk was freely convertible, any time after January 1, 2025, into BCH Class S Ordinary Units, subject to a 20% annual conversion limit until December 31, 2029, unless the conversion price for the BCH Preferred A-1 Unit Accounts equals or exceeds $11,520 after January 1, 2025. Upon conversion, the number of BCH Class S Ordinary Units issued will equal the capital account balance associated with the BCH Preferred A-1 Unit Accounts being converted divided by a price equal to the average closing price of Class A Shares of the Issuer for the thirty days preceding the applicable exchange date; provided that, through December 31, 2027, such conversion price shall not be less than $6,720.\n\nLimited Conversion\n\nOn October 1, 2025, pursuant to that certain conversion notice, the Issuer, BCH and Ben LLC provided Mr. Silk a limited opportunity to convert and exchange a portion of the capital account balance of the BCH Preferred A-1 Unit Accounts held by Mr. Silk into BCH Class S Ordinary Units, which are convertible into Class A Shares on a one-for-one basis (the \"Conversion Notice\" and such transaction, the \"Limited Conversion\"). Among other things, the Conversion Notice waived (i) the Notice requirement set forth in the Exchange Agreement and (ii) the minimum conversion price requirement and the 20% annual conversion limit each as set forth in the BCH LPA.\n\nPursuant to that certain exchange notice, dated October 14, 2025, Mr. Silk elected to convert approximately $4.58 million of the capital account balance of such BCH Preferred A-1 Unit Accounts for BCH Class S Ordinary Units at a conversion price of $4.16 per Class S Ordinary Unit (the \"Exchange Notice\"). The newly issued BCH Class S Ordinary Units were contemporaneously exchanged for Class A Shares on a one-for-one basis resulting in the issuance of 1,101,082 Class A Shares (such shares, the \"Conversion Shares\").\n\nThe Conversion Notice also provides that, in the event that the Average Closing Price (as defined below) on January 1, 2028 (the \"2028 ACP\") is higher than $4.16 per share, then the number of Class A Shares issued to Mr. Silk shall be subject to adjustment and forfeiture such that the number of Class A Shares that would have been issuable on January 1, 2028 (the \"2028 Share Amount\") shall be determined by dividing the amount of the capital account balance of Silk converted in the Limited Conversion by the 2028 ACP. Mr. Silk has agreed to assign to the Issuer the number of Class A Shares he received in the Limited Conversion less the 2028 Share Amount (the \"Returned Shares\"). The Returned Shares will be transferred to the Issuer free and clear of all liens, claims and encumbrances, other than (i) transfer restrictions pursuant to the Voting and Lock-Up Agreement (as defined below) and (ii) transfer restrictions under federal and state securities laws.\n\nThe Conversion Notice defines the \"Average Closing Price\" as the average closing price of a Class A Share as reported on the exchange on which the Class A Shares are traded for the thirty (30) day period ended immediately prior to the applicable date, or if the Class A Shares are not listed on a national securities exchange, then the average closing price of a Class A Share as quoted on the automated quotation system on which the Class A Shares are quoted (including applicable tiers of the over-the-counter market maintained by the OTC Market Group, Inc.) for the thirty (30) day period ended immediately prior to the applicable date.\n\nIn connection with the Limited Conversion, on October 15, 2025, Mr. Silk also entered into a voting and lock-up agreement (the \"Voting and Lock-Up Agreement\"), which provides that (i) Mr. Silk will vote the Conversion Shares in favor of the recommendation of the Issuer's Board of Directors (the \"Board\") (except for the election of members of the Board) and (ii) the Conversion Shares will be subject to lockup until October 1, 2028.\n\nAlso in connection with the Limited Conversion, on October 15, 2025, the Issuer, Ben LLC, BCH and Mr. Silk entered into that certain written assignment and acceptance agreement, pursuant to which, among other things, BCH accepted the assignment of the BCH Preferred A-1 Unit Accounts pursuant to the terms of the Exchange Agreement and the BCH LPA (the \"Assignment and Acceptance Agreement\").\n\nThe foregoing descriptions of the Conversion Notice, the Exchange Notice, the Assignment and Acceptance Agreement and the Voting and Lock-Up Agreement, do not purport to be complete and are qualified in their entirety by reference to the respective agreements, which are incorporated herein by reference to Exhibits 99.8, 99.9, 99.10 and 99.11, respectively, to this Schedule 13D.\n\nGeneral\n\nThe Reporting Person acquired the securities described in this Schedule 13D in connection with the transactions and agreements. As discussed above, the Reporting Person intends to review his investments in the Issuer on a continuing basis. Subject to the Voting and Lock-Up Agreement and the Issuer's insider trading policy, any actions the Reporting Person might undertake may be made at any time and from time to time without prior notice and will be dependent upon the Reporting Person's review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nSubject to the Voting and Lock-Up Agreement and the Issuer's insider trading policy, the Reporting Person may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. In addition, the Reporting Person may engage in discussions with management, the Board, and stockholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or other transaction that could result in the de-listing or de-registration of the Class A Shares of the Issuer; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nDepending upon each factor discussed above and any other factor (which may be unknown at this time) that is, or may become relevant, the Reporting Person may consider, among other things: (a) the acquisition by the Reporting Person of additional securities of the Issuer, the disposition of securities of the Issuer, or the exercise of convertible securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) changes in the present Board or management of the Issuer; (e) a material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's articles of incorporation, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing any class of the Issuer's securities to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) any action similar to those enumerated above.\n\nExcept to the extent that the foregoing may be deemed to be a plan or proposal, the Reporting Person does not currently have any plans or proposals that relate to or would result in any of the actions specified in clause (a) through (j) of this Item 4 of Schedule 13D. Depending upon the foregoing factors and to the extent deemed advisable in light of its general investment policies, or other factors, the Reporting Person may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer or the Class A Shares of the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in paragraphs (a) through (j) of this Item 4 of Schedule 13D. The foregoing is subject to change at any time, and there can be no assurance that the Reporting Person will take any of the actions set forth above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1775734/000149315226032723/0001493152-26-032723-index.html" }, { "accession_no": "0001493152-26-032713", "submission_type": "SCHEDULE 13D/A", "amendment_no": 23, "issuer_cik": 771999, "issuer_name": "DSS, INC.", "issuer_cusip": "26253C201", "securities_class_title": "Common Stock, par value $0.02 per share", "date_of_event": "2026-06-03", "filed_date": "2026-07-09", "item3_funds_source": "On March 26, 2026 the Issuer issued a convertible promissory note (the \"Convertible Promissory Note\") to Alset International Limited in the amount of $2,450,000 which became convertible on June 3, 2026. Under the terms of the Convertible Promissory Note, Alset International Limited may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.74 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest. On March 26, 2026 the Issuer issued common stock purchase warrants (the \"Warrants\") to Alset International Limited to purchase up to 16,554,055 shares of the Issuer's common stock at an exercise price of $0.93 per share, which became exercisable on June 3, 2026. The Warrants expire on March 26, 2031.", "item4_transaction_purpose": "On March 26, 2026 the Issuer issued a convertible promissory note (the \"Convertible Promissory Note\") to Alset International Limited in the amount of $2,450,000 which became convertible on June 3, 2026. Under the terms of the Convertible Promissory Note, Alset International Limited may convert outstanding principal and interest into shares of the Issuer's common stock at a conversion price of either (i) $0.74 per share, or (ii) if while the Convertible Promissory Note is outstanding, the Issuer sells or issues any other convertible instruments on terms that differ from the Convertible Promissory Note, the Holder may elect to exchange the Convertible Promissory Note for such convertible instrument based on the Convertible Promissory Note's principal balance plus any accrued but unpaid interest. On March 26, 2026 the Issuer issued common stock purchase warrants (the \"Warrants\") to Alset International Limited to purchase up to 16,554,055 shares of the Issuer's common stock at an exercise price of $0.93 per share, which became exercisable on June 3, 2026. The Warrants expire on March 26, 2031.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/771999/000149315226032713/0001493152-26-032713-index.html" }, { "accession_no": "0001213900-26-076794", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1871638, "issuer_name": "Blaize Holdings", "issuer_cusip": "092915107", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-07", "filed_date": "2026-07-09", "item3_funds_source": "All of the shares of the Issuer's Common Stock (the \"Common Stock\") reported herein as beneficially owned by the Reporting Persons (other than the Sponsor Stock and the Debtor Collateral Stock, each as defined below), were acquired pursuant to an Agreement and Plan of Merger, dated as of December 22, 2023 (as amended on April 22, 2024, October 24, 2024 and November 21, 2024, the \"Business Combination Agreement\"), by and among BurTech Acquisition Corp., a Delaware corporation (\"BurTech\"), BurTech Merger Sub Inc., a Delaware corporation and a direct, wholly owned subsidiary of BurTech, Blaize, Inc., a Delaware corporation (\"Blaize\"), and for the limited purposes set forth therein, Burkhan Capital LLC, a Delaware limited liability company and affiliate of BurTech. The transactions contemplated by the Business Combination Agreement (the \"Business Combination\") closed on January 13, 2025 (the \"Closing\"). Pursuant to the terms of the Business Combination Agreement, immediately prior to the Closing, (i) each share of Blaize Series D-2 Shadow Preferred Stock of Blaize (the \"Series D-2 Shadow Preferred Stock\") converted to Blaize common stock and (ii) holders of Blaize common stock received approximately 0.78 shares of Common Stock for each share of Blaize common stock held by them at such time, subject to certain limitations. Immediately prior to the Closing on January 13, 2025, (i) Bess Ventures held 4,167,698 shares of Series D-2 Shadow Preferred Stock and 5,500,000 shares of common stock of Blaize and (ii) the Trust held 500,000 shares of common stock of Blaize (collectively, the \"Existing Blaize Stock\"). Upon the Closing, the Existing Blaize Stock was collectively converted into the right to receive 9,336,751 shares of Common Stock. Immediately prior to the Closing, stock options held by Mr. Bess and exercisable for 237,500 shares of common stock of Blaize at a price of $0.92 per share were converted into options exercisable within the next 60 days for 185,234 shares of Common Stock at a price of $1.18 per share.\n\n1,500,000 shares of Sponsor Stock were acquired as consideration in connection with Bess Notes (as defined below), pursuant to which Bess Ventures loaned $25,000,000 to the Sponsor (as defined below) to facilitate the Closing. The Sponsor Stock is beneficially owned by Bess Ventures as of the date that the Letter Agreement Lock-Up Terms (as defined below), which restrict formal transfer of the Sponsor Stock from the Sponsor to Bess Ventures, were within 60 days of their automatic expiry.\n\nThe Sponsor defaulted on the Bess Notes. On May 8, 2026, 3,500,000 shares (inclusive of Sponsor Stock) of Debtor Collateral Stock underlying the Bess Notes were foreclosed upon as described in the Foreclosure Notice (as defined below). As a result, an additional 2,000,000 shares of Debtor Collateral Stock are beneficially owned by Bess Ventures as of the date set forth in the Foreclosure Notice.\n\nOn July 7, 2026, the Company issued 2,000,000 shares of Common Stock to Bess Ventures pursuant to the Settlement Agreement (as defined below). As a result, an additional 2,000,000 shares of Common Stock are beneficially owned by Bess Ventures as of the date of the Settlement Agreement.\n\nOther than the foreclosure on the Debtor Collateral Stock and the issuance of stock pursuant to the Settlement Agreement described above, there have been no transactions effected by the Reporting Persons in the past sixty days with respect to the securities of the Issuer.", "item4_transaction_purpose": "The Reporting Persons acquired the securities of the Issuer for investment purposes. Reporting Persons or their affiliates may purchase additional securities or dispose of securities in varying amounts and at varying times depending upon Reporting Persons' continuing assessments of pertinent factors, including the availability of shares of Common Stock or other securities for purchase at particular price levels, the business prospects of the Issuer, other business investment opportunities, economic conditions, stock market conditions, money market conditions, the attitudes and actions of the board of directors (the \"Board\") and management of the Issuer, the availability and nature of opportunities to dispose of shares of the Issuer and other plans and requirements of the particular entities. The Reporting Persons may discuss items of mutual interest with the Issuer, which could include items in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Depending upon their assessments of the above factors, the Reporting Persons or their affiliates may change their present intentions as stated above and they may assess whether to make suggestions to the management of the Issuer regarding financing, and whether to acquire additional securities of the Issuer, including shares of Common Stock (by means of open market purchases, privately negotiated purchases, or otherwise) or to dispose of some or all of the securities of the Issuer, including shares of Common Stock, under their control. The Reporting Persons or their affiliates may seek to acquire other securities of the Issuer, including other equity, debt, notes or other financial instruments related to the Issuer or the Common Stock (which may include rights or securities exercisable or convertible into securities of the Issuer), and/or sell or otherwise dispose of some or all of such Issuer securities or financial instruments (which may include distributing some or all of such securities to such Reporting Person's respective partners or beneficiaries, as applicable) from time to time, in each case, in open market or private transactions, block sales or otherwise. Any transaction that any of the Reporting Persons or their affiliates may pursue may be made at any time and from time to time without prior notice and will depend on a variety of factors, including, without limitation, the price and availability of the Issuer's securities or other financial instruments, the Reporting Persons' or such affiliates' trading and investment strategies, subsequent developments affecting the Issuer, the Issuer's business and the Issuer's prospects, other investment and business opportunities available to such Reporting Persons and their affiliates, general industry and economic conditions, the securities markets in general, tax considerations and other factors deemed relevant by such Reporting Persons and such affiliates. The Reporting Persons intend to review their investment in the Issuer on an ongoing basis and, in the course of their review, may take actions (including through their affiliates) with respect to their investment or the Issuer, including communicating from time to time with the Board, members of management, other securityholders of the Issuer, or other third parties, advisors, such as legal, financial, regulatory, or other advisors, to assist in the review and evaluation of strategic alternatives. Such discussions and other actions may relate to various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including, but not limited to a merger, reorganization or liquidation) involving the Issuer or any of its subsidiaries; a sale or transfer of a material portion of the assets of the Issuer or any of its subsidiaries or the acquisition of material assets; the formation of joint ventures or other strategic alliances with the Issuer or any of its subsidiaries; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the Board or management of the Issuer; changes to the capitalization, ownership structure, dividend policy, business or corporate structure or governance documents of the Issuer; de-listing or de-registration of the Issuer's securities; or any action similar to the foregoing. Such discussions and actions may be exploratory in nature, and not rise to the level of a plan or proposal. Mr. Bess serves as Chairman of the Board and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Except as described in this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1871638/000121390026076794/0001213900-26-076794-index.html" }, { "accession_no": "0001213900-26-076525", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1750264, "issuer_name": "Maase Inc.", "issuer_cusip": "G4453R115", "securities_class_title": "Class A Ordinary Share, par value $0.09 per share", "date_of_event": "2026-07-08", "filed_date": "2026-07-09", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1750264/000121390026076525/0001213900-26-076525-index.html" }, { "accession_no": "0001193125-26-299516", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1713407, "issuer_name": "BROOKFIELD REAL ESTATE INCOME TRUST INC.", "issuer_cusip": "000000000", "securities_class_title": "Class I, Class S, Class D and Class T common stock, par value $0.01 per share; Class C and Class E common stock, no par value per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-09", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and restated as follows:\n\nBUSI II-C acquired the 30,966,984 Shares it directly holds as follows: (i) 26,862,938 Class I Shares issued upon the redemption of Class I-1 units (\"OP Units\") of Brookfield REIT Operating Partnership L.P. (the \"Operating Partnership\"), (ii) 2,353,305 Class E Shares issued upon the redemption of Class E OP Units, and (iii) 1,120,837 Class I Shares and 629,904 Class E Shares received upon the reinvestment of distributions pursuant to the Issuer's distribution reinvestment plan (the \"DRIP\") (not including $1,443,490 of Shares that will be issued on or about July 20, 2026 pursuant to the DRIP).\n\nBIM acquired the 75,834 Shares it directly holds as follows: (i) paying $716,701 in cash, funded from cash on hand, for 54,430 Class E Shares, and (ii) 21,404 Class E Shares received upon the reinvestment of distributions pursuant to the DRIP (not including $4,398 of Shares that will be issued on or about July 20, 2026 pursuant to the DRIP).\n\nThe Adviser acquired the 221,318 Shares it directly holds as follows: (i) 178,825 Class I Shares received as payment of management fees under the terms of the Advisory Agreement, and (ii) 42,493 Class I Shares received upon the reinvestment of distributions pursuant to the DRIP (not including $10,048 of Shares that will be issued on or about July 20, 2026 pursuant to the DRIP).\n\nBPG acquired the 4,341,534 Class I Shares it directly holds by paying $45,000,000 in cash for 4,341,534 Class I Shares purchased in the Issuer's public offering.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following new paragraph:\n\nOn July 1, 2026, BPG purchased 4,341,534 Class I Shares in the Issuer's public offering.\n\nThe information in Item 6 of this Schedule 13D is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1713407/000119312526299516/0001193125-26-299516-index.html" }, { "accession_no": "0001193125-26-299128", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2052959, "issuer_name": "Lionsgate Studios Corp.", "issuer_cusip": "53626N102", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-07-08", "filed_date": "2026-07-09", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and restated as follows.\n\nAll of the Common Shares reported on this Schedule 13D were acquired for investment purposes. The Reporting Persons intend to review their holdings in the Issuer on a continuing basis and as part of this ongoing review to evaluate various alternatives that are or may become available with respect to the Issuer and its securities. Except as otherwise set forth in this Schedule 13D, neither the Reporting Persons nor, to the best of their knowledge, any of the other persons identified in response to Item 2 hereof, has any plans or proposals that relate to or would result in the occurrence of any of the transactions described in subparagraphs (b) through (j) of Item 4 of Schedule 13D.\n\n(a) The Reporting Persons may from time to time and at any time (in accordance with any trading policy of the Issuer or its subsidiaries and affiliates that may then be applicable to the Reporting Persons) in their sole discretion acquire, or cause to be acquired, additional equity or debt securities or other instruments of the Issuer, its subsidiaries or affiliates, or dispose, or cause to be disposed, such equity or debt securities or instruments, in any amount that the Reporting Persons may determine in their sole discretion, through public or private transactions or otherwise.\n\nThe Reporting Persons reserve the right to and may, from time to time and at any time, in their sole discretion, formulate and implement other purposes, plans or proposals regarding the Issuer or any of its subsidiaries or affiliates or any of their equity or debt securities or instruments that relate to or would result in the occurrence of any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D as the Reporting Persons may deem advisable in their sole discretion. The information set forth in this Item 4 is subject to change from time to time and at any time, and there can be no assurances that any of the Reporting Persons will or will not take, or cause to be taken, any of the actions described above or any similar actions.\n\nItem 6 to this Schedule 13D is hereby incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2052959/000119312526299128/0001193125-26-299128-index.html" }, { "accession_no": "0001193125-26-299127", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1845840, "issuer_name": "Telesat Corporation", "issuer_cusip": "879512309", "securities_class_title": "Class B Variable Voting Shares, No Par Value Per Share", "date_of_event": "2026-07-08", "filed_date": "2026-07-09", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and restated as follows.\n\nAll of the Class B Shares reported on this Schedule 13D were acquired for investment purposes. The Reporting Persons intend to review their holdings in the Issuer on a continuing basis and as part of this ongoing review evaluate various alternatives that are or may become available with respect to the Issuer and its securities. Except as otherwise set forth in this Schedule 13D, neither the Reporting Persons nor, to the best of their knowledge, any of the other persons identified in response to Item 2 hereof, has any plans or proposals that relate to or would result in the occurrence of any of the transactions described in subparagraphs (b) through (j) of Item 4 of Schedule 13D.\n\n(a) The Reporting Persons may from time to time and at any time (in accordance with any trading policy of the Issuer or its subsidiaries and affiliates that may then be applicable to the Reporting Persons) in their sole discretion acquire, or cause to be acquired, additional equity or debt securities or other instruments of the Issuer, its subsidiaries or affiliates, or dispose, or cause to be disposed, such equity or debt securities or instruments, in any amount that the Reporting Persons may determine in their sole discretion, through public or private transactions or otherwise.\n\nThe Reporting Persons reserve the right to and may, from time to time and at any time, in their sole discretion, formulate and implement other purposes, plans or proposals regarding the Issuer or any of its subsidiaries or affiliates or any of their equity or debt securities or instruments that relate to or would result in the occurrence of any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D as the Reporting Persons may deem advisable in their sole discretion. The information set forth in this Item 4 is subject to change from time to time and at any time, and there can be no assurances that any of the Reporting Persons will or will not take, or cause to be taken, any of the actions described above or any similar actions.\n\nItem 6 to this Schedule 13D is hereby incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1845840/000119312526299127/0001193125-26-299127-index.html" }, { "accession_no": "0001104659-26-082033", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1528849, "issuer_name": "RH", "issuer_cusip": "74967X103", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-08", "filed_date": "2026-07-09", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment No. 11 to Schedule 13D relates to the common stock (the \"Common Stock\") of RH (the \"Issuer\") and amends the initial statement on Schedule 13D filed by the undersigned on February 14, 2018 (as amended on December 12, 2019, October 21, 2020, April 4, 2022, September 12, 2022, December 15, 2022, January 3, 2023, June 14, 2023, June 27, 2023, July 6, 2023 and July 14, 2023), as specifically set forth herein.\n\nItem 4 is hereby supplemented as follows:\n\nThe undersigned understands that the aggregate number of shares of Common Stock outstanding as of July 8, 2026 was 18,926,221, which is an increase from the 18,394,167 shares of Common Stock that were outstanding on July 14, 2023, the date that the undersigned filed Amendment No. 10 to Schedule 13D. Additionally, over the time period of July 6, 2026 through July 8, 2026, the undersigned sold an aggregate of 125,000 shares of Common Stock in order to fund (i) improvements to personal residences and (ii) the repayment of balances under personal line of credit borrowings.\n\nAs a result of the increase in the aggregate number of outstanding shares of Common Stock and the sale of 125,000 shares of Common Stock, the aggregate percentage of outstanding shares of Common Stock that the undersigned may be deemed to beneficially own decreased by an amount equal to approximately 1.03% of the outstanding shares of Common Stock since the amount reported in Amendment No. 10. This Amendment No. 11 is being filed solely to reflect such decrease.\n\nThe undersigned understands that the aggregate number of shares of Common Stock outstanding as of July 8, 2026 had increased to the point that, together with the sales of Common Stock by the undersigned from July 6, 2026 through July 8, 2026, there has been a decrease in the undersigned's beneficial ownership of Common Stock that is greater than 1.0% from the amount reported in Amendment No. 10 and that, as a result of such change in beneficial ownership, this Amendment No. 11 is being filed on July 8, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1528849/000110465926082033/0001104659-26-082033-index.html" }, { "accession_no": "0001011438-26-000400", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1805077, "issuer_name": "Eos Energy Enterprises, Inc.", "issuer_cusip": "29415C101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-08", "filed_date": "2026-07-09", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the addition of the following:\r\n\r\nOn July 8, 2026, Gregory Nixon resigned from his role as a director on the Board of Directors (the \"Board\") of Eos Energy Enterprises, Inc. (the \"Issuer\"). Mr. Nixon had been appointed to the Board by CCM Denali Equity pursuant to the terms of the Series B Preferred Stock. \r\n\r\nIn addition, on July 8, 2026, Nathaniel Fick resigned as a Class III director on the Board, and on July 8, 2026, pursuant to the terms of the Series B Preferred Stock, CCM Denali Equity elected Mr. Fick to the Board to replace Mr. Nixon as a designee of the holder of the Series B Preferred Stock. Mr. Fick will continue to serve on the Board's Nominating and Corporate Governance Committee.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1805077/000101143826000400/0001011438-26-000400-index.html" }, { "accession_no": "0000950142-26-002016", "submission_type": "SCHEDULE 13D/A", "amendment_no": 25, "issuer_cik": 1595527, "issuer_name": "American Strategic Investment Co.", "issuer_cusip": "649439304", "securities_class_title": "Class A common stock, $0.01 par value per share", "date_of_event": "2026-07-07", "filed_date": "2026-07-09", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1595527/000095014226002016/0000950142-26-002016-index.html" }, { "accession_no": "0000950103-26-010462", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2094496, "issuer_name": "Securitize Corp.", "issuer_cusip": "81517B101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-09", "item3_funds_source": "The Reporting Person co-founded Securtize, Inc. (\"Old Securitize\") in 2017 and acquired shares of Old Securitize and options to acquire such shares as founder equity and as compensation for his services. The securities reported herein were received as consideration in connection with a Business Combination (as defined below).\n\nOn July 1, 2026 (the \"Closing Date\"), the series of mergers (the \"Business Combination\") contemplated by the Business Combination Agreement, dated October 27, 2025, (the \"Merger Agreement\") by and among Cantor Equity Partners II, Inc. (\"CEPT\"), Old Securitize, the Issuer, Pinecrest Merger Sub, a wholly owned subsidiary of PubCo (\"CEPT Merger Sub\") and Senna Merger Sub, Inc., a wholly owned subsidiary of CEPT (\"Securitize Merger Sub\"), were consummated.\n\nUpon closing of the Business Combination, each share of Old Securitize preferred stock and Old Securitize common stock were converted into, and each RSU, option and warrant to acquire Old Securitize common stock was converted into the right to receive, a certain number of shares (the \"Exchange Ratio\") of Common Stock. The Exchange Ratio calculates to approximately 4.4439454 shares of Issuer equity per share of Old Securitize equity.\n\nIn connection with closing of the Business Combination, the Reporting Person acquired 9,016,960 shares of Common Stock (which includes options to purchase 3,097,447 shares of Common Stock that are exercisable within 60 days of July 8, 2026) in exchange for their Old Securitize securities.", "item4_transaction_purpose": "The response to Item 3 of this Schedule 13D is incorporated by reference herein.\n\nThe Reporting Person acquired the securities reported herein in connection with his role as Co-Founder, Chief Executive Officer and a director on the Board of the Old Securitize, for investment purposes, and intends to review his investment on a continuing basis. In his capacity as Chief Executive Officer and a director on the Board of the Issuer, the Reporting Person may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nSubject to the agreements described herein and applicable legal requirements, the Reporting Person may purchase additional securities, or dispose of all or a portion of his securities, of the Issuer from time to time in open market or private transactions, depending on his evaluation of the Issuer's business, prospects and financial condition, the market for the Issuer's securities, other developments concerning the Issuer, and general economic, money market and stock market conditions. In addition, the Reporting Person may engage in discussions with members of management, the Board, and other securityholders of the Issuer and other relevant parties regarding, among other things, the Issuer's business, operations, governance or control.\n\nOther than as described herein, the Reporting Person does not have any plan or proposal relating to or that would result in any of the events or matters described in part (a) through (j) of Item 4 of the Statement on Schedule 13D, although, subject to the agreements described herein and applicable legal requirements, the Reporting Person may, at any time and from time to time, participate in discussions concerning, formulate or review plans or proposals that may result in one or more of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2094496/000095010326010462/0000950103-26-010462-index.html" }, { "accession_no": "0000950103-26-010461", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2094496, "issuer_name": "Securitize Corp.", "issuer_cusip": "81517B101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-09", "item3_funds_source": "The securities reported herein were received as consideration in connection with a Business Combination (as defined below).\n\nOn July 1, 2026 (the \"Closing Date\"), the series of mergers (the \"Business Combination\") contemplated by the Business Combination Agreement, dated October 27, 2025, (the \"Merger Agreement\") by and among Cantor Equity Partners II, Inc. (\"CEPT\"), Securitize, Inc. (\"Old Securitize\"), the Issuer, Pinecrest Merger Sub, a wholly owned subsidiary of PubCo (\"CEPT Merger Sub\") and Senna Merger Sub, Inc., a wholly owned subsidiary of CEPT (\"Securitize Merger Sub\"), were consummated.\n\nUpon closing of the Business Combination, each share of Old Securitize preferred stock and Old Securitize common stock were converted into, and each RSU, option and warrant to acquire Old Securitize common stock was converted into the right to receive, a certain number of shares (the \"Exchange Ratio\") of Common Stock. The Exchange Ratio calculates to approximately 4.4439454 shares of Issuer equity per share of Old Securitize equity.\n\nIn connection with closing of the Business Combination, the Reporting Persons acquired the following securities in exchange for their Old Securitize securities: (i) 1,613,818 shares of common stock held by Blockchain Capital III Digital Liquid Venture Fund, LP, (ii) 6,848,022 shares of common stock held by Blockchain Capital IV, LP and (iii) 1,369,583 shares of common stock held by Blockchain Capital Parallel IV, LP.", "item4_transaction_purpose": "The response to Item 3 of this Schedule 13D is incorporated by reference herein.\n\nThe Reporting Persons acquired the securities described in Schedule 13D in connection with the closing of the Business Combination and intend to review their investment on a continuing basis. In his capacity as a director of the Issuer, Brad Stephens may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nSubject to the agreements described herein and applicable legal requirements, the Reporting Persons may purchase additional securities, or dispose of all or a portion of their securities, of the Issuer from time to time in open market or private transactions, depending on his evaluation of the Issuer's business, prospects and financial condition, the market for the Issuer's securities, other developments concerning the Issuer, and general economic, money market and stock market conditions. In addition, the Reporting Persons may engage in discussions with members of management, the Board, and other securityholders of the Issuer and other relevant parties regarding, among other things, the Issuer's business, operations, governance or control.\n\nOther than as described herein, the Reporting Persons do not have any plan or proposal relating to or that would result in any of the events or matters described in part (a) through (j) of Item 4 of the Statement on Schedule 13D, although, subject to the agreements described herein and applicable legal requirements, the Reporting Person may, at any time and from time to time, participate in discussions concerning, formulate or review plans or proposals that may result in one or more of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2094496/000095010326010461/0000950103-26-010461-index.html" }, { "accession_no": "0000921895-26-001783", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1979332, "issuer_name": "Central Plains Bancshares, Inc.", "issuer_cusip": "15486W100", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-09", "filed_date": "2026-07-09", "item3_funds_source": "Since we last reported purchases of Common Stock, Stilwell Partners has not expended any monies to acquire shares of Common Stock.\n\nSince we last reported purchases of Common Stock, Stilwell Activist Fund has not expended any monies to acquire shares of Common Stock.\n\nSince we last reported purchases of Common Stock, Stilwell Activist Investments has not expended any monies to acquire shares of Common Stock.", "item4_transaction_purpose": "We are filing this Fourth Amendment to announce that the Issuer has appointed our nominee, Francis \"Frank\" E. Younes, to its board and will nominate him for election as a director at the Issuer's upcoming 2026 annual meeting of stockholders (the \"2026 Annual Meeting\"). Accordingly, we have withdrawn our nomination of Mr. Younes as well as our nomination of Mark E. Novotny, the alternate nominee, for election at the 2026 Annual Meeting.\n\nOur notice of intent remains effective with respect to our prior submission of a non-binding proposal (the \"Share Repurchase Proposal\") seeking stockholder approval of a request that the Board of Directors shall take all necessary and permissible actions to repurchase no less than 10% of the Issuer's outstanding Common Stock each and every year in which the Common Stock trades below book value per share, which further entails that the Issuer have the proper trading plan(s) in place to account for blackout periods. Accordingly, we intend to proceed with filing proxy materials and soliciting votes in support of the Share Repurchase Proposal in accordance with applicable law and the applicable requirements of the Securities Exchange Act of 1934, as amended.\n\nOn May 20, 2026, we served our notice of intent to nominate Francis \"Frank\" E. Younes for election as a director at the 2026 Annual Meeting, with Mark E. Novotny as our alternate nominee, and submitted the Share Repurchase Proposal. On July 9, 2026, the Issuer announced its appointment of Mr. Younes to its board and his nomination for election as a director at the 2026 Annual Meeting in its Form 8-K, and we withdrew our director nomination.\n\nOur purpose in acquiring shares of Common Stock of the Issuer is to profit from the appreciation in the market price of the shares of Common Stock through asserting shareholder rights. We do not believe the value of the Issuer's assets is adequately reflected in the current market price of the Issuer's Common Stock.\n\nMembers of the Group may seek to make additional purchases or sales of shares of Common Stock. Except as described in this filing, no member of the Group has any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of Item 4 of Schedule 13D. Members of the Group may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto.\n\nSince 2000, members or affiliates of the Group have taken an 'activist position' in 79 other publicly-traded companies. In each instance, our purpose has been to profit from the appreciation in the market price of the shares we held by asserting shareholder rights. In addition, we believed that the values of the companies' assets were not adequately reflected in the market prices of their shares.\n\nOur actions with respect to such publicly-traded companies are described in Schedule A, attached hereto and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1979332/000092189526001783/0000921895-26-001783-index.html" }, { "accession_no": "0000905148-26-003216", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1451809, "issuer_name": "SiTime Corporation", "issuer_cusip": "82982T106", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-09", "item3_funds_source": "On February 4, 2026, SiTime Corporation, a Delaware corporation (\"SiTime\" or the \"Issuer\"), entered into an Asset Purchase Agreement (the \"Asset Purchase Agreement\") with Renesas America, pursuant to which Renesas America agreed to, and agreed to cause certain of its affiliates to, sell, transfer, assign, and convey to SiTime all of their right, title, and interest in, to, and under certain assets related to the timing business of Renesas Electronics Corporation (the \"Acquisition\").\n\nOn July 1, 2026 (the \"Closing Date\"), SiTime and Renesas America completed the Acquisition in accordance with the Asset Purchase Agreement for an aggregate purchase price of approximately $1,500,000,000 in cash and 3,558,691 shares of common stock, $0.0001 par value per share, of SiTime (\"Shares\"), subject to certain adjustments as set forth in the Asset Purchase Agreement.\n\nThe foregoing description of the Asset Purchase Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Asset Purchase Agreement, a copy of which is attached as Exhibit 99.3 to this Schedule 13D and is incorporated herein by reference.", "item4_transaction_purpose": "The responses to Item 3 and Item 6 of this Schedule 13D are incorporated herein by reference.\n\nThe Reporting Persons acquired the securities reported herein for investment purposes. The Reporting Persons, either directly or indirectly through the Renesas CEO Director (defined in Item 6 below), may engage in discussions from time to time with the Issuer's board of directors (the \"Board\"), the Issuer's management, the Issuer's other stockholders, advisors, and/or other persons regarding the Issuer, including but not limited to its operations, governance, and control.\n\nThe Reporting Persons expect to review from time to time their investment in the Issuer and may, depending on the market and other conditions and subject to applicable law, (i) acquire beneficial ownership of additional Shares in the open market, in privately negotiated transactions, or otherwise, (ii) dispose of all or a part of their holdings of securities of the Issuer, or (iii) take other actions which could involve one or more of the types of transactions or have one or more of the results described in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D.\n\nExcept as set forth herein, the Reporting Persons do not have any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1451809/000090514826003216/0000905148-26-003216-index.html" }, { "accession_no": "0000905148-26-003214", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 2006189, "issuer_name": "First Eagle Real Estate Debt Fund", "issuer_cusip": "32009F100", "securities_class_title": "Class I Common Shares of Beneficial Interest, $0.001 par value", "date_of_event": "2026-07-07", "filed_date": "2026-07-09", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to include the following:\n\nAn aggregate 118,665.44 Shares held in accounts managed by Bleichroeder were tendered in the Issuer's quarterly repurchase offer that ended on July 7, 2026, and repurchased by the Issuer at a price of $25.45, representing the net asset value per Share on July 7, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2006189/000090514826003214/0000905148-26-003214-index.html" }, { "accession_no": "0000899140-26-000707", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1802974, "issuer_name": "Mission Produce, Inc.", "issuer_cusip": "60510V108", "securities_class_title": "Common", "date_of_event": "2026-07-07", "filed_date": "2026-07-09", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe Reporting Person originally acquired 4,458,750 shares of Common Stock for an aggregate price of $50,234,059.90. The Reporting Person subsequently acquired an additional (i) 842,220 shares of Common Stock for an aggregate price of $10,515,375.32, (ii) 1,021,178 shares of Common Stock for an aggregate price of $12,481,982.74, (iii) 842,095 shares of Common Stock for an aggregate price of $10,057,851.35, (iv) 1,673,043 shares of Common Stock for an aggregate price of $19,619,597.35, (v) 933,322 shares of Common Stock for an aggregate price of $11,817,870.67 using working capital from affiliates of the Reporting Person, (vi) 220,969 shares of Common Stock for an aggregate price of $2,628,524.51, (vii) 549,360 shares of Common Stock received in exchange for 561,145 shares of Calavo Growers, Inc. (\"Calavo\") common stock in connection with the consummation of the previously announced transaction between the Issuer and Calavo (the \"Transaction\") (the Reporting Person originally acquired such shares of Calavo common stock for an aggregate purchase price of $14,931,161.09); and (viii) 1,829,502 of Common Stock for an aggregate price of $24,096,808.38.", "item4_transaction_purpose": "(a)\tThe acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer;\n(b)\tAn extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries;\n(c)\tA sale or transfer of a material amount of assets of the issuer or any of its subsidiaries;\n(d)\tAny change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n(e)\tAny material change in the present capitalization or dividend policy of the issuer;\n(f)\tAny other material change in the issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940;\n(g)\tChanges in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person;\n(h)\tcausing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n(i)\tA class of equity securities of the issuer becoming eligible for termination of registration pursuant to section 12(g)(4) of the Act; or\n(j)\tAny action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1802974/000089914026000707/0000899140-26-000707-index.html" }, { "accession_no": "0002123470-26-000004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2071778, "issuer_name": "Fermi Inc.", "issuer_cusip": "314911108", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-30", "filed_date": "2026-07-08", "item3_funds_source": "The Common Stock reported herein as being beneficially owned by the Reporting Persons was purchased prior to the initial public offering of the Issuer using investment capital of Caddis for approximately $114,965.03.", "item4_transaction_purpose": "This amendment to the Schedule 13D/A filed on July 2, 2026 is being filed to correct a clerical error in the disclosure of the number of shares sold pursuant to the Option. The Reporting Persons originally acquired the Common Stock reported herein as a Co-Founder of the Issuer prior to the initial public offering of the Issuer. The dispositions of Common Stock reported on Schedule A resulted from the exercise of the Option, as described in Item 6. Certain founders of the Issuer, including Caddis, granted the Option in connection with the Issuer's Series C fundraising round prior to the Issuer's initial public offering to facilitate investor participation in that round and bolster the Issuer's fundraising efforts. The decision whether and when to exercise the Option rests with the holders of the Option and not with the Reporting Persons. The dispositions were not a decision by the Reporting Persons to reduce their investment in the Issuer. The Reporting Persons continue to beneficially own a substantial majority of their position and continue to support the Board, the Issuer's management team, and its long-term strategic plan. The Reporting Persons have had and anticipate having further communications with officers and directors of the Issuer in connection with the Reporting Persons' investment in the Issuer. Specifically, the Reporting Person issued a press release May 11, 2026 attached hereto as Exhibit 99.2 (the \"Press Release\") reaffirming the Reporting Persons' support for Fermi's Board of Directors (the \"Board\"), the Issuer's management team, and its long-term strategic plan. The Reporting Persons are actively and constructively engaged with the Board and management team to help the Issuer reach its full potential, including through ongoing discussions with strategic partners, advocating for rigorous capital allocation and best-in-class governance practices, and working collaboratively to maximize long-term value for our fellow shareholders, employees, customers, and other stakeholders.\n\nThe Reporting Persons may also have similar conversations with other stockholders or other third parties, such as industry analysts, existing or potential strategic partners or competitors, investment professionals and other investors and may exchange information with any such persons or the Issuer pursuant to appropriate confidentiality or similar agreements (which may contain customary standstill provisions). The Reporting Persons may at any time reconsider and change their intentions relating to the foregoing. The Reporting Persons may also take one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D and may discuss or propose such actions with the Issuer's management and the Board, other stockholders of the Issuer and other third parties, such as those set out above. The Reporting Persons may also take steps to explore and prepare for various plans and actions, and propose transactions, before forming an intention to engage in such plans or actions or proceed with such transactions.\n\nThe Reporting Persons intend to review their investments in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position and strategic direction, the outcome of the discussions and matters referenced above, actions taken by the Issuer's management or Board, price levels of the Common Stock, liquidity requirements and other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take actions with respect to their investment position in the Issuer as they deem appropriate, including, without limitation, purchasing additional shares of Common Stock or other instruments that are based upon or relate to the value of the Common Stock or the Issuer in the open market or otherwise, selling some or all of the securities reported herein, and/or engaging in hedging or similar transactions with respect to the shares of Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2071778/000212347026000004/0002123470-26-000004-index.html" }, { "accession_no": "0001834600-26-000013", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1041859, "issuer_name": "Childrens Place, Inc.", "issuer_cusip": "168905107", "securities_class_title": "Common Shares, par value $0.10 per share", "date_of_event": "2026-07-07", "filed_date": "2026-07-08", "item3_funds_source": "The disclosure set forth in Item 4 of this Amendment No. 9 is incorporated herein by reference.", "item4_transaction_purpose": "Introductory Note\n\nThis Amendment No. 9 to Schedule 13D (this \"Amendment No. 9\") amends and supplements the Schedule 13D filed by the Reporting Persons with the SEC on February 16, 2024, as amended and supplemented by Amendments No. 1 through No. 8 to Schedule 13D filed by the Reporting Persons with the SEC on various dates between March 4, 2024 and December 18, 2025 (collectively the \"Initial 13D\", and the Initial 13D as amended and supplemented by this Amendment No. 9, the \"Schedule 13D\") relating to the common shares, par value $0.10 per share (the \"Common Shares\") of The Children's Place, Inc., a Delaware corporation (the \"Issuer\"). Capitalized terms used in this Amendment No. 9 but not otherwise defined have the respective meanings ascribed to them in the Initial 13D.\n\nItem 4 of the Schedule 13D is hereby amended and supplemented by adding the following paragraphs to the end thereof:\n\nEffective July 7, 2026, the Board of Directors of the Issuer has appointed Muhammad Asif Seemab (a Reporting Person) to serve as its President and interim Chief Executive Officer. Prior to his appointment, Mr. Seemab served as a Board member and Executive Vice Chairman of the Issuer. After the appointment, he will remain as a Board member and serve as Vice Chairman of the Issuer. In connection with Mr. Seemab's appointment, he will receive from the Issuer an annual base salary of $497,500. Additionally, Mithaq has granted stock awards to Mr. Seemab in the form of Restricted Stock in an aggregate amount of 500,000 Common Shares (i.e., stock of the Issuer) of the shares it owns to be vested in one-third increments as follows: (i) first one-third, when the Issuer's market capitalization reaches $265 million; (ii) second one-third, when the Issuer's market capitalization reaches $400 million; and (iii) the last one-third, when the Issuer's market capitalization reaches $600 million. Unless an extension is granted by Mithaq, any unvested Common Shares will expire on the 5th anniversary of the grant date (i.e., July 7, 2031).\n\n\nPursuant to a previously disclosed commitment letter (the \"Commitment Letter\") the Issuer entered into with Mithaq on May 2, 2024 for a senior unsecured $40.0 million credit facility (the \"Mithaq Credit Facility\"), Mithaq advanced $15.0 million to the Issuer on July 1, 2026. The Issuer's remaining availability under the Mithaq Credit Facility therefore has been permanently reduced to $25.0 million.\n\nThe Reporting Persons have been informed that the Issuer intends to use the net proceeds of the advance to prepay amounts outstanding under the Company's revolving credit facility under the Credit Agreement, to reduce a portion of the Company's accounts payable balances with vendors, and for other general corporate purposes.\n\nThe foregoing descriptions of the arrangements with Mr. Seemab and the advance under the Mithaq Credit Facility are qualified in their entirety by reference to the Letter Agreement dated July 7, 2026 between the Issuer and Mr. Seemab; and Unsecured Promissory Note, dated July 1, 2026, among the Issuer, certain subsidiaries of the Issuer, and Mithaq, copies of which are filed as Ex. 10-11 and Ex. 10-12, respectively, to this Amendment No. 9, and each of which is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1041859/000183460026000013/0001834600-26-000013-index.html" }, { "accession_no": "0001552781-26-000379", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1855612, "issuer_name": "Grab Holdings Ltd", "issuer_cusip": "G4124C109", "securities_class_title": "Class A ordinary shares, par value $0.000001 per share", "date_of_event": "2026-07-06", "filed_date": "2026-07-08", "item3_funds_source": "No change.", "item4_transaction_purpose": "The information set forth in Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following information thereto:\n\nOn July 6, 2026, the Issuer announced that Dara Khosrowshahi, the Reporting Person's Chief Executive Officer, stepped down from the Issuer's board of directors (the \"Board\"), effective July 6, 2026. Following Mr. Khosrowshahi's resignation from the Board, the Reporting Person is not currently engaging in discussions with management of the Issuer, the Board, other shareholders of the Issuer or other relevant parties concerning the business, operations, board composition, management, strategy or control, or future plans of the Issuer that would reasonably be expected to result in any of the matters set forth in subparagraphs (a) through (j) of the instructions to Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1855612/000155278126000379/0001552781-26-000379-index.html" }, { "accession_no": "0001493152-26-032572", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1144879, "issuer_name": "Applied Digital Corp.", "issuer_cusip": "038169207", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-07", "filed_date": "2026-07-08", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1144879/000149315226032572/0001493152-26-032572-index.html" }, { "accession_no": "0001213900-26-076497", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1734750, "issuer_name": "Corvex, Inc.", "issuer_cusip": "62459M305", "securities_class_title": "Common Stock", "date_of_event": "2026-07-01", "filed_date": "2026-07-08", "item3_funds_source": "The Reporting Person received an aggregate of 4,071,809 shares of Common Stock between March and July 2026 as consideration from the Issuer's acquisition of Corvex Legacy Holdings, Inc. (formerly Corvex, Inc.) (\"Corvex OpCo\"). The Reporting Person's ownership of Corvex OpCo securities was funded from his personal funds or received for services as Co-Chief Executive Officer of Corvex OpCo. All other shares of Common Stock and derivative securities described in Item 5 below have been issued to the Reporting Person in connection with his services to the Issuer as Co-Chief Executive Officer and member of the Board of Directors.", "item4_transaction_purpose": "Mr. Crystal serves as Co-Chief Executive Officer of the Issuer and a member of the Issuer's Board of Directors. In such capacity, Mr. Crystal may engage in communications with the Board of Directors of the Issuer, members of management of the Issuer, other shareholders of the Issuer, financial and legal advisers and other parties regarding the Issuer, including but not limited to its operations, governance and control. In addition, in his capacity as Co-Chief Executive Officer of the Board, Mr. Crystal may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of the instructions to Item 4 of Schedule 13D.\n\nExcept as set forth herein, the Reporting Person does not have any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Person may, at any time and from time to time, review or reconsider his positions and/or change his purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1734750/000121390026076497/0001213900-26-076497-index.html" }, { "accession_no": "0001213900-26-076496", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1734750, "issuer_name": "Corvex, Inc.", "issuer_cusip": "62459M305", "securities_class_title": "Common Stock", "date_of_event": "2026-07-01", "filed_date": "2026-07-08", "item3_funds_source": "The Reporting Person received an aggregate of 5,540,329 shares of Common Stock between March and July 2026 as consideration from the Issuer's acquisition of Corvex Legacy Holdings, Inc. (formerly Corvex, Inc.) (\"Corvex OpCo\"). The Reporting Person's ownership of Corvex OpCo securities was funded from his personal funds or received for services as Co-Chief Executive Officer of Corvex OpCo. All other shares of Common Stock and derivative securities described in Item 5 below have been issued to the Reporting Person in connection with his services to the Issuer as Co-Chief Executive Officer and member of the Board of Directors.", "item4_transaction_purpose": "Mr. Demsey serves as Co-Chief Executive Officer of the Issuer and a member of the Issuer's Board of Directors. In such capacity, Mr. Demsey may engage in communications with the Board of Directors of the Issuer, members of management of the Issuer, other shareholders of the Issuer, financial and legal advisers and other parties regarding the Issuer, including but not limited to its operations, governance and control. In addition, in his capacity as Co-Chief Executive Officer of the Board, Mr. Demsey may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of the instructions to Item 4 of Schedule 13D.\n\nExcept as set forth herein, the Reporting Person does not have any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Person may, at any time and from time to time, review or reconsider his positions and/or change his purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1734750/000121390026076496/0001213900-26-076496-index.html" }, { "accession_no": "0001193125-26-298548", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1844971, "issuer_name": "Greenidge Generation Holdings Inc.", "issuer_cusip": "39531G100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-06", "filed_date": "2026-07-08", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and supplemented to include the following:\n\nPursuant to the Equity Interest Payment Agreement (the \"Payment Agreement\"), dated as of January 24, 2025, by and between the Issuer and certain of the Reporting Persons (collectively, \"Atlas\"), (i) on April 8, 2025, the Issuer made an interest payment to Atlas in an amount equal to $119,205 in the form of 90,954 shares of Class A Common Stock, (ii) on July 2, 2025, the Issuer made an interest payment to Atlas in an amount equal to $162,322 in the form of 131,937 shares of Class A Common Stock, (iii) on October 9, 2025, the Issuer made an interest payment to Atlas in an amount equal to $166,164 in the form of 102,286 shares of Class A Common Stock, (iv) on January 8, 2026, the Issuer made an interest payment to Atlas in an amount equal to $163,598 in the form of 79,320 shares of Class A Common Stock, (v) on April 9, 2026, the Issuer made an interest payment to Atlas in an amount equal to $160,041 in the form of 114,865 shares of Class A Common Stock and (vi) on July 6, 2026, the Issuer made an interest payment to Atlas in an amount equal to $161,820 in the form of 114,199 shares of Class A Common Stock.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1844971/000119312526298548/0001193125-26-298548-index.html" }, { "accession_no": "0001104659-26-081783", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1367859, "issuer_name": "Citizens Community Bancorp, Inc.", "issuer_cusip": "174903104", "securities_class_title": "Common Stock", "date_of_event": "2026-07-07", "filed_date": "2026-07-08", "item3_funds_source": "Item 3 of the Statement is hereby amended and restated in its entirety as follows:\n\nRow 4 of each Reporting Person's cover page to this Amendment No. 2 is incorporated herein by reference.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1367859/000110465926081783/0001104659-26-081783-index.html" }, { "accession_no": "0001104659-26-081782", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1604191, "issuer_name": "GridAI Technologies Corp.", "issuer_cusip": "33749P509", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-08", "item3_funds_source": "The Issuer awarded Restricted Stock Units to the Reporting Person under the Issuer's equity incentive plan.", "item4_transaction_purpose": "All of the shares of Common Stock reported herein were acquired for investment purposes. The Reporting Person intends to evaluate his investment in the shares on a continual basis. The Reporting Person has no definitive plans or proposals as of the date of this filing that relate to, or would result in, any of the actions enumerated in Item 4(a)-(j) of Schedule 13D. The Reporting Person is currently engaged in communications with one or more stockholders, officers or directors of the Issuer and others, including but not limited to, discussions regarding the Issuer's operations and strategic direction and ideas that, if effected, could result in, among other things, any of the matters identified in Item 4(a)-(j) of Schedule 13D, including but not limited to debt or equity capital raising transactions, acquisitions, mergers, combinations and other strategic transactions. The Reporting Person reserves their right, based on all relevant factors and subject to applicable law, at any time and from time to time, to review or reconsider their position, change their purpose, take other actions, including to cause or introduce strategic or corporate transactions involving the Issuer or any of its subsidiaries, or one or more of the types of transactions or have one or more the results described in Item 4(a)-(j) of Schedule 13D) or formulate and implement plans or proposals with respect to any of the foregoing. The Reporting Person from time to time intends to review his investment in the Issuer on the basis of various factors, including whether various strategic transactions have occurred or may occur, the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's securities in general, as well as other developments and other investment opportunities. Based upon such review, the Reporting Person intends to take such actions in the future as they deem appropriate in light of the circumstances existing from time to time, which may include acquisitions of shares of Common Stock of the Issuer or disposal of all or any portion of shares of Common Stock of the Issuer acquired by the Reporting Person, either in the open market or privately negotiated transactions, with or without prior notice.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1604191/000110465926081782/0001104659-26-081782-index.html" }, { "accession_no": "0001104659-26-081559", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1479615, "issuer_name": "Silence Therapeutics Plc", "issuer_cusip": "G8128Y157", "securities_class_title": "Ordinary Shares, nominal value of PS0.05 per share", "date_of_event": "2026-07-06", "filed_date": "2026-07-08", "item3_funds_source": "Mr. Griffiths sold an aggregate of 1,544,374 ADSs in open market transactions between June 29, 2026 and July 6, 2026 for aggregate sales proceeds of $16.3M.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1479615/000110465926081559/0001104659-26-081559-index.html" }, { "accession_no": "0001104659-26-081507", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1987240, "issuer_name": "SCHMID Group N.V.", "issuer_cusip": "N68722102", "securities_class_title": "Class A Ordinary Shares, nominal value EUR0.01 per share", "date_of_event": "2026-07-03", "filed_date": "2026-07-08", "item3_funds_source": "As a result of the Joint Voting Agreement described in Item 6, the Reporting Persons may be deemed to form a \"group\" within the meaning of Section 13(d)(3) of the Act. Accordingly, the original source of consideration for the shared beneficial ownership of the collective block of 34,888,004 Ordinary Shares was the contribution of interest in Gebr. Schmid GmbH, the securities of the Issuer during the internal contribution and reorganization of assets in exchange for equity interests in the HoldCos, the off-set of debts owed by Issuer group companies to share recipients, and the work of Anette and Christian Schmid in their capacities as employees and board members of the Issuer. Further details follow in the below descriptions.\n\nBusiness Combination, Dissolution of the Erbengemeinschaft and Contributions to HoldCos\n\n11,490,000 ordinary shares held by Anette Schmid via Schmid Aequitas GmbH & Co. KG and the 15,320,000 ordinary shares held by Christian Schmid via C. Schmid Beteiligung GmbH & Co. KG prior to May 23, 2026 were all originally issued to Anette Schmid, Christian Schmid, and the Erbengemeinschaft in connection with the exchange of interests in Gebr. Schmid GmbH, into shares of the Issuer (the \"Exchange\") upon the completion of the business combination (the \"Business Combination\") on April 30, 2024 (the \"Closing Date\"). As part of the Business Combination, Anette Schmid and Christian Schmid were also contractually entitled to receive an aggregate of 4,000,000 Private Warrants (convertible on a 1:1 basis into Ordinary Shares) from Pegasus Digital Mobility Sponsor LLC (the \"Sponsor\"), as additional compensation.\n\nAs previously disclosed, an additional 5,000,000 Earn-Out Shares were issued to Anette Schmid and Christian Schmid by the Issuer on the Closing Date. Per the terms of the Earn-Out Agreement, the voting and dispositive power for these shares has not yet vested in the Reporting Persons. Consequently, the 5,000,000 Earn-Out Shares are not included in, and are not counted toward, the aggregate number of Ordinary Shares reported in Rows 7 through 11 of the cover pages of this Schedule 13D/A.\n\nSchmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. became beneficial owners of securities in the Issuer on May 14, 2026, when in a first step, the Erbengemeinschaft formally distributed its 14,937,000 Ordinary Shares to Christian Schmid and Anette Schmid, who in a second step and in connection with capital increases and related transfer arrangements contributed their combined holdings to their respective German limited partnerships (the GmbH & Co. KGs) (each, a \"HoldCo\" and collectively, the \"HoldCos\") in exchange for equity interests in such partnerships:\n\n1. Anette Schmid's HoldCo: (i) 6,894,000 Ordinary Shares previously held by her, and (ii) the 4,596,000 Ordinary Shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG.\n\n2. Christian Schmid's HoldCo: (i) 4,979,000 Ordinary Shares previously held by him, and (ii) the 10,341,000 Ordinary Shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG.\n\nIn addition, and under the same agreements executed on May 14, 2026, each HoldCo received the economic ownership of (i) 2,500,000 Earn-Out Shares (totaling 5,000,000 Earn-Out Shares) and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants contractually owed to be delivered by the Sponsor. These transfers were executed through trustee and nominee arrangements in instances where direct legal title or technical transfer mechanics were contractually restricted, pursuant to which legal title to such warrants (and, where applicable, related rights) remains with the respective individual holders, who hold such interests on behalf of the applicable HoldCo. The HoldCos maintain economic interests in such securities and, through such trustee arrangements, may direct the exercise or disposition of such securities, subject to the terms of the applicable agreements and any legal or contractual limitations thereunder.\n\nMay 23, 2026 Issuances - Set-off and Board/Management compensation and bonuses\n\nOn May 23, 2026:\n\n(i) Anette Schmid was issued 2,190,589 Ordinary Shares by the Issuer in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000. Anette transferred beneficial ownership in those shares to Schmid Aequitas GmbH & Co. KG.\n\n(ii) Schmid Grundstucke GmbH & Co. KG was issued 1,028,074 Ordinary Shares by the Issuer in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000.\n\n(iii) Anette Schmid was issued 24,247 Ordinary Shares as bonus compensation for her work in a management capacity for the Issuer in fiscal year 2023, and 18,782 Ordinary Shares in connection with outstanding and unpaid board compensation due to her for fiscal year 2025. Anette Schmid holds these securities directly.\n\n(iv) Christian Schmid was issued 1,265,322 Ordinary Shares by the Issuer in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000. Christian transferred beneficial ownership in those shares to C. Schmid Beteiligung GmbH & Co. KG.\n\n(v) Christian Schmid was issued 37,150 Ordinary Shares as bonus compensation for his work in a management capacity for the Issuer in fiscal year 2023, and 13,840 Ordinary Shares in connection with outstanding and unpaid board compensation due to him for fiscal year 2025. Christian Schmid holds these securities directly.\n\nThe foregoing descriptions of the Business Combination Agreement, as amended, the Earn-Out Agreement, the internal asset transfers and May 23, 2026 issuances do not purport to be complete descriptions of the terms thereof and are qualified in their entirety by reference to the full text of the relevant agreements, copies of which are incorporated by reference or filed as exhibits hereto.\n\nSEPA share issuances, convertible note conversions and share transfers\n\nSince the last reporting date, the number of outstanding shares has increased by 1,942,296 Ordinary Shares, following the issuance of shares under the Issuer's SEPA facility and further conversions of the outstanding $30 million convertible note.\n\nOn July 3, 2026 Christian Schmid contracted under a German law gift contract to transfer 500,000 Ordinary Shares owned by him to Helmut Rauch, an employee and management member of Gebr. Schmid GmbH, for no consideration. The German law gift contract is attached here as an exhibit.", "item4_transaction_purpose": "The information set forth in Item 3 of this Schedule 13D/A is incorporated herein by reference.\n\nAll of the Ordinary Shares reported herein as beneficially owned by the Reporting Persons were acquired in connection with the Business Combination, subsequent allocation and contribution of such Ordinary Shares to HoldCos, and the off-set of debts owed by Issuer group companies, and in exchange for the work of Anette and Christian Schmid in their capacities as employees and board members of the Issuer.\n\nOn May 14, 2026, the Reporting Persons effected an transfers pursuant to which Ordinary Shares held by Anette Schmid and Christian Schmid, including shares distributed from the Erbengemeinschaft, were contributed to and are now directly held by Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG, respectively. In addition, the economic interests in certain Earn-Out Shares and warrants were allocated to such entities through arrangements intended to transfer the economic benefits of such securities, including through trustee or nominee structures where direct legal ownership could not be transferred. These transactions were undertaken for estate planning, organizational and tax structuring purposes and did not involve the payment of cash consideration.\n\nOn May 23, 2026 Ordinary Shares were issued to Anette Schmid, Christian Schmid and Schmid Grundstucke GmbH & Co KG, in exchange for the off-set of debts owed by Issuer group companies, and the work of Anette and Christian Schmid in their capacities as employees and board members of the Issuer (details are set forth in Item 3). Some shares received by Anette Schmid and Christian Schmid were transferred by them to their respectively controlled HoldCos, some are still held by each directly, and Anette Schmid beneficially owns the securities issued to Schmid Grundstucke GmbH & Co KG, which is an investment vehicle she controls.\n\nOn May 18, 2026, the Reporting Persons entered into a Joint Voting Agreement pursuant to which they agreed to vote or cause to be voted all Ordinary Shares beneficially owned by them in accordance with a joint determination. As a result of such agreement, the Reporting Persons may be deemed to constitute a \"group\" within the meaning of Section 13(d)(3) of the Act, and, accordingly, may be deemed to beneficially own the securities beneficially owned by each other Reporting Person. On May 26, 2026 Schmid Grundstucke GmbH & Co KG joined the Joint Voting Agreement and is subsequently subject to all its conditions.\n\nOn July 3, 2026 Christian Schmid contracted under a German law gift contract to transfer 500,000 Ordinary Shares owned by him to Helmut Rauch, an employee and management member of Gebr. Schmid GmbH, for no consideration.\n\nAnette Schmid and Christian Schmid currently serve on the board of directors of the Issuer, and Christian Schmid also serves as Chief Executive Officer of the Issuer. As a result of their direct and indirect ownership of Ordinary Shares and their positions with the Issuer, the Reporting Persons have the ability to influence the management and policies of the Issuer.\n\nThe Reporting Persons intend to hold their respective interests in the Issuer for investment purposes and to support the ongoing management and operation of the Issuer. Except as described herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the transactions or other matters described in clauses (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons may, from time to time, review their investment in the Issuer and, subject to applicable law, may determine to increase or decrease their ownership position or to pursue or consider other plans or proposals relating to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1987240/000110465926081507/0001104659-26-081507-index.html" }, { "accession_no": "0000921895-26-001779", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 816761, "issuer_name": "TERADATA CORP /DE/", "issuer_cusip": "88076W103", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-06", "filed_date": "2026-07-08", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe source of the capital to purchase securities of the Issuer was Lynrock Fund's (as defined below) working capital, consisting of contributions from its general and limited partners (and which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 6,212,370 shares of Common Stock reported herein is approximately $138,013,131, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/816761/000092189526001779/0000921895-26-001779-index.html" }, { "accession_no": "0000921895-26-001776", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1634117, "issuer_name": "Barnes & Noble Education, Inc.", "issuer_cusip": "06777U200", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-07-06", "filed_date": "2026-07-08", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nOf the 11,208,746 Shares beneficially owned directly by Toro 18, (i) 2,006,702 were purchased pursuant to the exercise of Toro 18's subscriptions rights under the Issuer's Rights Offering (as defined in the Schedule 13D) at the Subscription Price (as defined in the Schedule 13D), (ii) 9,000,000 were purchased pursuant to the PIPE Transaction (as defined in the Schedule 13D) at the Subscription Price, and (iii) 202,044 Shares were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases. The aggregate purchase price of the 202,044 Shares purchased in the open market is $1,731,361, excluding commissions.\n\nOf the 157,871 Shares beneficially owned by Mr. Martin, (i) 118,000 Shares were purchased with personal funds in open market purchases and are held directly, in a wholly-owned limited liability company and certain IRA accounts, all of which Mr. Martin controls exclusively, the aggregate cost basis for which is $835,566, excluding commissions, (ii) 27,871 were acquired upon the vesting of certain restricted stock units (\"RSUs\") awarded to him in his capacity as a director of the Issuer, and (iii) 12,000 Shares were purchased with personal funds in open market purchases and are held in certain UGMA accounts for the benefit of Mr. Martin's minor children (the \"UGMA Accounts\") which Mr. Martin controls exclusively, the aggregate cost basis for which is $86,268, excluding commissions.\n\nOf the 132,871 Shares beneficially owned directly by Mr. Singer, (i) 105,000 were purchased with personal funds in open market purchases, the aggregate cost for which is $753,206, excluding commissions, and (ii) 27,871 were acquired upon the vesting of certain RSUs awarded to him in his capacity as a director of the Issuer.\n\nThe 27,871 Shares beneficially owned directly by Ms. Hoffman were acquired upon the vesting of certain RSUs awarded to her in her capacity as a director of the Issuer.\n\nThe 27,871 Shares directly owned by Mr. Nader were acquired upon the vesting of certain RSUs awarded to him in his capacity as a director of the Issuer.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1634117/000092189526001776/0000921895-26-001776-index.html" }, { "accession_no": "0000902664-26-003041", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1304492, "issuer_name": "Anterix Inc.", "issuer_cusip": "03676C100", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-07-08", "item3_funds_source": "Item 3 is hereby amended and restated in its entirety as follows:\n\nMr. Altman holds a total of 15,416 vested and unvested restricted stock awards received in consideration for his services on the board of directors of the Issuer. Mr. Altman may be deemed to hold his stock awards for the benefit of the Owl Creek Funds.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1304492/000090266426003041/0000902664-26-003041-index.html" }, { "accession_no": "0002064835-26-000069", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1424864, "issuer_name": "Rise Gold Corp.", "issuer_cusip": "76760R100", "securities_class_title": "Common Stock", "date_of_event": "2023-09-22", "filed_date": "2026-07-07", "item3_funds_source": "The reporting persons have not engaged in any material transactions in the Issuer's securities since they filed Amendment No. 5 to this Schedule 13D.\n\nThis Amendment No. 6 is being filed solely to include certain exhibits that were meant to have been filed previously but were inadvertently omitted.", "item4_transaction_purpose": "All securities of the Issuer that are beneficially owned by the reporting persons are held for investment purposes. Mr. Oliver intends to continue to seek to influence the policies of the Issuer with a goal of maximizing the value of the Issuer's common stock.\n\nExcept as described above, the reporting persons have no plans or proposals that relate to, or could result in, any of the matters referred to in paragraphs (a) through (j) of Item 4 of Schedule 13D, except that, with respect to paragraph (d), Mr. Oliver may participate in making changes to the present board of directors in connection with the normal nominating process of the full board of directors for the Issuer's annual meetings of stockholders.\n\nThe reporting persons may purchase common stock or sell or transfer common stock beneficially owned by them from time to time in private or public transactions depending on economic considerations. Any such transactions may be effected at any time or from time to time subject to any applicable limitations imposed on the purchase or sale of the common stock by applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1424864/000206483526000069/0002064835-26-000069-index.html" }, { "accession_no": "0001875620-26-000010", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2104204, "issuer_name": "Alamar Biosciences, Inc.", "issuer_cusip": "010911105", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-05", "filed_date": "2026-07-07", "item3_funds_source": "The information set forth in Item 3 of the Original Schedule 13D is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and restated in its entirety as follows:\n\nThe Reporting Persons acquired and hold the Common Stock for investment purposes in the ordinary course of Sands Pulse Fund II's investment activities.\n\nSubject to applicable legal requirements or contractual restrictions, one or more of the Reporting Persons may purchase additional securities of the Issuer from time to time in open market or private transactions depending on their evaluation of the Issuer's business, prospects and financial condition, the market for the Issuer's securities, other developments concerning the Issuer, the reaction of the Issuer to the Reporting Persons' ownership of the Issuer's securities, other opportunities available to the Reporting Persons, and general economic, money market and stock market conditions. In addition, depending upon the factors referred to above, the Reporting Persons may dispose of all or a portion of their securities of the Issuer at any time. Each of the Reporting Persons reserves the right to increase or decrease its holdings on such terms and at such times as each may decide.\n\nConsistent with their investment purpose, the Reporting Persons may engage in communications with persons associated with the Issuer, including shareholders of the Issuer, officers of the Issuer and/or members of the board of directors of the Issuer, to discuss matters regarding the Issuer including but not limited to its operations and strategic direction. As previously disclosed in the Original Schedule 13D, Ian Ratcliffe, an Executive Managing Partner of the Life Sciences Pulse strategy and an Executive Managing Director of Sands Capital Alternatives, served on the Issuer's board of directors. Following Mr. Ratcliffe's passing on July 5, 2026, he ceased to serve as a member of the Issuer's board of directors. No other employee, officer, partner or other affiliated person of any Reporting Person currently serves on the Issuer's board of directors, and the Reporting Persons do not currently intend to seek board representation.\n\nExcept as set forth in this Schedule 13D, as amended, the Reporting Persons do not currently have any plans or proposals that relate to or would result in any of the matters described in paragraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons reserve the right to formulate such plans or proposals in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2104204/000187562026000010/0001875620-26-000010-index.html" }, { "accession_no": "0001683168-26-005339", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1769484, "issuer_name": "Bioceres Crop Solutions Corp.", "issuer_cusip": "G1117K114", "securities_class_title": "Ordinary Shares, $0.0001 par value", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": "This Schedule 13D is being filed to report a decrease in the number of Ordinary Shares, $0.0001 par value of Bioceres Crop Solutions Corp. (the \"Shares\") beneficially owned by the Reporting Persons as a result of the sale of an aggregate of 676,711 Shares by Granosur, which has decreased the aggregate Shares held by the Reporting Persons to 3,722,732.", "item4_transaction_purpose": "Except as described in Item 4 to this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans. Although the foregoing reflects plans and proposals presently contemplated by each Reporting Person with respect to the Issuer, the foregoing is subject to change at any time and is dependent upon contingencies and assumed and speculative conditions, and there can be no assurance that any of the actions set forth above will be taken.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1769484/000168316826005339/0001683168-26-005339-index.html" }, { "accession_no": "0001493152-26-032265", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 862692, "issuer_name": "CRYO CELL INTERNATIONAL INC", "issuer_cusip": "228895108", "securities_class_title": "Common Stock", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": "The Shares purchased by Camac Fund were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of 551,081 Shares beneficially owned by Camac Fund is approximately $1,807,998 including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the securities of the Issuer reported herein based on the Reporting Persons' belief that such securities, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of securities of the Issuer at prices that would make the purchase or sale of such securities desirable, the Reporting Persons may endeavor to (i) increase or decrease their respective positions in the Issuer through, among other things, the purchase or sale of securities of the Issuer on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable and/or (ii) enter into transactions that increase or hedge their economic exposure to the securities of the Issuer without affecting their beneficial ownership of the Shares. No Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon completion of any of the actions discussed herein. The Reporting Persons intend to review their investments in the Issuer on a periodic basis and may from time to time engage in communications and discussions with management and the Board of Directors of the Issuer (the \"Board\"), other stockholders of the Issuer and third parties concerning, among other things, Board composition and corporate governance, levels of expenditures, monetization of all of the company's assets, and return of capital to shareholders. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/862692/000149315226032265/0001493152-26-032265-index.html" }, { "accession_no": "0001346824-26-000189", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1768446, "issuer_name": "Climb Bio, Inc.", "issuer_cusip": "28658R106", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented as follows:\n\nOn June 29, 2026 Dr. Breanna Celebi (O'Reilly), an Analyst of RA Capital, was appointed to the Board of Directors of the Issuer as the designee of RA Capital, replacing Dr. Andrew Levin, who resigned from the Board of Directors effective June 29, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1768446/000134682426000189/0001346824-26-000189-index.html" }, { "accession_no": "0001213900-26-076122", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1844452, "issuer_name": "Intuitive Machines, Inc.", "issuer_cusip": "46125A100", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented with the following:\n\nEntry into the 2026 10b5-1 Plan\n\nOn July 2, 2026, Ghaffarian Enterprises, LLC entered into a trading plan (the \"2026 10b5-1 Trading Plan\") pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Pursuant to the 2026 10b5-1 Trading Plan, a broker dealer will make periodic sales of up to an aggregate of 1,935,568 shares of Class A Common Stock on behalf of Ghaffarian Enterprises, LLC. Such number of shares represents less than 2% of the total outstanding shares of Class A Common Stock of the Issuer. The 2026 10b5-1 Trading Plan is being entered into solely to generate liquidity for Ghaffarian Enterprises, LLC. Sales under the 2026 10b5-1 Trading Plan will not commence until after the expiration date of any existing plan.\n\n The foregoing description of the 2026 10b5-1 Trading Plan does not purport to be complete and is qualified in its entirety by the text of the 2026 10b5-1 Trading Plan, the form of which is attached as an exhibit to this Schedule 13D and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1844452/000121390026076122/0001213900-26-076122-index.html" }, { "accession_no": "0001213900-26-076019", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2113481, "issuer_name": "Osprey Acquisition Corp. III", "issuer_cusip": "G6841G107", "securities_class_title": "Class A Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-07", "item3_funds_source": "The aggregate purchase price for the ordinary shares currently beneficially owned by the Reporting Persons was $4,885,000. The source of these funds was the capital of Sponsor.", "item4_transaction_purpose": "On February 2, 2026, Sponsor paid certain offering costs totaling $25,000. In February 2026, Issuer entered into a share subscription agreement with Sponsor resulting in Sponsor holding 10,279,000 Class B Shares. In May 2026, Sponsor surrendered 25,000 founder shares to Issuer, resulting in a total of 10,254,000 founder shares outstanding.\n\nOn July 2, 2026, simultaneously with the consummation of the IPO, Sponsor purchased 486,000 units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Units Purchase Agreement dated June 30, 2026, by and between the Issuer and Sponsor (the \"Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference. Each Placement Unit consists of one Class A Share and one-third (1/3) of a redeemable warrant, each whole warrant exercisable to purchase one Class A Share, at an exercise price of $11.50 per share.\n\nThe ordinary shares and units owned by the Reporting Persons have been acquired for investment purposes. The Reporting Persons may make further acquisitions of the Issuer's securities from time to time, however, all of such shares are subject to lock-up restrictions as further described in Item 6 below.\n\nExcept for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of this Schedule 13D.\n\nWith respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, share exchange, asset acquisition, stock purchase, recapitalization, reorganization or other similar business combination with one or more businesses or entities. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, Sponsor, Hepco, Edward E. Cohen, and Jonathan Z. Cohen have each agreed (A) to vote their shares in favor of any proposed business combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2113481/000121390026076019/0001213900-26-076019-index.html" }, { "accession_no": "0001193125-26-297859", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1820190, "issuer_name": "Scilex Holding Company", "issuer_cusip": "80880W205", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-07-03", "filed_date": "2026-07-07", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn April 15, 2025, the Issuer effected a reverse stock split of the Common Stock at a ratio of 1-for-35 (the \"Reverse Stock Split\"). The share information in this Amendment No. 6 reflects the effect of the Reverse Stock Split.\n\nOn July 3, 2026, the Reporting Person entered into a letter agreement (the \"Letter Agreement\") with the Issuer and Quantum Scan Holdings, Inc. (\"Q Scan\"), pursuant to which the Reporting Person transferred 500,000 shares of Common Stock held by the Reporting Person to Q Scan in exchange for shares of common stock of Q Scan. The price at which such shares are being transferred to Q Scan will be based on the closing price of the shares of Issuer common stock on the Nasdaq Capital Market on the last trading day immediately prior to the transfer of such shares pursuant to the Letter Agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1820190/000119312526297859/0001193125-26-297859-index.html" }, { "accession_no": "0001193125-26-297650", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1224133, "issuer_name": "MARCHEX, INC.", "issuer_cusip": "56624R108", "securities_class_title": "Class B Common Stock, par value $0.01 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-07", "item3_funds_source": "The Reporting Person is a founder of Marchex, has provided services to it in several roles since its incorporation in January 2003 (including as a former executive officer, a consultant, and a member of the board of directors), and currently serves as its Chairman. The Reporting Person acquired his historical holdings from personal funds in connection with private investments in Marchex prior to its initial public offering in March 2004 and subsequently through equity incentive compensation.\n\nOn July 1, 2026 (the \"Closing Date\"), the Reporting Person acquired from Marchex $4.9 million in convertible promissory notes (the \"Notes\") initially convertible into 2,702,703 Shares at $1.80 per share, in consideration for Marchex acquiring capital stock of Archenia, Inc., a performance-based marketing technology company, pursuant to a stock purchase agreement dated May 8, 2026 (the \"Stock Purchase Agreement\"). As additional consideration pursuant to the Stock Purchase Agreement, for each of the first and second 12-month periods following the Closing Date, to the extent (1) Archenia's revenue or Adjusted EBITDA exceed such amounts for the 12-month period prior to the Closing Date, and (2) Archenia achieves certain specified integration or customer retention targets, Marchex will issue to the Reporting Person an aggregate of 972,973 million Shares for each such period.\n\nThe foregoing descriptions of the Notes and the Stock Purchase Agreement do not purport to be complete and are qualified in their entirety by the full text to such documents, in the forms filed herewith as Exhibits 99.1 and 99.2, respectively, which are incorporated by reference herein.", "item4_transaction_purpose": "The information set forth or incorporated in Item 3 and Item 6 is hereby incorporated by reference in its entirety into this Item 4. The Reporting Person acquired beneficial ownership of the Shares as part of the transactions described in Item 3 above. The Reporting Person may in the future take actions with respect to his investment in Marchex as it deems appropriate, including changing his current intentions, with respect to any or all matters required to be disclosed in this Schedule 13D. From time to time, the Reporting Person may acquire beneficial ownership of additional securities of Marchex, by purchase or otherwise, including additional purchases of shares in the open-market or privately negotiated transactions or otherwise. In addition, from time to time, the Reporting Person may dispose of all or a portion of the securities of Marchex that he beneficially owns. Other than as described above, the Reporting Person has no plan or proposal that relates to or would result in any of the transactions involving Marchex described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1224133/000119312526297650/0001193125-26-297650-index.html" }, { "accession_no": "0001193125-26-297550", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1787425, "issuer_name": "XP Inc.", "issuer_cusip": "G98239109", "securities_class_title": "Class A Common Shares, par value $0.00001 per share", "date_of_event": "2026-07-06", "filed_date": "2026-07-07", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended to add the following:\n\nThe information set forth in Item 4 hereof is hereby incorporated by reference into this Item 3, as applicable.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following:\n\nOn July 2, 2026, XP Control LLC exercised its Repurchase Right to purchase all of the non-voting interests in XP Control LLC held indirectly by Gabriel for 4,954,867 Class A common shares (resulting from the conversion of the corresponding number of Class B common shares of the Issuer held by XP Control LLC).\n\nAs a result of XP Control LLC's transfer of the Class A common shares to Gabriel's investment vehicle, the Reporting Persons' beneficial ownership of the Class A common shares decreased from 101,752,469 Class A common shares to 96,797,602 Class A common shares. In addition, if the Repurchase Right is exercised in full, the Reporting Persons' beneficial ownership of the Class A common shares may be further decreased by up to 2,815,465 Class A common shares.\n\nExcept as set forth herein, the Reporting Persons have no present plans or proposals which relate to or would result in any of the matters set forth in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1787425/000119312526297550/0001193125-26-297550-index.html" }, { "accession_no": "0001104659-26-081276", "submission_type": "SCHEDULE 13D/A", "amendment_no": 21, "issuer_cik": 1841514, "issuer_name": "Commonwealth Credit Partners BDC I", "issuer_cusip": "000000000", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-26", "filed_date": "2026-07-07", "item3_funds_source": null, "item4_transaction_purpose": "On September 29, 2025, pursuant to a dividend reinvestment plan: (i) UAW Chrysler Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan, 342.584 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW Ford Retirees Medical Benefits Plan, 534.080 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW GM Retirees Medical Benefits Plan, 880.178 Shares. The price per Share was $915.86.\n\nOn December 29, 2025, pursuant to a dividend reinvestment plan: (i) UAW Chrysler Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan, 464.438 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW Ford Retirees Medical Benefits Plan, 724.047 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW GM Retirees Medical Benefits Plan, 1,193.249 Shares. The price per Share was $909.79.\n\nOn March 30, 2026, pursuant to a dividend reinvestment plan: (i) UAW Chrysler Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan, 362.716 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW Ford Retirees Medical Benefits Plan, 565.465 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW GM Retirees Medical Benefits Plan, 931.901 Shares. The price per Share was $895.75.\n\nOn June 26, 2026, pursuant to a dividend reinvestment plan: (i) UAW Chrysler Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan, 369.271 Shares; (ii) UAW Ford Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW Ford Retirees Medical Benefits Plan, 575.685 Shares; and (iii) UAW GM Retirees Medical Benefits Plan reinvested dividend proceeds in the Issuer, and the Issuer issued to UAW GM Retirees Medical Benefits Plan, 948.743 Shares. The price per Share was $882.50.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1841514/000110465926081276/0001104659-26-081276-index.html" }, { "accession_no": "0001104659-26-081270", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 885550, "issuer_name": "Credit Acceptance Corporation", "issuer_cusip": "225310101", "securities_class_title": "Common Stock, $.01 par value", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated in its entirety as follows:\n\n\"As described more fully in Item 5 below, as general partner of the Partnerships, PGP may be deemed to beneficially own 1,427,060 shares of Common Stock held by the Partnerships. PIPS may be deemed to beneficially own 41,437 shares of Common Stock held on behalf of the employee profit-sharing plan participants. Messrs. Smith and Vassalluzzo may be deemed to beneficially own 83,123 and 2,758 shares of Common Stock, respectively, in their capacities as investment managers for several managed accounts, which consist of investment accounts for: (i) a private charitable foundation established by Mr. Smith and for which Mr. Smith acts as trustee (the \"Foundation\") and (ii) certain family members of Mr. Vassalluzzo and certain individual accounts managed by Mr. Smith. The Partnerships, PIPS and the managed accounts are referred to collectively herein as the \"Managed Accounts.\" The 1,554,378 shares of Common Stock owned by the Managed Accounts (the \"Managed Account Shares\") were acquired by the Reporting Persons on behalf of the Managed Accounts for the purpose of achieving the investment goals of the Managed Accounts.\n\nMr. Vassalluzzo currently serves as a director of the Issuer and may be deemed to beneficially own 65,758 shares of Common Stock for his own account, including 51,000 shares of Common Stock acquired for investment purposes, 13,624 shares of Common Stock received for vested RSUs awarded under the Issuer's Incentive Plan, and 1,134 unvested restricted stock units awarded under the Issuer's Incentive Plan.\n\nIn addition, Mr. Smith may be deemed to beneficially own 567,397 shares held by Ridgeview Smith Investments LLC, a limited liability company established by Mr. Smith, the sole member of which is a revocable trust established by Mr. Smith for the benefit of his family (the \"Ridgeview Shares\"). Mr. Smith acquired the Ridgeview Shares for investment purposes.\n\nIn addition to the above, depending upon market conditions, the availability of funds, an evaluation of alternative investments, and such other factors as may be considered relevant, each of the Reporting Persons may purchase or sell shares of Common Stock if deemed appropriate and opportunities to do so are available, in each case, on such terms and at such times as such Reporting Person considers desirable. The Reporting Persons may talk or hold discussions with various parties, including, but not limited to, the Issuer's management, its board of directors, and other shareholders and third parties, for the purpose of developing and implementing strategies to maximize shareholder value, including strategies that may, in the future, result in the occurrence of one or more of the actions or events enumerated in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nSubject to the foregoing, none of the Reporting Persons has any present plan or proposal which relates to or would result in any of the actions or events enumerated in clauses (a) through (j) of Item 4 of Schedule 13D. In addition, each Reporting Person disclaims any obligation to report any plan or proposal known to such Reporting Person solely as a result of Mr. Vassalluzzo's position as a director of the Issuer and his participation in such capacity in decisions involving an action or event described in clauses (a) through (j) in Item 4 of Schedule 13D.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/885550/000110465926081270/0001104659-26-081270-index.html" }, { "accession_no": "0001104659-26-081268", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 108385, "issuer_name": "World Acceptance Corporation", "issuer_cusip": "981419104", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated in its entirety as follows:\n\n\"As described more fully in Item 5 below, as general partner of the Partnerships, PGP may be deemed to beneficially own 1,456,150 shares of Common Stock held by the Partnerships. PIPS may be deemed to beneficially own 50,286 shares of Common Stock held on behalf of the employee profit-sharing plan participants. Messrs. Smith and Vassalluzzo may be deemed to beneficially own 71,150 and 1,788 shares of Common Stock, respectively, in their capacities as investment managers for several managed accounts, which consist of investment accounts for: (i) a private charitable foundation established by Mr. Smith and for which Mr. Smith acts as trustee, and (ii) certain family members of Mr. Vassalluzzo and certain individual accounts managed by Mr. Smith. The Partnerships, PIPS and the managed accounts are referred to collectively herein as the \"Managed Accounts\". The 1,579,374 shares of Common Stock owned by the Managed Accounts (the \"Managed Account Shares\") were acquired by the Reporting Persons on behalf of the Managed Accounts for the purpose of achieving the investment goals of the Managed Accounts.\n\nMr. Vassalluzzo currently serves as a director of the Issuer and beneficially owns 30,000 shares of Common Stock for his own account. In addition, Mr. Smith may be deemed to beneficially own 483,000 shares held by Ridgeview Smith Investments LLC, a limited liability company established by Mr. Smith, the sole member of which is a revocable trust established by Mr. Smith for the benefit of his family (the \"Ridgeview Shares\"). Mr. Smith acquired the Ridgeview Shares for investment purposes.\n\nDepending upon market conditions, the availability of funds, an evaluation of alternative investments, and such other factors as may be considered relevant, each of the Reporting Persons may purchase or sell shares of Common Stock if deemed appropriate and opportunities to do so are available, in each case, on such terms and at such times as such Reporting Person considers desirable. The Reporting Persons may talk or hold discussions with various parties, including, but not limited to, the Issuer's management, its board of directors, and other shareholders and third parties, for the purpose of developing and implementing strategies to maximize shareholder value, including strategies that may, in the future, result in the occurrence of one or more of the actions or events enumerated in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nSubject to the foregoing, none of the Reporting Persons has any present plan or proposal which relates to or would result in any of the actions or events enumerated in clauses (a) through (j) of Item 4 of Schedule 13D. In addition, each Reporting Person disclaims any obligation to report any plan or proposal known to such Reporting Person solely as a result of Mr. Vassalluzzo's position as a director of the Issuer and his participation in such capacity in decisions involving an action or event described in clauses (a) through (j) in Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/108385/000110465926081268/0001104659-26-081268-index.html" }, { "accession_no": "0001104659-26-081193", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2063706, "issuer_name": "Calamos Aksia Hedged Strategies Fund", "issuer_cusip": "12811G306", "securities_class_title": "Class I Common Stock", "date_of_event": "2026-06-29", "filed_date": "2026-07-07", "item3_funds_source": "As of June 29, 2026, 938,955 shares of Class I Common Stock were acquired by Calamos Family Partners, Inc. via an in-kind pro rata distribution as part of a reorganization of funds under common control. No consideration was exchanged in the transaction.", "item4_transaction_purpose": "The Reporting Persons initially acquired and continue to beneficially own the Class I Shares for investment purposes. Depending on market conditions and other factors (including evaluation of the Issuer's businesses and prospects, availability of funds, alternative uses of funds and general economic conditions), the Reporting Persons may from time to time acquire additional securities of the Issuer or dispose of all or a portion of the Issuer. As of the date hereof, the Reporting Persons do not have any plan or proposal that relates to or would result in any of the transactions enumerated in sub items (a) through (j) of the instructions to Item 4 of this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063706/000110465926081193/0001104659-26-081193-index.html" }, { "accession_no": "0001104659-26-081046", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1798562, "issuer_name": "TMC the metals Co Inc.", "issuer_cusip": "87261Y106", "securities_class_title": "TMC Common Shares without par value", "date_of_event": "2026-07-01", "filed_date": "2026-07-07", "item3_funds_source": "Item 3 of the Schedule 13D is hereby supplemented by adding the following additional information:\n\nOn July 1, 2026, AGSA acquired 7,305,567 TMC Common Shares, pursuant to the commercial arrangement under a Contract for Development Work and Commercial Production, dated May 11, 2026, and as effective from March 30, 2026 (the \"Effective Date\"), by and between a wholly owned subsidiary of AGSA and the Issuer, at a purchase price of $4.66 per common share.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1798562/000110465926081046/0001104659-26-081046-index.html" }, { "accession_no": "0001072613-26-000568", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 887396, "issuer_name": "EMPIRE PETROLEUM CORP", "issuer_cusip": "292034303", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-03-31", "filed_date": "2026-07-07", "item3_funds_source": "On August 6, 2020, Petroleum Independent & Exploration LLC, a Nevada limited liability company (\"PIE\"), partially assigned to EEF warrants so EEF had the right to purchase (a) up to 25,000 shares of Common Stock at an exercise price of $0.40 per share (the \"Assigned PIE-3 Warrant\"), and (b) 63,750 shares of Common Stock at an exercise price of $0.564 per share (the \"Assigned PIE-4 Warrant\"). On March 11, 2021, EEF exercised the Assigned PIE-3 Warrant and the Assigned PIE-4 Warrant in full for an aggregate exercise price of $45,955. EEF funded the exercise prices of these warrants using its working capital.\n\nOn or about March 30, 2021, the Company closed an offering of shares of its Common Stock along with warrants to purchase shares of Common Stock. In connection with such offering, on or about March 24, 2021, EEF purchased 75,000 shares of Common Stock and a warrant to purchase up to 75,000 shares of Common Stock at an exercise price of $2.00 per share (the \"EEF Warrant-1\") for an aggregate purchase price of $105,000. The purchase price was funded using EEF's working capital. On or about March 30, 2021, Phil E. Mulacek assigned a warrant to EEF to purchase up to 150,000 shares of Common Stock at an exercise price of $2.00 per share (the \"EEF Warrant-2\"). On or about May 14, 2021, EEF exercised the EEF Warrant-1 and EEF Warrant-2 in full for an aggregate exercise price of $450,000. Such exercise prices were funded using EEF's working capital.\n\nOn May 14, 2021, Empire New Mexico LLC, a Delaware limited liability company and wholly owned subsidiary of the Company d/b/a Green Tree New Mexico (\"Green Tree New Mexico\"), issued that certain Senior Secured Convertible Note due December 31, 2021, in the aggregate principal amount of $16,250,000 (the \"Secured Convertible Note\") to EEF. The Secured Convertible Note was purchased using EEF's working capital. Under the Secured Convertible Note, 40% of the principal amount outstanding together with accrued interest thereon (the \"Maximum Convertible Amount\") could be converted at a conversion price of $5.00 per share (the \"Conversion Price\") into Common Stock, or an aggregate of 1,300,000 shares of Common Stock (without giving effect to any interest that may be converted). The Conversion Price was subject to customary downward adjustments. As partial consideration for the issuance of the Secured Convertible Note, the Company issued (a) 375,000 shares of Common Stock along with (b) a warrant certificate (the \"Note Warrant\") to purchase up to 750,000 shares of Common Stock (the \"Note Warrant Shares\") at an exercise price of $4.00 per Note Warrant Share. Under the Note Warrant, the exercise price was subject to customary downward adjustments, including in the event that the Company conducted capital raises at a valuation of less than $4.00 per share of Common Stock. Effective as of June 15, 2021, EEF partially exercised the Note Warrant by acquiring 375,000 shares of Common Stock for an aggregate exercise price of $1,500,000. Effective as of June 16, 2021, EEF exercised the remaining portion of the Note Warrant by acquiring 375,000 shares of Common Stock for an aggregate exercise price of $1,500,000. Such exercise prices were funded using EEF's working capital.\n\nAlso, on May 14, 2021, Green Tree New Mexico issued that certain Unsecured Convertible Note due May 9, 2022 in the aggregate principal amount of $1,500,000 (the \"Unsecured Convertible Note\") to Phil E. Mulacek. The Unsecured Convertible Note was purchased using Mr. Mulacek's personal funds. Under the Unsecured Convertible Note, 100% of the principal amount outstanding, together with accrued interest thereon, may be converted at a conversion price of $5.00 per share into Common Stock, or an aggregate of 300,000 shares of Common Stock (without giving effect to any interest that may be converted). Effective as of May 14, 2021, Mr. Mulacek converted the Unsecured Convertible Note in full by acquiring 300,000 shares of Common Stock and then contributed such 300,000 shares to EEF.\n\nTo incentivize Mr. Mulacek to purchase the Unsecured Convertible Note, executive officers of the Company entered into arrangements with Mr. Mulacek, pursuant to which Mr. Mulacek had the right to purchase up to 150,000 shares of Common Stock from such executive officers for $3.00 per share. Mr. Mulacek contributed such rights to EEF. On or about May 27, 2021, EEF exercised such rights in full. EEF used its working capital to exercise such rights.\n\nOn or about June 1, 2021, third parties transferred 525,000 shares of Common Stock to EEF in exchange for an ownership interest in EEF on the basis of a valuation of $3.00 per share for each share of Common Stock.\n\nOn September 29, 2021, the Company and Green Tree New Mexico entered into a Loan Modification Agreement with EEF that made certain modifications to the Secured Convertible Note. In connection with the Loan Modification Agreement, among other things, (i) EEF converted $6,500,000 of principal under the Secured Convertible Note along with accrued interest into 1,323,802 shares of Common Stock on September 30, 2021, (ii) the maturity date of the Secured Convertible Note was extended from December 31, 2021 to June 30, 2023, (iii) the Company issued a Common Share Warrant Certificate dated as of September 30, 2021 pursuant to which EEF had the right to acquire 500,000 shares of Common Stock at an exercise price of $5.00 per share on or before December 31, 2023 (the \"Loan Modification Warrant\"), (iv) each quarterly interest payment under the Secured Convertible Note became payable in shares of Common Stock converted at a conversion price of $5.00 per share unless EEF otherwise elected to be paid in cash, and (v) upon maturity of the Secured Convertible Note, EEF would have the option to convert the remaining principal balance, along with accrued interest, into Common Stock of the Company in lieu of cash payment. EEF used its working capital in connection with the conversion described in this paragraph.\n\nOn December 30, 2021, the Company, Green Tree New Mexico, and EEF amended the Secured Convertible Note so that EEF could covert 100% of the principal and accrued interest outstanding under the Senior Convertible Note, and EEF converted 100% of the principal ($5,715,353) and accrued interest ($55,075) outstanding under the Secured Convertible Note into 1,154,085 shares of Common Stock. EEF used its working capital in connection with this conversion.\n\nOn July 20, 2023, EEF exercised in full the Loan Modification Warrant by acquiring 500,000 shares of Common Stock for an aggregate exercise price of $2,500,000. EEF funded such exercise price using its working capital.\n\nOn August 9, 2023, the Company acquired a one-year option to acquire certain oil and gas working interests owned by a subsidiary of EEF (the \"Purchase Option\"). In exchange for the Purchase Option, the Company issued 67,000 shares of Common Stock valued at $600,990 (or $8.97 per share) to EEF.\n\nOn September 19, 2023, EEF made a bridge loan to Empire North Dakota LLC, a Delaware limited liability company (\"Empire North Dakota\") and a wholly owned subsidiary of the Company, in the amount of $5,000,000 with a maturity date of October 31, 2023 (the \"Bridge Loan\"). On October 31, 2023, EEF entered into an amendment to the Bridge Loan with Empire North Dakota for the sole purpose of extending the maturity date of the Bridge Loan from October 31, 2023, to November 9, 2023. On November 9, 2023, EEF amended and restated the Bridge Loan with Empire North Dakota (the \"Amended and Restated Bridge Loan\") for the purpose of, among other things: (a) extending the maturity date of the Bridge Loan from November 9, 2023 to December 31, 2024; and (b) providing that interest payments would be paid in shares of Common Stock instead of cash on each of the following dates (or if any such date is not a business day, the next following business day), except upon the occurrence of an Event of Default (as defined in the Amended and Restated Bridge Loan), in which case interest would accrue and be paid in cash on demand: (i) November 16, 2023; (ii) December 31, 2023; (iii) March 31, 2024; (iv) June 30, 2024; (v) September 30, 2024; and (v) December 31, 2024.\n\nOn November 29, 2023, the Company entered into a Securities Purchase Agreement with EEF, pursuant to which EEF purchased 1,256,832 shares of Common Stock for an aggregate purchase price of $10,054,657.53 (or $8.00 per share), of which (a) $2,000,000 was advanced in cash to the Company on November 22, 2023, (b) $3,000,000 was paid in cash to the Company and (c) $5,054,657.53 was paid through cancellation and extinguishment of the outstanding principal amount and all accrued interest thereon under the Amended and Restated Bridge Loan (the \"Securities Purchase Agreement\"). EEF used its working capital for the purchase of the shares described in this paragraph that were purchased with cash. The Securities Purchase Agreement also contains certain covenants, representations and warranties, and other customary terms and conditions, including the Company using its commercially reasonable best efforts to register the resale of the shares of Common Stock of the Company acquired under the Securities Purchase Agreement under the Securities Act of 1933, as amended, by February 15, 2024.\n\nOn February 16, 2024, the Company issued a promissory note in the aggregate principal amount of $5,000,000 (the \"2024 Bridge Note\") to EEF. On February 16, 2024, EEF advanced the Company $2,500,000 under the 2024 Bridge Note and on March 13, 2024, EEF advanced the remaining $2,500,000 to the Company. EEF used its working capital for the purchase of the 2024 Bridge Note. All or any portion of the outstanding principal amount of the 2024 Bridge Note was permitted to be converted into shares of Common Stock of the Company at a conversion price of $6.25 per share, at the option of EEF, at any time and from time to time. The 2024 Bridge Note was scheduled to mature on February 15, 2026 (the \"Maturity Date\"). At the option of EEF, interest payments would be paid either in cash or in shares of Common Stock of the Company on each of the following dates (or if any such date was not a business day, the next following business day), except upon the occurrence of an Event of Default (as defined in the 2024 Bridge Note), in which case interest would accrue and be paid in cash on demand: (i) March 31, 2024; (ii) June 30, 2024; (iii) September 30, 2024; (iv) December 31, 2024; (v) March 31, 2025; (vi) June 30, 2025; (vii) September 30, 2025; (viii) December 31, 2025; and (ix) the Maturity Date.\n\nOn March 7, 2024, the Company initiated a rights offering to holders of Common Stock, as described in the Company's prospectus supplement dated March 7, 2024, as supplemented by the Company's prospectus supplement dated March 28, 2024 (the \"Rights Offering\"). Pursuant to the Rights Offering, each holder of Common Stock of record as of March 7, 2024 received at no charge one right for each share of Common Stock, and each right carried with it a basic subscription right, which entitled the holder to purchase 0.161 of a share of Common Stock, and an over-subscription right, which entitled holders that exercised their basic subscription rights in full to subscribe for additional shares of Common Stock that were not purchased by other stockholders pursuant to their basic subscription rights, subject to proration. The subscription rights had a subscription price of $5.00 per whole share of Common Stock.\n\nThe Rights Offering expired at 5:00 p.m., Eastern Time, on April 10, 2024 and was fully subscribed. On April 22, 2024, pursuant to the exercise in full of subscription rights, including over-subscription rights, EEF purchased 1,606,546 shares of Common Stock for an aggregate subscription price of $8,032,730. EEF used its working capital for the purchase of the shares in the Rights Offering.\n\nOn April 19, 2024, a subsidiary of the Company partially exercised a three-year purchase option originally issued on August 9, 2023 (the \"Purchase Option\") to acquire in its own name a portion of certain non-operated oil and gas working interests and related assets jointly owned with a subsidiary of EEF. The assets acquired represented approximately 60% of the total assets originally subject to the Purchase Option (the \"Option Assets\"). Upon closing of the partial exercise of the Purchase Option, the Company issued EEF 600,000 shares of Common Stock at an agreed price of $5.00 per share in payment of the exercise price of $3,000,000 on behalf of its subsidiary. Pursuant to the remaining unexercised portion of the Purchase Option, the Company's subsidiary has the right to acquire the remaining Option Assets for an exercise price of $2,000,000, subject to certain adjustments and payable in cash, unless the parties agree that some or all may be paid by issuance of Common Stock to EEF. The Purchase Option expires on August 9, 2026.\n\nOn May 24, 2024, EEF converted the outstanding principal amount of the 2024 Bridge Note in full into shares of Common Stock at the stipulated $6.25 conversion price, receiving 800,000 shares of Common Stock. All accrued interest on the 2024 Bridge Note through the conversion date was paid in cash. Under the anti-dilution provisions of the 2024 Bridge Note, by virtue of the Rights Offering, upon exercise of the 2024 Bridge Note, EEF became entitled to receive a warrant to purchase 128,800 shares of Common Stock at an exercise price of $5.00 per share (the \"Conversion Warrant\"). The Conversion Warrant was issued on May 30, 2024, and was exercisable on or before July 31, 2024. On June 28, 2024, EEF exercised the Conversion Warrant in full for an aggregate exercise price of $644,000. EEF funded the exercise price of the Conversion Warrant using its working capital.\n\nOn August 8, 2024, in exchange for the Company extending its right to exercise the Purchase Option, the Company issued 16,800 shares of Common Stock valued at $71,400 (or $4.25 per share) to EEF.\n\nOn October 1, 2024, the Company initiated a rights offering to holders of Common Stock, as described in the Company's prospectus supplement dated September 30, 2024, as supplemented by the Company's prospectus supplement dated October 10, 2024 (the \"October Rights Offering\"). Pursuant to the October Rights Offering, each holder of Common Stock of record as of September 30, 2024 received at no charge one right for each share of Common Stock, and each right carried with it a basic subscription right, which entitled the holder to purchase 0.063 of a share of Common Stock, and an over-subscription right, which entitled holders that exercised their basic subscription rights in full to subscribe for additional shares of Common Stock that were not purchased by other stockholders pursuant to their basic subscription rights, subject to proration. The subscription rights had a subscription price of $5.05 per whole share of Common Stock.\n\nThe October Rights Offering expired at 5:00 p.m., Eastern Time, on October 24, 2024 and was fully subscribed. On November 14, 2024, pursuant to the exercise in full of subscription rights, including over-subscription rights, EEF purchased 790,413 shares of Common Stock for an aggregate subscription price of $3,991,586. EEF used its working capital for the purchase of the shares in the October Rights Offering.\n\nThe Company exercised the remaining portion of the Purchase Option to acquire the remaining Option Assets, and upon closing of the transaction on January 5, 2026, the Company issued to EEF 562,500 shares of Common Stock valued at $1,800,000 based on an agreed price of $3.20 per share.\n\nOn February 2, 2026, the Company initiated a rights offering to holders of Common Stock, as described in the Company's prospectus supplement dated February 2, 2026, as supplemented by the Company's prospectus supplement dated February 25, 2026 (the \"February Rights Offering\"). Pursuant to the February Rights Offering, each holder of Common Stock of record as of February 2, 2026 received at no charge one right for each share of Common Stock, and each right carried with it a basic subscription right, which entitled the holder to purchase 0.095 of a share of Common Stock, and an over-subscription right, which entitled holders that exercised their basic subscription rights in full to subscribe for additional shares of Common Stock that were not purchased by other stockholders pursuant to their basic subscription rights, subject to proration. The subscription rights had a subscription price of $2.99 per whole share of Common Stock.\n\nThe February Rights Offering expired at 5:00 p.m., Eastern Time, on March 18, 2026 and was fully subscribed. On March 31, 2026, pursuant to the exercise in full of subscription rights, including over-subscription rights, EEF purchased 1,855,757 shares of Common Stock for an aggregate subscription price of $5,548,713. EEF used its working capital for the purchase of the shares in the February Rights Offering.\n\nOn July 2, 2026, EEF made an in-kind distribution of 941,332 shares of Common Stock to certain of its investors for no consideration.", "item4_transaction_purpose": "EEF acquired and owns or owned the shares of Common Stock, convertible notes, and warrants to purchase Common Stock, as described herein, for investment purposes. EEF may, from time to time, depending on prevailing market, economic, and other conditions, acquire additional shares of Common Stock or other securities of the Company, dispose of any such securities, or engage in discussions with the Company concerning such acquisitions or dispositions or further investments in the Company. EEF intends to review its investment in the Company from time to time and, depending upon its assessment of pertinent factors, including without limitation, the price and availability of shares of Common Stock or other securities of the Company, subsequent developments affecting the Company, the Company's business and prospects, other investment and business opportunities available to EEF, general stock market and economic and industry conditions and tax considerations, may decide at any time to increase or to decrease the size of its investment in the Company in the open market, in privately negotiated transactions, pursuant to Rule 10b5-1 trading plans or otherwise.\n\nExcept as described in this Schedule 13D, EEF does not have any present plans or proposals that relate to or would result in any of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D. However, EEF, at any time and from time to time, may review, reconsider, and change its position and/or change its purpose and/or develop such plans or proposals.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/887396/000107261326000568/0001072613-26-000568-index.html" }, { "accession_no": "0000921895-26-001769", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1985337, "issuer_name": "YY Group Holding Ltd.", "issuer_cusip": "G9888Q129", "securities_class_title": "Class A Ordinary Shares, each with no par value", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 84,983 Shares beneficially owned by Alpha Fund that were purchased directly by Alpha Fund with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $396,628, including brokerage commissions.\n\nThe aggregate purchase price of the 232,600 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $453,736, including brokerage commissions.\n\nThe aggregate purchase price of the 2,334 Shares beneficially owned by Mr. Ault that were purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $7,484, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985337/000092189526001769/0000921895-26-001769-index.html" }, { "accession_no": "0000921895-26-001765", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 918541, "issuer_name": "NN INC", "issuer_cusip": "629337106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": "Item 3 is hereby amended and restated in its entirety as follows:\n\nThe securities of the Issuer purchased by each of Legion Partners I, Legion Partners II, Legion Partners XI and Legion Partners Holdings were purchased with working capital.\n\nThe aggregate purchase price of the 3,519,420 Shares owned directly by Legion Partners I is approximately $32,766,696, including brokerage commissions. The aggregate purchase price of the 214,095 Shares underlying certain Warrants (as previously defined and described in Amendment No. 4 to the Schedule 13D) owned directly by Legion Partners I is approximately $155,283, including brokerage commissions. The aggregate purchase price of the 395,144 Shares owned directly by Legion Partners II is approximately $934,088, including brokerage commissions. The aggregate purchase price of the 10,905 Shares underlying certain Warrants owned directly by Legion Partners II is approximately $7,909, including brokerage commissions. The aggregate purchase price of the 858,283 Shares owned directly by Legion Partners XI is approximately $7,483,246, including brokerage commissions. The aggregate purchase price of the 300 Shares owned directly by Legion Partners Holdings is approximately $2,568, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/918541/000092189526001765/0000921895-26-001765-index.html" }, { "accession_no": "0000902664-26-003018", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 885508, "issuer_name": "Stratus Properties Inc", "issuer_cusip": "863167201", "securities_class_title": "Common stock, $0.01 par value", "date_of_event": "2026-07-02", "filed_date": "2026-07-07", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/885508/000090266426003018/0000902664-26-003018-index.html" }, { "accession_no": "0000038777-26-000184", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-07-06", "filed_date": "2026-07-07", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000184/0000038777-26-000184-index.html" }, { "accession_no": "0002005915-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1708259, "issuer_name": "LexinFintech Holdings Ltd.", "issuer_cusip": "528877103", "securities_class_title": "Class A ordinary shares, par value $0.0001", "date_of_event": "2026-07-02", "filed_date": "2026-07-06", "item3_funds_source": "Same as the description in the Statement.", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented by adding the following:\nOn July 1, 2026, Mr. Yi Wu sold certain ADSs in the open market and, together with previous sales, such sale of ADSs resulted in a reduction of his beneficial ownership percentage in the Issuer's ordinary shares. The Reporting Persons have no plans or proposals which relate to or would result in any of the actions specified in paragraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1708259/000200591526000002/0002005915-26-000002-index.html" }, { "accession_no": "0001731122-26-000908", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1894693, "issuer_name": "SaverOne 2014 Ltd.", "issuer_cusip": "80516T600", "securities_class_title": "Ordinary Shares, NIS 0.01 par value (underlying American Depositary Shares)", "date_of_event": "2026-03-11", "filed_date": "2026-07-06", "item3_funds_source": "In addition to the acquisitions described in the Original Schedule 13D and Amendment No. 1 and 2, 3, 4, 5 & 6 between March 30, 2026 and June 26, 2026, the Reporting Person acquired an aggregate of 181,055 American Depositary Shares (\"ADSs\") of the Issuer in open-market transactions on The Nasdaq Stock Market LLC for an aggregate purchase price of approximately $644,491 (exclusive of commissions). On June 26, 2026 per closing of stages based on Exchange Agreement dated January 26, 2026 the Issuer issued additional 16,608,240,000 shares represent 348,450 ADSs at cost of $6.93 per ADS. Each ADS represents 43,200 Ordinary Shares pursuant to the ADS ratio effective February 25, 2026. These transactions resulted in the acquisition of 7,821,576,000 (in the open market) and additional 16,608,240,000 per the Ordinary Shares Exchange Agreement dated January 26, 2026. The funds used for these purchases were from the Reporting Person's working capital.", "item4_transaction_purpose": "The additional acquisitions described in Item 3 above were made for investment and strategic purposes consistent with those described in the Original Schedule 13D and Amendments No. 1,2,3,4,5 & 6. The Reporting Person may from time to time acquire additional Ordinary Shares or ADSs of the Issuer in the open market or in privately negotiated transactions, subject to market conditions, applicable securities laws, and other considerations. Except as described herein or in the Original Schedule 13D and Amendment No. 1, the Reporting Person has no current plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1894693/000173112226000908/0001731122-26-000908-index.html" }, { "accession_no": "0001493152-26-032072", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1597846, "issuer_name": "Greenpro Capital Corp.", "issuer_cusip": "39540F408", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-06-30", "filed_date": "2026-07-06", "item3_funds_source": "The Reporting Person used personal funds in the amount of $100,000 to purchase 65,591 shares of Common Stock pursuant to the Subscription Agreement.", "item4_transaction_purpose": "The Reporting Person acquired the shares of Common Stock reported herein for investment purposes and to provide financial support for the Issuer's operations. Except as set forth herein, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the matters described in Items 4(a) through 4(j) of Schedule 13D. The Reporting Person may, from time to time, review or reconsider his position and formulate plans or proposals with respect thereto, subject to applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1597846/000149315226032072/0001493152-26-032072-index.html" }, { "accession_no": "0001493152-26-032043", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1001601, "issuer_name": "MGT Capital Investments, Inc.", "issuer_cusip": "55302P202", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-06", "item3_funds_source": "The source of the purchase price for the Common Stock reported on this Schedule 13D as beneficially owned by the Reporting Persons was working capital available for investment from Project Nickel. The information required by Item 3 not otherwise provided herein is set forth in Item 4 and is incorporated herein by reference.", "item4_transaction_purpose": "As disclosed in the Issuer's Form 8-K filed on September 14, 2022, the Issuer and Project Nickel entered into a Securities Purchase Agreement (the \"SPA\") on September 12, 2022. Pursuant to the SPA, Project Nickel provided $1,335,000 in funding to the Issuer, and in exchange, the Issuer issued to Project Nickel: (i) an Original Issue Discount Secured Convertible Promissory Note in the principal amount of $1,500,000, bearing interest at a rate of 6% per annum and maturing on December 31, 2023 (the \"2022 Note\"); and (ii) Series X, Series Y, and Series Z warrants (collectively, the \"Warrants\"). The 2022 Note was convertible into 30% of the Issuer's outstanding Common Stock on a post-conversion basis as of the date of conversion (the \"Conversion Shares\"). Each series of Warrants was exercisable for a number of shares equal to 60% of the Conversion Shares, with exercise prices as follows: (i) for the Series X Warrants, the lower of $0.02 and 120% of the closing price of the Common Stock on the date of exercise; (ii) for the Series Y Warrants, the lower of $0.05 and 150% of the closing price on the date of exercise; and (iii) for the Series Z Warrants, the lower of $0.06 and 200% of the closing price on the date of exercise. Both the 2022 Note and the Warrants were subject to a contractual beneficial ownership blocker provision, which limited Project Nickel's ability to convert or exercise such securities to the extent that doing so would result in beneficial ownership exceeding a specified threshold.\n\nAs disclosed in the Issuer's Form 8-K filed on December 20, 2023, the Issuer and Project Nickel entered into an agreement on December 19, 2023, pursuant to which the parties agreed to exchange the 2022 Note for a new note with substantially similar terms, except that (i) the maturity date was extended to December 31, 2024, and (ii) the conversion feature was modified to permit conversion into 40% of the Issuer's outstanding Common Stock on a post-conversion basis (the \"2023 Note\").\n\nAs disclosed in the Issuer's Form 8-K filed on November 4, 2024, the Issuer and Project Nickel entered into three separate agreements on November 1, 2024: (i) a Convertible Note Exchange Agreement (the \"Convertible Note Exchange Agreement\"); (ii) a Warrant Exchange and Extinguishment Agreement (the \"Warrant Exchange and Extinguishment Agreement\"); and (iii) a Promissory Note Exchange Agreement (the \"Promissory Note Exchange Agreement\").\n\nPursuant to the Convertible Note Exchange Agreement, Project Nickel agreed to exchange the 2023 Note for: (i) a new Secured Exchange Note with a principal amount of $1,620,240, bearing interest at 8% per annum and maturing on December 31, 2025 (the \"2024 Note\"); and (ii) 750,000,000 shares of Common Stock.\n\nUnder the Warrant Exchange and Extinguishment Agreement, Project Nickel agreed to extinguish all outstanding Series X, Y, and Z Warrants in exchange for: (i) 600,000,000 shares of Common Stock, and (ii) 650,000 shares of the Issuer's Series D Preferred Stock, each of which is convertible at any time into 1,000 shares of Common Stock.\n\nAs of November 1, 2024, the Issuer owed Project Nickel an aggregate default principal amount of $241,590 under promissory notes issued on November 20, 2023 ($25,000), March 6, 2024 ($125,000), and April 30, 2024 ($50,000) (collectively, the \"Promissory Notes\"). Pursuant to the Promissory Note Exchange Agreement, Project Nickel agreed to consolidate and exchange the Promissory Notes for a new consolidated promissory note with a principal amount of $241,590, bearing interest at 8% per annum and maturing on December 31, 2025 (the \"New Promissory Note\").\n\nOn September 22, 2025, the Issuer and Project Nickel entered into a Secured Exchange Note Exchange Agreement (the \"2025 Exchange Agreement\"), pursuant to which Project Nickel agreed to exchange the 2024 Note, then outstanding with a principal balance of $1,220,240, for: (i) a new secured convertible promissory note with a principal amount of $1,220,240, bearing interest at 8% per annum and maturing on December 31, 2027 (the \"2025 Note\"); and (ii) 500,000,000 newly-issued shares of Common Stock. The 2025 Note is convertible into shares of Common Stock at a price of $0.001 per share, adjusted for any stock splits.\n\nAdditionally, on September 22, 2025, the 650,000 shares of Series D Preferred Stock held by Project Nickel were converted into 650,000,000 shares of Common Stock, in accordance with the applicable conversion terms.\n\nOn June 30, 2026, the Issuer and Project Nickel entered into a Secured Convertible Promissory Note Exchange Agreement (the \"2026 Exchange Agreement\") pursuant to which Project Nickel agreed to exchange and extinguish the 2025 Note, then outstanding with a principal balance of $[$1,220,240 ], for (i) 3,250,000 shares of Series E Convertible Preferred Stock, each of which is convertible at any time into 1,000 shares of Common Stock.; and, (ii) 750,131,126 newly-issued shares of Common Stock.\n\nFor purposes of this Schedule 13D, the 2022 Note, 2023 Note, 2024 Note, 2025 Note, the Promissory Notes, and the New Promissory Note are collectively referred to herein as the \"Notes.\"\n\nExcept as previously disclosed, DAXvest and Mr. Kittrell do not directly own any shares of Common Stock but are deemed to beneficially own the Common Stock held by Project Nickel. Each of DAXvest and Mr. Kittrell disclaims beneficial ownership of such securities except to the extent of their respective pecuniary interests therein.\n\nThe foregoing summary of certain terms of the SPA, the Notes, the Warrants, the Convertible Note Exchange Agreement, the Warrant Exchange and Extinguishment Agreement, the Promissory Note Exchange Agreement, 2025 Exchange Agreement and the 2026 Exchange Agreement is not intended to be complete and is qualified in its entirety by reference to the full text of such documents, which are referenced in the Issuer's current reports on Form 8-K identified above.\n\nThe Reporting Persons acquired the shares of Common Stock reported herein for investment purposes. Except as set forth herein, the Reporting Persons do not presently have any plan or proposal that would result in any of the actions enumerated in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons intend to evaluate their investment in the Issuer on an ongoing basis. Depending on various factors, including but not limited to the Issuer's financial condition and strategic direction, actions taken by its board of directors, prevailing market conditions, the price of the Common Stock, alternative investment opportunities, and general economic and industry developments, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate. Such actions may include, without limitation, acquiring additional securities of the Issuer, disposing of some or all of their holdings, engaging in discussions with management, the board of directors, other shareholders, or third parties, or modifying their current intentions with respect to any or all matters described in Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1001601/000149315226032043/0001493152-26-032043-index.html" }, { "accession_no": "0001437749-26-022852", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1464343, "issuer_name": "Atlanticus Holdings Corp", "issuer_cusip": "04914Y102", "securities_class_title": "Common Stock, no par value per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": "The information set forth in Item 4 hereof is hereby incorporated by reference into this Item 3, as applicable.", "item4_transaction_purpose": "Series A Convertible Preferred Stock\n\nAs previously disclosed in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission (the SEC) on December 30, 2019, the Issuer and Dove entered into a payoff letter (the Payoff Letter), pursuant to which the Issuer agreed to issue Dove 400,000 shares of newly-created Series A Cumulative Convertible Preferred Stock, no par value (the Series A Convertible Preferred Stock), in exchange for full satisfaction of the $40.0 million that the Issuer owed Dove under the Loan and Security Agreement, dated as of November 26, 2014, as previously amended, among the Issuer, certain subsidiary guarantors of the Issuer and Dove. The Issuer and Dove signed the Payoff Letter and completed the transactions provided for under the Payoff Letter on December 27, 2019.\n\nIn connection with the issuance of the Series A Convertible Preferred Stock, on December 27, 2019, the Issuer filed the Articles of Amendment Establishing Cumulative Convertible Preferred Stock, Series A (the Articles of Amendment) with the Georgia Secretary of State. The Articles of Amendment, which establishes the rights, preferences, privileges, qualifications, restrictions and limitations relating to the Series A Convertible Preferred Stock, became effective upon filing.\n\nPursuant to the Articles of Amendment, the Series A Convertible Preferred Stock has the following terms:\n\nLiquidation Preference: The Series A Convertible Preferred Stock ranks (i) senior in liquidation to all existing and future classes of the Issuer's common stock and (ii) pari passu or senior to all existing and future classes of preferred stock.\n\nPer Share Liquidation Preference: $100.\n\nDividends: 6% per year, cumulative, non-compounding, on the liquidation preference of $100.\n\nRedemption: The Series A Convertible Preferred Stock is perpetual and has no maturity date. The Issuer may, at its option, redeem the shares of Series A Convertible Preferred Stock on or after January 1, 2025 at a redemption price equal to $100 per share, plus any accumulated and unpaid dividends. At the request of a majority of the holders of the Series A Convertible Preferred Stock, the Issuer shall offer to redeem all of the Series A Convertible Preferred Stock at a redemption price equal to $100 per share, plus any accumulated and unpaid dividends, at the option of the holders thereof, on or after January 1, 2024.\n\nConversion: Upon the election by the holders of a majority of the Series A Convertible Preferred Stock, each share of the Series A Convertible Preferred Stock is convertible into the number of shares of the Issuer's common stock as is determined by dividing (i) the sum of (a) $100 and (b) any accumulated and unpaid dividends on such share by (ii) an initial conversion price equal to $10 per share, subject to certain adjustment in certain circumstances to prevent dilution.\n\nVoting Rights: Except for approval of adverse changes to the terms of the Series A Convertible Preferred Stock, approval of sale of all or substantially all of the Issuer's assets, and triggering redemption or conversion of the Series A Convertible Preferred Stock, the holders of the Series A Convertible Preferred Stock have no voting rights except as required by law.\n\nThe terms of the Series A Convertible Preferred Stock are more fully described in the Articles of Amendment, a copy of which is filed as an exhibit hereto and is incorporated by reference herein.\n\nDove is a limited liability company owned by three trusts. David G. Hanna is the sole shareholder and the President, Secretary, and Treasurer of the corporation that serves as the sole trustee of one of the trusts the beneficiaries of which include David G. Hanna. Frank J. Hanna is the sole shareholder and the President, Secretary, and Treasurer of the corporation that serves as the sole trustee of the other two trusts the beneficiaries of which include Frank J. Hanna. David G. Hanna and Frank J. Hanna are brothers.\n\nAdditional Information\n\nDavid G. Hanna is the Executive Chairman of the Board of Directors of the Issuer. In this capacity, Mr. Hanna takes, and will continue to take, an active role in the Issuer's management and strategic direction. Subject to the factors discussed below, applicable law and the policies of the Issuer, each Reporting Person may from time to time purchase additional securities of the Issuer, or rights or options to purchase such securities, through open market or privately negotiated transactions or exercises of derivative securities, or may determine to sell, trade or otherwise dispose of all or some holdings in the Issuer in the public markets, in privately negotiated transactions or otherwise, or take any other lawful action such Reporting Person deems to be in his, her or its best interests, or otherwise, depending upon existing market conditions, the price and availability of such securities and other considerations discussed in this paragraph. Each Reporting Person intends to review on a continuing basis various factors relating to his, her or its investment in the Issuer, including but not limited to the Issuer's business and prospects, the price and availability of the Issuer's securities, subsequent developments affecting the Issuer, other investment and business opportunities available to such Reporting Person, such Reporting Person's general investment and trading practices, market conditions, estate planning considerations or other factors. Each Reporting Person has not yet determined which of the courses of actions specified in this paragraph he, she or it may ultimately take.\n\nExcept as set forth herein and other than in David G. Hanna's capacity as an officer or director of the Issuer, none of the Reporting Persons has any present plans or proposals which relate to or would result in any of the following: (a) the acquisition of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present Board or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action similar to any of those enumerated in the foregoing clauses (a) through (i); provided that any Reporting Person may, at any time and subject to applicable law and the policies of the Issuer, review or reconsider his, her or its position with respect to the Issuer and reserves the right to develop such plans or proposals that would relate to or result in the transactions described above and may hold discussions with or make proposals to management, the Board, other shareholders of the Issuer or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1464343/000143774926022852/0001437749-26-022852-index.html" }, { "accession_no": "0001214659-26-008243", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1017303, "issuer_name": "TRANSACT TECHNOLOGIES INC", "issuer_cusip": "892918103", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": "The aggregate purchase price of the 521,841 Shares is approximately $2,453,646, excluding brokerage commissions.", "item4_transaction_purpose": "The purpose of the acquisition of the Common Stock is for investment, and the acquisitions of the Common Stock were made in the ordinary course of business and were not made for the purpose of acquiring control of the Issuer.\n\nAlthough no Reporting Person has any specific plan or proposal to acquire or dispose of the Common Stock, consistent with its investment purpose, each Reporting Person at any time and from time to time may acquire additional Common Stock or dispose of any or all of its Common Stock depending upon an ongoing evaluation of the investment in the Common Stock, prevailing market conditions, other investment opportunities, liquidity requirements of the Reporting Persons, and/or other investment considerations.\n\nAlso, consistent with the investment purpose, the Reporting Persons may engage in communications with one or more shareholders of the Issuer, one or more officers of the Issuer and/or one or more members of the board of directors of the Issuer and/or one or more representatives of the Issuer regarding the Issuer, including but not limited to its operations. The Reporting Persons may discuss ideas that, if effected, may result in any of the following: the acquisition by persons of additional Common Stock of the Issuer, an extraordinary corporate transaction involving the Issuer, and/or changes in the board of directors or management of the Issuer.\n\nExcept to the extent the foregoing may be deemed a plan or proposal, none of the Reporting Persons has any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1017303/000121465926008243/0001214659-26-008243-index.html" }, { "accession_no": "0001213900-26-075659", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1838987, "issuer_name": "SunPower Inc.", "issuer_cusip": "20460L104", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": "Mr. Rodgers, Rodgers Capital LLC and the Living Trust received, in the aggregate, 7,082,187 shares of Common Stock and 724,416 warrants to purchase Common Stock on July 18, 2023 upon the closing of the transactions contemplated by pursuant to that certain Business Combination Agreement, dated May 26, 2023, by and among Freedom Acquisition I Corp. (\"FACT\"), Jupiter Merger Sub I Corp., a Delaware corporation and wholly-owned subsidiary of FACT, Jupiter Merger Sub II LLC, a Delaware limited liability company and a wholly-owned subsidiary of FACT, SunPower Inc. (f/k/a Complete Solaria, Inc. and Complete Solar Holding Corporation), a Delaware corporation, and The Solaria Corporation, a Delaware corporation and a wholly-owned indirect subsidiary of the Issuer, as previously reported on a Form 4 filed with the SEC on July 20, 2023 (as amended on July 24, 2023).\n\nOn December 3, 2023, the Issuer issued to Mr. Rodgers the Stock Options exercisable for an aggregate of 116,601 shares of Common Stock, and such options are fully exercisable.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on February 16, 2024, on January 31, 2024 the Issuer entered into a Simple Agreement for Future Equity with the Living Trust in connection with its $1.0 million investment in the Issuer (the \"First Safe\").\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on February 16, 2024, on February 15, 2024 the Issuer entered into a Simple Agreement for Future Equity with the Charitable Trust in connection with its $3.5 million investment in the Issuer (the \"Second Safe\").\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on April 22, 2024, on April 21, 2024 the Issuer entered into an amendment to the First Safe and the Second Safe pursuant to which the First Safe was converted into 4,166,666 shares of Common Stock, and the Second Safe was converted into 9,722,222 shares of Common Stock.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on May 17, 2024, on May 13, 2024 the Issuer and the Charitable Trust entered into Simple Agreement for Future Equity in connection with the Charitable Trust investing $1.0 million in the Issuer (the \"May 2024 Safe\"), and which was subsequently converted and exchanged into $1,000,000 principal amount of the 10% Notes issued to the Charitable Trust on April 23, 2026.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on July 8, 2024, on July 1, 2024 the Issuer issued $18.0 million aggregate principal amount of its the 12% Notes to the Living Trust. The 12% Notes are convertible at the option of the holder at a conversion rate initially equal to 595.2381 shares of Common Stock per $1,000 principal amount of the 12% Notes, subject to adjustment.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on September 12, 2024, on September 8, 2024 the Issuer issued $4.0 million aggregate principal amount of the 7% Notes to each of the Charitable Trust and the Living Trust. The 7% Notes are convertible at any time until the day before the maturity date of July 1, 2029 at a conversion rate of 584.7953 shares of Common Stock per $1,000 principal amount of the 7% Notes, subject to adjustment.\n\nOn May 30, 2025, each of the Massey Trust and the Rodgers Trust purchased 150,000 shares of Common Stock at a weighted average price of $1.38, as previously reported on a Form 4 filed with the SEC on June 3, 2025. On June 2, 2025, each the Massey Trust and the Rodgers Trust purchased 10,589 shares of Common Stock, each at a weighted average price of $1.49, as previously reported on a Form 4 filed with the SEC on June 4, 2025. Subsequently, on June 3, 2025, each of the Massey Trust and the Rodgers Trust purchased 303,000 shares of Common Stock, each at a weighted average price of $1.68, as previously reported on a Form 4 filed with the SEC on June 5, 2025.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on July 16, 2025, on July 10, 2025 the Issuer issued an additional 12% Note (the \"July 2025 Note\") in the principal amount of $5.0 million to the Living Trust. The July 2025 Note is convertible at a conversion rate initially equal to 558.6592 shares of Common Stock per $1,000 principal amount of the July 2025 Note, subject to adjustment.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on November 24, 2025, on November 20, 2025, the Issuer issued an additional 12% Note (the \"November 2025 Note\") in the principal amount of $2.0 million to the Charitable Trust. The November 2025 Note is convertible at a conversion rate initially equal to 626.9592 shares of Common Stock per $1,000 principal amount of the November 2025 Note, subject to adjustment.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on January 30, 2026, on January 29, 2026 the Issuer issued an additional 12% Note (the \"January 2026 Note\") in the principal amount of $3.3 million to the Living Trust. The January 2026 Note is convertible at the option of the holder at a conversion rate initially equal to 540.5405 shares of Common Stock per $1,000 principal amount of the January 2026 Note, subject to adjustment.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on April 14, 2026, on April 8, 2026, the Issuer entered into a Simple Agreement for Future Equity with the Living Trust in connection with its $5.0 million investment in the Issuer (the \"2026 Safe\"), and which was subsequently converted and exchanged into $5.0 million principal amount of the 10% Notes.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on April 22, 2026, on April 21, 2026 the Issuer entered into Note Purchase Agreements with each of the Living Trust and the Charitable Trust to issue the trusts $5.0 million principal amount of the 10% Notes and $1.0 million principal amount of the 10% Notes, respectively. The 10% Notes were issued to the Living Trust and Charitable Trust on April 23, 2026 in consideration for the cancellation and exchange of the 2026 Safe and the May 2024 Safe. The 10% Notes are convertible at the option of the holder at a conversion rate initially equal to 610.3143 shares of Common Stock per $1,000 principal amount of the 10% Notes, subject to adjustment.\n\nAs previously reported on the Issuer's Current Report on Form 8-K filed with the SEC on July 1, 2026, on July 1, 2026 the Issuer issued shares of Common Stock in exchange for interest payments otherwise payable pursuant to the 12% Notes, 10% Notes and 7% Notes, including such notes held by the Reporting Persons. As a result of such transactions, on July 1, 2026, the Issuer issued 633,250 shares of Common Stock to the Charitable Trust and 7,226,186 shares of Common Stock to the Living Trust, respectively.", "item4_transaction_purpose": "The information set forth in Items 3 and 5 is hereby incorporated by reference in its entirety in this Item 4.\n\nAs a director and officer and affiliate of the Issuer, Mr. Rodgers may have influence over the corporate activities of the Issuer; including activities which may relate to the transactions described in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nSubject to the Issuer's insider trading policies, Mr. Rodgers may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. In addition, Mr. Rodgers may engage in discussions with management, the Board and other securityholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or the relevant parties to consider or explore extraordinary corporate transactions, such as a merger, reorganization or take-private transaction that may result in the delisting or deregistration of the Common Stock; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nExcept as set forth in this Item 4, the Reporting Persons do not have any present plans or proposals that relate to or that would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons retain the right to change their investment intent and may, from time to time, acquire additional shares of Common Stock or other securities of the Issuer, or sell or otherwise dispose of (or enter into plans or arrangements to sell or otherwise dispose of), all or part of the shares of Common Stock or other securities of the Issuer, if any, beneficially owned by the Reporting Persons, in any manner permitted by law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1838987/000121390026075659/0001213900-26-075659-index.html" }, { "accession_no": "0001213900-26-075546", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1869105, "issuer_name": "BridgeBio Oncology Therapeutics, Inc.", "issuer_cusip": "107924102", "securities_class_title": "Common Stock", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nOn July 1, 2026, Sponsor distributed 4,528,186 shares of Common Stock, pro rata, to its members for no consideration. Following such transaction, Sponsor holds no shares of Common Stock.\n\nAs a result of Sponsor's pro rata distribution of shares to its members, (i) Fund III, a member of Sponsor, acquired 2,692,459 shares of Common Stock; (ii) Fund V, a member of Sponsor, acquired 1,704,862 shares of Common Stock; and (iii) Master Fund, a member of Sponsor, acquired 130,865 shares of Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1869105/000121390026075546/0001213900-26-075546-index.html" }, { "accession_no": "0001193125-26-296620", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1849056, "issuer_name": "Oklo Inc.", "issuer_cusip": "02156V109", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1849056/000119312526296620/0001193125-26-296620-index.html" }, { "accession_no": "0001193125-26-296548", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1899017, "issuer_name": "Bain Capital Private Credit", "issuer_cusip": "000000000", "securities_class_title": "Common Shares of Beneficial Interest, $0.01 par value per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1899017/000119312526296548/0001193125-26-296548-index.html" }, { "accession_no": "0001193125-26-296442", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1099160, "issuer_name": "BEASLEY BROADCAST GROUP, INC.", "issuer_cusip": "074014200", "securities_class_title": "Class A Common Stock, par value $.001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1099160/000119312526296442/0001193125-26-296442-index.html" }, { "accession_no": "0001193125-26-296441", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1099160, "issuer_name": "BEASLEY BROADCAST GROUP, INC.", "issuer_cusip": "074014200", "securities_class_title": "Class A Common Stock, par value $.001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1099160/000119312526296441/0001193125-26-296441-index.html" }, { "accession_no": "0001104659-26-080877", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1956827, "issuer_name": "Abivax S.A.", "issuer_cusip": "00370M103", "securities_class_title": "Ordinary Shares, par value EUR0.01 per share", "date_of_event": "2026-07-02", "filed_date": "2026-07-06", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nSC sold the amounts of ADS and Ordinary Shares on the date and at the prices set forth below in open market transactions on NASDAQ and Euronext. All daily sales of the shares were sold in multiple transactions at varying prices. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each weighted average price set forth in this Schedule 13D.\n\nJune 30, 2026:\n-500,000 ADSs at a weighted average price of $132.7347 per share.\n\nJuly 1, 2026:\n-25,000 ADSs at a weighted average price of $134.2377 per share.\n\nJuly 2, 2026:\n-275,000 ADSs at a weighted average price of $140.9365 per share.*\n-35,469 Ordinary Shares at a weighted average price of $144.2752 per share.*\n\nJuly 3, 2026:\n-25,000 Ordinary Shares at a weighted average price of $156.2041 per share.*\n-39,531 Ordinary Shares at a weighted average price of $155.0654 per share.*\n\nJuly 6, 2026:\n-3,195 Ordinary Shares at a weighted average price of $155.0436 per share.*\n\n* Transaction completed in Euros. Price per share converted to USD at an exchange rate of $1.1448 as of July 3, 2026.\n\nAll of the Ordinary Shares that are held of record by the Reporting Persons as reported herein were acquired for investment purposes. The Reporting Persons retain the right to change their investment intent, from time to time to acquire additional Ordinary Shares or other securities of the Issuer, or to sell or otherwise dispose of all or part of the Ordinary Shares or other securities of the Issuer, if any, beneficially owned by them, in any manner permitted by law. The Reporting Persons may engage from time to time in ordinary course transactions with financial institutions with respect to the securities described herein.\n\nExcept as set forth above, none of the Reporting Persons currently has any plans or proposals which would be related to or would result in any of the matters described in Items 4(a)-(j) of the Instructions to Schedule 13D. However, as part of the ongoing evaluation of investment and investment alternatives, the Reporting Persons may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the board of directors of the Issuer or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1956827/000110465926080877/0001104659-26-080877-index.html" }, { "accession_no": "0001104659-26-080856", "submission_type": "SCHEDULE 13D/A", "amendment_no": 26, "issuer_cik": 1896329, "issuer_name": "PIMCO FLEXIBLE REAL ESTATE INCOME FUND", "issuer_cusip": "72203N509", "securities_class_title": "Institutional Class Common Shares", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1896329/000110465926080856/0001104659-26-080856-index.html" }, { "accession_no": "0001085146-26-000453", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1789029, "issuer_name": "Aeva Technologies, Inc.", "issuer_cusip": "00835Q103", "securities_class_title": "Common Stock", "date_of_event": "2026-06-30", "filed_date": "2026-07-06", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\nOn 30th June, 2026 (the \"Closing Date\"), pursuant to a Contribution Agreement, dated as of , 30th June 2026 (the \"Contribution Agreement\"), by and among the Solutions Funds, Sylebra Partners GP, LLC, Apollo Credit Strategies Master Fund Ltd., and Apollo Credit Strategies Absolute Return Aggregator A, L.P. (together, the \"Apollo Contributors\"), the Apollo Contributors contributed to the Solutions Funds an aggregate of $50 million principal amount of the Issuer's 4.375% Convertible Senior Notes due 2032 (the \"Notes\") in exchange for Class D limited partner interests in the Solutions Funds. The contribution is intended to qualify as a tax-deferred contribution to a partnership under Section 721 of the Internal Revenue Code of 1986, as amended. The Solutions Funds acquired the Notes as an initial in-kind capital contribution from the Apollo Contributors, and no working capital of the Reporting Persons was used for such acquisition.\n\nConcurrently with the execution of the Contribution Agreement, the parties to the Securities Forward Purchase Agreement, dated as of November 5, 2025, among Sylebra Capital LLC, Apollo Capital Management, L.P., and the seller entities party thereto (the \"FPA\") entered into a Termination Agreement (the \"FPA Termination Agreement\") pursuant to which the FPA was terminated in its entirety.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nThe Reporting Persons acquired the Notes (and the shares of Common Stock issuable upon conversion thereof) for investment purposes in the ordinary course of the business of the Solutions Funds, which are newly formed investment vehicles advised by Sylebra US and Sylebra HK. The Notes are convertible, subject to the terms of the Indenture governing the Notes, into shares of Common Stock.\n\nThe Solutions Funds have no current plan to convert the Notes but reserve the right to do so subject to the terms of the Indenture.\n\nIn connection with the launch of the Solutions Funds, certain Apollo entities have made capital commitments to the Solutions Funds, including the contribution of the Notes described in Item 3 above. The Reporting Persons, in their capacity as investment advisers to the Solutions Funds, retain sole discretion over the voting and disposition of securities of the Issuer held by the Solutions Funds, including the Notes.\n\nConsistent with the Reporting Persons' prior disclosure, the Reporting Persons acquired and continue to hold the securities of the Issuer for investment for fund management purposes. Except as set forth in this Amendment, the Reporting Persons do not currently have any plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and reserve the right to formulate plans or proposals with respect to, and take such actions as they may deem appropriate in respect of, their investment in the Issuer, including from time to time acquiring or disposing of securities of the Issuer, engaging in discussions with the Issuer, its management, other stockholders, or third parties, or taking any other action permitted by law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1789029/000108514626000453/0001085146-26-000453-index.html" }, { "accession_no": "0001072613-26-000558", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1826457, "issuer_name": "Monte Rosa Therapeutics, Inc.", "issuer_cusip": "61225M102", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": "The information provided in Item 5(c) is hereby incorporated by reference. Depending on market conditions and other factors, NEA 17 and the Reporting Persons may dispose of additional shares of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1826457/000107261326000558/0001072613-26-000558-index.html" }, { "accession_no": "0000919574-26-004268", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1564180, "issuer_name": "KNOT Offshore Partners LP", "issuer_cusip": "Y48125101", "securities_class_title": "Common Units Representing Limited Partner Interests", "date_of_event": "2026-07-01", "filed_date": "2026-07-06", "item3_funds_source": "The funds used for the acquisition of the Common Units beneficially owned by the Reporting Persons came from the working capital of private funds and managed account clients advised by Astaris Capital Management LLP. No borrowed funds were used to purchase the Common Units of the Issuer other than any borrowed funds used for working capital purposes in the ordinary course of business.", "item4_transaction_purpose": "This Schedule 13D Amendment No. 4 is being filed to report that Astaris Special Situations Master Fund Limited beneficially owns more than 5% of the Common Units of the Issuer.\n\nThe Reporting Persons acquired the securities reported herein for investment purposes and intend to review their investments in the Issuer on a continuing basis. Subject to various factors, including but not limited to the Issuer's financial position and strategic direction, price levels of the Common Units, conditions in the securities markets, various laws and regulations applicable to the Issuer and companies in its industry and the Reporting Persons' ownership in the Issuer, and general economic and industry conditions, the Reporting Persons may in the future take actions with respect to their investment in the Issuer as they deem appropriate, including changing their current intentions, with respect to any or all matters required to be disclosed in this Schedule 13D. The Reporting Persons may, from time to time, acquire, or cause affiliates to acquire, additional Common Units or other securities of the Issuer (including any combination or derivative thereof), dispose, or cause affiliates to dispose, of some or all of their Common Units or other securities of the Issuer or continue to hold, or cause affiliates to hold, Common Units or other securities of the Issuer (or any combination or derivative thereof). In addition, on October 31, 2025, Knutsen NYK Offshore Tankers AS, a Norway limited company (\"KNOT\"), delivered a non-binding offer (the \"Offer Letter\") to the board of directors of the Issuer (the \"Board\"), to acquire all of the issued and outstanding Common Units that are not already beneficially owned by KNOT in exchange for cash. The Reporting Persons have discussed and/or may discuss from time to time, with management, the Board and any of its committees, other shareholders of the Issuer and/or other third parties about the Offer Letter or any subsequent proposed or negotiated transaction, and the proposed terms contained therein, and the Issuer's business, operations, strategy (including with respect to capital allocation policies and procedures), plans and prospects and governance matters generally and in relation to the Reporting Persons' investment in the Issuer and requesting information from the Issuer related thereto.\n\nExcept as described in this Schedule 13D, none of the Reporting Persons has any present plans or proposals that relate to or would result in any of the actions described in Item 4 of this Schedule 13D, although, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or purpose and/or develop such plans and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1564180/000091957426004268/0000919574-26-004268-index.html" }, { "accession_no": "0000919574-26-004264", "submission_type": "SCHEDULE 13D/A", "amendment_no": 16, "issuer_cik": 1918767, "issuer_name": "Constitution Capital Access Fund, LLC", "issuer_cusip": "21039R309", "securities_class_title": "Class I Shares", "date_of_event": "2026-04-30", "filed_date": "2026-07-06", "item3_funds_source": "L8 acquired the Class I Shares from the Issuer in connection with the reorganization of U/C Seed Partnership Fund, L.P. with and into the Issuer.", "item4_transaction_purpose": "The Reporting Person acquired the Class I Shares subject to this Schedule 13D for investment purposes. Subject and pursuant to the terms of the Agreement (as described and defined below), L8 has requested, and will continue to request, to tender its Class I Shares of the Fund in each repurchase offer conducted by the Fund. Other than the foregoing, the Reporting Person has no present plans or proposals that relate to or would result in any additional actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nAs of May 31, 2026, the Reporting Person disposed of a portion of its Class I Shares as a part of its quarterly tender process.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1918767/000091957426004264/0000919574-26-004264-index.html" }, { "accession_no": "0002123470-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2071778, "issuer_name": "Fermi Inc.", "issuer_cusip": "314911108", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "The Common Stock reported herein as being beneficially owned by the Reporting Persons was purchased prior to the initial public offering of the Issuer using investment capital of Caddis for approximately $115,099.76.", "item4_transaction_purpose": "The Reporting Persons originally acquired the Common Stock reported herein as a Co-Founder of the Issuer prior to the initial public offering of the Issuer. The dispositions of Common Stock reported on Schedule A resulted from the exercise of the Option, as described in Item 6. Certain founders of the Issuer, including Caddis, granted the Option in connection with the Issuer's Series C fundraising round prior to the Issuer's initial public offering to facilitate investor participation in that round and bolster the Issuer's fundraising efforts. The decision whether and when to exercise the Option rests with the holders of the Option and not with the Reporting Persons. The dispositions were not a decision by the Reporting Persons to reduce their investment in the Issuer. The Reporting Persons continue to beneficially own a substantial majority of their position and continue to support the Board, the Issuer's management team, and its long-term strategic plan. The Reporting Persons have had and anticipate having further communications with officers and directors of the Issuer in connection with the Reporting Persons' investment in the Issuer. Specifically, the Reporting Person issued a press release May 11, 2026 attached hereto as Exhibit 99.2 (the \"Press Release\") reaffirming the Reporting Persons' support for Fermi's Board of Directors (the \"Board\"), the Issuer's management team, and its long-term strategic plan. The Reporting Persons are actively and constructively engaged with the Board and management team to help the Issuer reach its full potential, including through ongoing discussions with strategic partners, advocating for rigorous capital allocation and best-in-class governance practices, and working collaboratively to maximize long-term value for our fellow shareholders, employees, customers, and other stakeholders.\n\nThe Reporting Persons may also have similar conversations with other stockholders or other third parties, such as industry analysts, existing or potential strategic partners or competitors, investment professionals and other investors and may exchange information with any such persons or the Issuer pursuant to appropriate confidentiality or similar agreements (which may contain customary standstill provisions). The Reporting Persons may at any time reconsider and change their intentions relating to the foregoing. The Reporting Persons may also take one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D and may discuss or propose such actions with the Issuer's management and the Board, other stockholders of the Issuer and other third parties, such as those set out above. The Reporting Persons may also take steps to explore and prepare for various plans and actions, and propose transactions, before forming an intention to engage in such plans or actions or proceed with such transactions.\n\nThe Reporting Persons intend to review their investments in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position and strategic direction, the outcome of the discussions and matters referenced above, actions taken by the Issuer's management or Board, price levels of the Common Stock, liquidity requirements and other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take actions with respect to their investment position in the Issuer as they deem appropriate, including, without limitation, purchasing additional shares of Common Stock or other instruments that are based upon or relate to the value of the Common Stock or the Issuer in the open market or otherwise, selling some or all of the securities reported herein, and/or engaging in hedging or similar transactions with respect to the shares of Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2071778/000212347026000003/0002123470-26-000003-index.html" }, { "accession_no": "0001890581-26-000005", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1840780, "issuer_name": "Local Bounti Corporation", "issuer_cusip": "53960E205", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-07-02", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by inserting the following text at the end thereof:\nOn July 2, 2026, Mr. Hurlbert sold 45,766 shares of the Issuer's Common Stock to cover tax withholding obligations in connection with the settlement of equity awards. The sales were to satisfy tax withholding obligations to be funded by a \"sell to cover\" transaction.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1840780/000189058126000005/0001890581-26-000005-index.html" }, { "accession_no": "0001829126-26-007224", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1479419, "issuer_name": "KALA BIO, Inc.", "issuer_cusip": "483119301", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-05-20", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 is hereby amended to add the following:\n\nThe aggregate purchase price of the 719,404 Shares beneficially owned by the Reporting Person, which consists of Conversion Shares received by the Reporting Person upon the conversion of the Series AA Preferred Stock purchased by the Reporting Person pursuant to the SPA, is $1,308,007.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1479419/000182912626007224/0001829126-26-007224-index.html" }, { "accession_no": "0001536588-26-000014", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 885307, "issuer_name": "JEWETT CAMERON TRADING CO LTD", "issuer_cusip": "47733C207", "securities_class_title": "Common Stock", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "The Shares beneficially owned by each of AJB Fund II and AJB Capital were purchased with working\ncapital (which may, at any given time, include margin loans made by brokerage firms in the ordinary\ncourse of business) in open market purchases. The aggregate purchase price of the 300,186 Shares\nbeneficially owned by AJB Fund II and AJB Capital is approximately of $598,974.00 , including\nbrokerage commissions.\nThe Shares beneficially owned by Mr. Bradley are held in an individual retirement account and in the\naccounts of the children of Mr. Bradley and Ms. Bradley (the \"Bradley Children\"), and were purchased\nwith personal funds (which may, at any given time, include margin loans made by brokerage firms in\nthe ordinary course of business) in open market transactions. The aggregate purchase price of the\n39,294 Shares beneficially owned by Mr. Bradley is approximately $81,683, including brokerage\ncommissions.\nThe Shares beneficially owned by Ms. Bradley are held in an individual retirement account and were\npurchased with personal funds (which may, at any given time, include margin loans made by\nbrokerage firms in the ordinary course of business) in open market transactions. The aggregate\npurchase price of the 42,536 shares beneficially owned by Ms. Bradley is approximately\n$90,332, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the\nShares, when purchased, were undervalued and represented an attractive investment opportunity.\nDepending upon overall market conditions, other investment opportunities available to the Reporting\nPersons and the availability of Shares at prices that would make the purchase or sale of Shares\ndesirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer\nthrough, among other things, the purchase or sale of Shares on the open market or in private\ntransactions or otherwise, on such terms and at such times as the Reporting Persons may deem\nadvisable.\nThe Reporting Persons do not have any present plan or proposal which would relate to or result in\nany of the matters set forth in subparagraphs (a) - U) of Item 4 of Schedule 13D except as set forth\nherein or such as would occur upon or in connection with completion of, or following, any of the\nactions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a\ncontinuing basis. Depending on various factors including, without limitation, the Issuer's financial\nposition, results and strategic direction, actions taken by the Issuer's management team and the\nIssuer's board of directors (the \"Board\"), price levels of the Shares, conditions in the securities\nmarkets, general economic and industry conditions, and other investment opportunities available to\nthe Reporting Persons, the Reporting Persons may in the future take such actions with respect to\ntheir investment in the Issuer as they deem appropriate including, without limitation, engaging in\ncommunications with management and the Board, engaging in discussions with the Issuer,\nstockholders of the Issuer or other third parties about the Issuer and the Reporting Persons'\ninvestment, including potential business combinations, dispositions or financing transactions involving\nthe Issuer or certain of its businesses or assets, including transactions in which the Reporting\nPersons may seek to participate and potentially engage in, making recommendations or proposals to\nthe Issuer concerning changes to the capitalization, ownership structure, Board structure (including\nBoard composition), or suggestions for improving the Issuer's financial and/or operational\nperformance, purchasing additional Shares, selling some or all of their Shares, engaging in short\nselling of or any hedging or similar transaction with respect to the Shares, including swaps and other\nderivative transactions, or changing their intention with respect to any and all matters referred to in\nItem 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/885307/000153658826000014/0001536588-26-000014-index.html" }, { "accession_no": "0001346824-26-000187", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1785530, "issuer_name": "WEREWOLF THERAPEUTICS, INC.", "issuer_cusip": "95075A107", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1785530/000134682426000187/0001346824-26-000187-index.html" }, { "accession_no": "0001294357-26-000013", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2027076, "issuer_name": "Prospect Enhanced Yield Fund", "issuer_cusip": "74350T305", "securities_class_title": "Shares of Beneficial Interest, par value $ 0.001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 is amended by adding the following:\nSince the filing of the Amended Schedule 13D/A on November 7, 2025: the Foundation acquired an aggregate of 63,779.38 Shares through the Issuer's distribution reinvestment plan.\nItem 5 of this Schedule 13D/A is incorporated herein by reference.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2027076/000129435726000013/0001294357-26-000013-index.html" }, { "accession_no": "0001213900-26-075054", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2004024, "issuer_name": "Lianhe Sowell International Group Ltd", "issuer_cusip": "G5480C112", "securities_class_title": "Class A Ordinary Shares, par value $0.0016 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "The information set forth in Items 4 and 5 of this Schedule 13D are hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "On June 30, 2026, Lianyue Holding entered into a share subscription agreement (the \"Subscription Agreement\") with the Issuer and Shenzhen Sowell Technology Development Co., Ltd, a subsidiary of the Issuer. Pursuant to the Subscription Agreement, the Company issue and sold to Lianyue Holding an aggregate of 2,400,000 Class B Ordinary Shares, for a purchase price of US$0.165 per share, representing the average closing price, as reported on Nasdaq.com, of the Class A Ordinary Shares for the five (5) trading days immediately preceding the date on which the board of directors of the Issuer (the \"Board\") approved the transaction. The 2,400,000 Class B Ordinary Shares were issued in accordance with Regulation S under the Securities Act of 1933, as amended. The transaction contemplated by the Subscription Agreement was closed on June 30, 2026. The entry into the Subscription Agreement and the consummation of the transaction contemplated thereby have been approved and ratified by the Company's audit committee of the Board.\n\nExcept as set forth in this Item 4, none of the Reporting Persons has any plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present Board or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company; (g) changes in the Issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act, as amended; or (j) any action similar to any of those enumerated above.\n\nThe Reporting Persons may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in clauses (a) through (j) in the preceding paragraph.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2004024/000121390026075054/0001213900-26-075054-index.html" }, { "accession_no": "0001213900-26-074959", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2125551, "issuer_name": "Alpex Acquisition Corp", "issuer_cusip": "G63325107", "securities_class_title": "Class A Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-06-26", "filed_date": "2026-07-02", "item3_funds_source": "The information set forth in Items 4 and 5 of this Schedule 13D are hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "On March 18, 2026, the Issuer issued 2,875,000 Class B ordinary shares, par value $0.0001 per share, to the Sponsor for a purchase price of $25,000, or approximately $0.01 per share. On March 26, 2026, the Sponsor transferred 175,000 Class B ordinary shares and 165,000 Class B ordinary shares at $0.01 per share to Xiaolin Zheng and Ying Xu, respectively. In addition, the Sponsor transferred 20,000 Class B ordinary shares at $0.01 per share to each of \"Joy\" Yi Hua, Xin Yue Jasmine Geffner and Yuanmei Ma, for an aggregate of 60,000 insider shares, on June 24, 2026. On June 26, 2026, simultaneously with the Issuer's initial public offering, the Sponsor acquired 187,500 private placement units in the private placement. Each private placement unit consists of one Class A ordinary share of the Issuer, one warrant exercisable for one Class A ordinary share at an exercise price of $11.50, and one right to receive one-fourth (1/4) of one Class A ordinary share of the Issuer.\n\nDepending on prevailing market, economic and other conditions, the Reporting Persons may from time to time acquire additional Ordinary Shares or engage in discussions with the Issuer concerning future acquisitions of its shares. Such acquisitions may be made by means of open-market purchases, privately negotiated transactions, direct acquisitions from the Issuer or otherwise. Except as set forth in this Item 4, the Reporting Persons have no plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors of the Issuer (the \"Board\") or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the Issuer is a registered closed-end investment company; (g) changes in the Issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action similar to any of those enumerated above. The Reporting Persons may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2125551/000121390026074959/0001213900-26-074959-index.html" }, { "accession_no": "0001193125-26-295162", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1534133, "issuer_name": "CalciMedica, Inc.", "issuer_cusip": "38942Q202", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-07-02", "item3_funds_source": "On March 20, 2023, the Delaware corporation formerly known as \"Graybug Vision, Inc.\" completed its previously announced merger transaction in accordance with the terms and conditions of the Agreement and Plan of Merger and Reorganization, dated as of November 21, 2022, as amended on February 10, 2023 (the \"Merger Agreement\"), by and among Graybug Vision, Inc. (\"Graybug\"), Camaro Merger Sub, Inc., a wholly owned subsidiary of Graybug (\"Merger Sub\"), and CalciMedica, Inc. (\"CalciMedica\"), pursuant to which Merger Sub merged with and into CalciMedica, with CalciMedica surviving the merger as a wholly owned subsidiary of Graybug (the \"Merger\"). Additionally, on March 20, 2023, the Issuer changed its name from \"Graybug Vision, Inc.\" to \"CalciMedica, Inc.\". See Item 2.01 of the Issuer's current report on Form 8-K filed with the Commission on March 22, 2023 for additional information regarding completion of the Merger.\n\nIn connection with the Merger, the Reporting Persons received 82,111 shares of Common Stock.\n\nOn January 23, 2024, in connection with the closing of the Issuer's private placement transaction, the Reporting Persons purchased 261,302 shares of Common Stock and received two Common Stock Warrants to purchase an aggregate of 261,302 shares of Common Stock.\n\nBetween July 2024 and September 2024, the Reporting Persons purchased on the open market an aggregate of 53,167 shares of Common Stock at prices ranging from $3.44 to $4.26 per share for an aggregate purchase price of $194,250.\n\nIn November 2024, the Reporting Persons purchased 266,666 shares of Common Stock in an underwritten public offering by the Issuer at $3.75 per share for an aggregate purchase price of $999,997.50.\n\nOn December 31, 2024, one Common Stock Warrant to purchase 130,651 shares of Common Stock expired. The remaining Common Stock Warrant has an exercise price equal to $7.15 per share and is exercisable at any time for one share of Common Stock until the earlier of (i) 5:00 p.m. on December 31, 2026 and (ii) thirty days after the Issuer's disclosure of topline results from its planned Phase 2 clinical trial patients with acute kidney injury; provided, however, that the holder will be prohibited, subject to certain exceptions, from exercising such warrant for shares of Common Stock to the extent that immediately prior to or after giving effect to such exercise, the holder, together with its affiliates and other attribution parties, would own more than 4.99% of the total number of shares of Common Stock then issued and outstanding, which percentage may be changed at the holder's election to a lower percentage at any time or to a higher percentage upon 61 days' notice to the Issuer. On July 2, 2026, Bering II provided notice to the Issuer to increase such percentage to 19.99%. The foregoing description of the remaining Common Stock Warrant does not purport to be complete and is qualified in its entirety by reference to the form of such Common Stock Warrant, which is filed as Exhibit 2 hereto and incorporated herein by reference.\n\nOn June 23, 2026, the Issuer entered into a securities purchase agreement (the \"Purchase Agreement\") with certain new and existing institutional and accredited investors named therein (each, an \"Investor\" and collectively, the \"Investors\"), for the private placement (the \"Private Placement\") of an aggregate of 14,938,370 units (the \"Units\"), each Unit comprised of (i) (A) one share of the Common Stock, or (B) one pre-funded warrant to purchase one share of Common Stock (each, a \"Pre-Funded Warrant\" and collectively, the \"Pre-Funded Warrants\"), and, in each case, (ii) a right to receive one Series A warrant to purchase one share of Common Stock or a pre-funded warrant to purchase one share of Common Stock (each, a \"Series A Warrant\" and collectively, the \"Series A Warrants\") upon receipt of Stockholder Approval (as defined below), and (iii) a right to receive one Series B warrant to purchase one share of Common Stock or a pre-funded warrant to purchase one share of Common Stock (each, a \"Series B Warrant\" and collectively, the \"Series B Warrants\", and together with the Series A Warrants, the \"Warrants\") upon receipt of Stockholder Approval (the shares of Common Stock issuable upon exercise of the Pre-Funded Warrants and Warrants, the \"Warrant Shares\"). \"Stockholder Approval\" means such approval as may be required by the applicable rules and regulations of The Nasdaq Capital Market from the stockholders of the Issuer with respect to the issuance of all of the Series A Warrants and Series B Warrants and the Warrant Shares issuable upon the exercise thereof. A Unit comprised of one share of Common Stock, one right to receive a Series A Warrant and one right to receive a Series B Warrant shall have a purchase price of $0.8033 (the \"Common Stock Unit Purchase Price\") and a Unit comprised of one Pre-Funded Warrant, one right to receive a Series A Warrant and one right to receive a Series B Warrant shall have a purchase price of $0.8032 (the \"Pre-Funded Warrant Unit Purchase Price\", and together with the Common Stock Unit Purchase Price, the \"Purchase Prices\").\n\nEach Pre-Funded Warrant will have an exercise price of $0.0001 per Pre-Funded Warrant Share, will be immediately exercisable on the date of issuance and will not expire. If a registration statement covering the resale of the Pre-Funded Warrant Shares is not available, the Pre-Funded Warrants may also be exercisable on a net exercise \"cashless\" basis. The Pre-Funded Warrants may not be exercised if the aggregate number of shares of Common Stock beneficially owned by the holder thereof immediately following such exercise would exceed a specified beneficial ownership limitation, not to exceed 19.99%.\n\nThe Series A Warrants shall have an exercise price equal to $0.8033 per Warrant Share, will be exercisable immediately upon issuance and will expire on the earlier of (i) 18 months after the closing date of the Private Placement and (ii) 30 days following the Issuer's public announcement of the clearance of its Investigational New Drug Application by the U.S. Food and Drug Administration for CM5480 (the \"Series A Expiration Date\"); provided that if such date occurs prior to the date on which Stockholder Approval is obtained (the \"Stockholder Approval Date\"), the Series A Expiration Date shall be extended until 30 days following the Stockholder Approval Date. The Series A Warrants will be issued upon receipt of Stockholder Approval. If a registration statement covering the resale of the Warrant Shares is not available, the Series A Warrants may also be exercisable on a net exercise \"cashless\" basis. The Series A Warrants may not be exercised if the aggregate number of shares of Common Stock beneficially owned by the holder thereof immediately following such exercise would exceed a specified beneficial ownership limitation, not to exceed 19.99%. To the extent that exercise of the Series A Warrants will result in a holder thereof beneficially owning shares of Common Stock above such ownership limitations, the holder may exercise its Series A Warrants for pre-funded warrants to purchase shares of Common Stock. Such pre-funded warrants will have terms substantially similar to the Pre-Funded Warrants described above.\n\nThe Series B Warrants shall have an exercise price equal to $1.00 per Warrant Share, will be exercisable immediately upon issuance and will expire five years from the closing date of the Private Placement. The Series B Warrants will be issued upon receipt of Stockholder Approval. If a registration statement covering the resale of the Warrant Shares is not available, the Series B Warrants may also be exercisable on a net exercise \"cashless\" basis. The Series B Warrants may not be exercised if the aggregate number of shares of Common Stock beneficially owned by the holder thereof immediately following such exercise would exceed a specified beneficial ownership limitation, not to exceed 19.99%. To the extent that exercise of the Series B Warrants will result in a holder thereof beneficially owning shares of Common Stock above such ownership limitations, the holder may exercise its Series B Warrants for pre-funded warrants to purchase shares of Common Stock. Such pre-funded warrants will have terms substantially similar to the Pre-Funded Warrants described above.\n\nThe exercise price and the number of Warrant Shares will be subject to appropriate adjustment in the event of certain stock dividends and distributions, stock splits, stock combinations, reclassifications or similar events affecting the Common Stock.\n\nPursuant to the Purchase Agreement, the Issuer agreed to file a registration statement with the U.S. Securities and Exchange Commission (the \"SEC\") within 30 days after the closing of the Private Placement (subject to certain exceptions) for purposes of registering the resale of the shares of Common Stock and the Warrant Shares, to use its reasonable best efforts to have such registration statement declared effective within the time period set forth in the Purchase Agreement, and to keep such registration statement effective until the earliest of (i) the time as all of the shares of Common Stock and Warrant Shares purchased by the Investors pursuant to the terms of the Purchase Agreement have been sold or otherwise transferred by the holder thereof pursuant to and in a manner contemplated by the registration statement, (ii) such time as such shares of Common Stock or Warrant Shares are sold pursuant to Rule 144 under circumstances in which any legend borne by such security relating to restrictions on transferability thereof, under the Securities Act of 1933, as amended (the \"Securities Act\"), or otherwise, is removed by the Issuer, or (iii) such time as the shares of Common Stock and Warrant Shares become eligible for resale by non-affiliates without any volume limitations or other restrictions pursuant to Rule 144 under the Securities Act or any other rule of similar effect.\n\nThe foregoing descriptions of the Purchase Agreement, Series A Warrant and Series B Warrant do not purport to be complete and are qualified in their entirety by reference to the form of Purchase Agreement, form of Series A Warrant and form of Series B Warrant, which are filed as Exhibit 3, Exhibit 4 and Exhibit 5, respectively, hereto and incorporated herein by reference.\n\nOn June 25, 2026, in connection with the closing of the Private Placement, Bering II purchased 1,450,267 Units for $0.8033 per Unit for an aggregate purchase price of $1,164,999.48 and received 1,450,267 shares of Common Stock. The Series A Warrant to purchase 1,450,267 shares of Common Stock and the Series B Warrant to purchase 1,450,267 shares of Common Stock will be issued subject to stockholder approval.\n\nAll shares of the capital stock of the Issuer purchased by Bering II have been purchased using investment funds provided to Bering II by its limited partner and general partner investors. Unless noted above, no part of the purchase price was borrowed by any Reporting Person for the purpose of acquiring any securities discussed in this Item 3.", "item4_transaction_purpose": "The information set forth in Item 3 of this Statement is incorporated herein by reference. The Reporting Persons hold the securities of the Issuer for general investment purposes. The Reporting Persons may, from time to time, depending on prevailing market, economic and other conditions, acquire additional shares of Common Stock or other securities of the Issuer, dispose of any such securities, or engage in discussions with the Issuer concerning such acquisitions or dispositions or further investments in the Issuer. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price and availability of shares of Common Stock or other securities of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations and other factors considered relevant, may decide at any time to increase or to decrease the size of their investment in the Issuer in the open market, in privately negotiated transactions, pursuant to 10b5-1 trading plans or otherwise.\nExcept as set forth above, the Reporting Persons have no present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nMr. Zaytsev is a member of the Issuer's Board.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1534133/000119312526295162/0001193125-26-295162-index.html" }, { "accession_no": "0001193125-26-295053", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1959604, "issuer_name": "Jefferies Credit Partners BDC Inc.", "issuer_cusip": "000000000", "securities_class_title": "Class I Common Stock, par value $0.001 per share", "date_of_event": "2026-04-21", "filed_date": "2026-07-02", "item3_funds_source": "The Reporting Person used working capital to finance an investment in the Issuer through a feeder fund (the \"feeder fund\"), which directly holds the Class I Shares reported herein. On April 21, 2026, the Issuer confirmed the number of Class I Shares allocated to the feeder fund, with a March 27, 2026 effective date, based on its determination of a net asset value per Class I Share of $14.35971 as of March 26, 2026 and the Reporting Person was deemed to acquire beneficial ownership of the Class I Shares reported herein as of March 27, 2026. The Reporting Person has limited proportionate pass-through dispositive power in respect of the shares held by the feeder fund; accordingly, this Schedule 13D reports a proportionate number of the Class I Shares held by the feeder fund. The feeder fund mirror votes its Class I Shares.", "item4_transaction_purpose": "The Reporting Person acquired the Class I Shares reported herein for investment purposes. The information set forth in Item 3 is hereby incorporated by reference into this Item 4 and is supplemented by the below information.\n\nThe Reporting Person is an affiliate of the Issuer and the Issuer's investment adviser, Jefferies Credit Management LLC. This Schedule 13D filing is occasioned solely by the Reporting Person's beneficial ownership of more than 5% of the presently outstanding Class I Shares of the Issuer as a result of the investments described in Item 3 and the Reporting Person's ownership as a percentage of the outstanding Class I Shares may be deemed to have the resulting effect of changing or influencing the control of the Issuer, notwithstanding that the Class I Shares of the Issuer beneficially owned by the Reporting Person were acquired in the ordinary course of its business and were not acquired for the purpose of changing or influencing the control of the Issuer.\n\nThe Reporting Person may, from time to time, take such actions regarding its investment as it deems appropriate. These actions may include: (i) indirectly acquiring additional Class I Shares, (ii) directing the disposition of any or all of its Class I Shares (including through the feeder fund's participation in the Issuer's share repurchase program); or (iii) proposing or considering one or more of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nCertain officers and directors of the Issuer are officers of affiliates of the Reporting Person, including Thomas G. Brady, the CEO and President of affiliates of the Reporting Person, and in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Additionally, Jefferies Credit Management LLC and Jefferies Credit Partners LLC, the investment managers for the Issuer and the Reporting Person (and the feeder fund), respectively, are affiliates of the Reporting Person. Jefferies Credit Partners LLC is also the Managing Member of the Reporting Person.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, the Reporting Person, at any time and from time to time, may review, reconsider and change its position and/or change its purpose with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1959604/000119312526295053/0001193125-26-295053-index.html" }, { "accession_no": "0001193125-26-294951", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1005286, "issuer_name": "Lifecore Biomedical, Inc.", "issuer_cusip": "514766104", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nThe Reporting Persons are holders of shares of Series A Convertible Preferred Stock, par value $0.001 per share (the \"Series A Preferred Stock\"), of the Issuer, with rights as provided in the Certificate of Designations, Preferences, and Rights of Series A Convertible Preferred Stock of the Issuer (the \"Certificate of Designations\"). Section 8 of the of the Certificate of Designations, provides that from and after June 29, 2026, each holder of Series A Preferred Stock shall have the right to require that the Issuer redeem all or any portion of the conversion amount of such Holder's Series A Preferred Stock then outstanding, with such redemption to occur on the date which is the one hundred eightieth (180th) day, or the next business day if such date is not a business day, from the date the holder of Series A Preferred Stock gives notice to the Issuer. Any such redemption shall be pursuant to the terms of the Certificate of Designations.\n\nOn June 30, 2026, the Reporting Persons submitted an optional redemption notice to the Issuer pursuant to Section 8 of the Certificate of Designations for 19,068.833524 shares of Series A Preferred Stock, plus all accrued and unpaid dividends, as well as all shares of Series A Preferred Stock paid as PIK dividends following June 30, 2026, representing the Reporting Persons' entire holdings of Series A Preferred Stock. The redemption date as set forth in the notice is December 28, 2026. Upon the occurrence of the redemption, the Reporting Persons' entire holdings of Series A Preferred Stock shall be purchased by the Issuer for cash and the Reporting Persons shall not hold any shares of Series A Preferred Stock.\n\nIn its Form 10-Q filed May 6, 2026, the Issuer stated: \"To make such cash redemption payments the Company would be required to obtain consent to such redemption payments or waiver of the restriction on cash dividends and/or redemptions set forth in each of the Company's credit agreements.\" 22NW believes that if the Issuer imposes this restriction on the redemption of its shares of Series A Preferred Stock it will be in contravention of the Certificate of Designations. 22NW intends to file a motion with the Supreme Court of the State of New York, County of New York to amend its outstanding Complaint against the Issuer and certain former directors and officers of the Issuer to, among other things, include a claim that when the Issuer entered into its current credit agreements in May 2023 it breached that certain Securities Purchase Agreement dated as of January 9, 2023, under which 22NW and other investors purchased the Series A Preferred Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1005286/000119312526294951/0001193125-26-294951-index.html" }, { "accession_no": "0001140361-26-027506", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1274173, "issuer_name": "Janus Henderson Group plc", "issuer_cusip": "G4474Y214", "securities_class_title": "Ordinary Shares, $1.50 per share par value", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn June 30, 2026, the transactions contemplated by the Merger Agreement and the Equity Commitment Letter were consummated.\n\nAs a result of the Merger, the Ordinary Shares will no longer be listed on The New York Stock Exchange and will be deregistered under Section 12(b) of the Exchange Act. Additionally, as a result of the Merger, MassMutual no longer beneficially owns any Ordinary Shares, though MassMutual retains an equity interest in the surviving company through its beneficial ownership of preferred equity interests of Topco.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1274173/000114036126027506/0001140361-26-027506-index.html" }, { "accession_no": "0001140361-26-027437", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1995574, "issuer_name": "Icon Energy Corp", "issuer_cusip": "Y4001C305", "securities_class_title": "Common Shares, $0.001 par value per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 of Schedule 13D is hereby amended and supplemented by adding the following at the end thereof: \"On June 30, 2026, Atlantis acquired 2,436 Series A Preferred Shares, as a result of the Issuer's election to pay in kind the dividend due on the Series A Preferred Shares.\"", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1995574/000114036126027437/0001140361-26-027437-index.html" }, { "accession_no": "0001104659-26-080363", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1884082, "issuer_name": "Polestar Automotive Holding UK PLC", "issuer_cusip": "731105201", "securities_class_title": "Class A American Depositary Shares, Class A Ordinary Shares, par value $0.01 each", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented by inserting the following:\n\nItem 4 of this Statement is hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented by inserting the following:\n\nJune 2026 Conversions\n\nOn June 29, 2026, Geely Sweden Automotive Investment AB (\"GSAI AB\") transferred to Geely Sweden Automotive Investment B.V. (\"GSAI BV\") its rights as lender with respect to all outstanding principal and interest owed by the Issuer under the previously disclosed Term Facility Agreement, dated November 8, 2023 (the \"Term Facility Agreement\"). On June 30, 2026, GSAI BV converted approximately $300 million of such outstanding principal and interest into 15,511,892 Class A ADSs of the Issuer. Immediately after the conversion, Snita Holding B.V. converted approximately $66 million of its outstanding principal and interest owed by the Issuer under the previously disclosed Snita Term Loan Facility (as defined in Amendment No. 14) into 3,864,300 Class A ADSs of the Issuer. The shares held by Snita Holding B.V. are subject to a registration rights agreement entered into on September 27, 2021 (as subsequently amended, the \"2021 Registration Rights Agreement\"), which was filed as an exhibit to the Schedule 13D filed on July 7, 2022.\n\nRegistration Rights Agreement\n\nOn June 30, 2026, the Issuer entered into a registration rights agreement with GSAI BV (the \"Registration Rights Agreement\"), pursuant to which the Issuer has agreed to file a registration statement with the Securities and Exchange Commission (the \"SEC\"), covering the resale of the securities no later than 90 days following the entry into the Registration Rights Agreement and to use commercially reasonable efforts to have the registration statement declared effective by the SEC as soon as practicable after filing but no later than the 90th calendar day following the filing deadline for the registration statement, provided that if the SEC notifies the Issuer that it will \"review\" the registration statement, then the deadline shall be extended to 120 calendar days after the filing deadline.\n\nTerm Loan Facility Amendment\n\nOn June 3, 2026, the Issuer and Geely Sweden Automotive Investment AB entered into an amendment (the \"Term Loan Facility Amendment\") to the previously disclosed Term Facility Agreement, dated December 16, 2025 (the \"December Term Facility\"), to extend the term of the December Term Facility to June 30, 2027 and change the margin of the December Term Facility from 3.0% to 3.2% with effect from the next Interest Period following the General Effective Date (as defined in the Term Loan Facility Amendment).\n\nThe foregoing description of the Registration Rights Agreement and Term Loan Facility Amendment do not purport to be complete, and are qualified in their entirety by reference to such agreements, which are attached as exhibits to this Statement and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1884082/000110465926080363/0001104659-26-080363-index.html" }, { "accession_no": "0001104659-26-080162", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2086771, "issuer_name": "Elemental Royalty Corporation", "issuer_cusip": "28620K106", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to add the following:\n\nEffective on June 30, 2026, Tether Investments transferred 3,444,458 Common Shares to Tether International, S.A. de C.V. (the \"Transfer\"). The Transfer resulted in no change in the aggregate number of Common Shares beneficially owned by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2086771/000110465926080162/0001104659-26-080162-index.html" }, { "accession_no": "0001099910-26-000228", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1962481, "issuer_name": "BranchOut Food Inc.", "issuer_cusip": "105230106", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nAdditional Loan. On June 30, 2026, Kaufman Kapital made an additional $1,000,000 loan to the Issuer (the \"Additional Loan\") using working capital of Kaufman Kapital. The Additional Loan is reflected in the Third Amended and Restated Senior Secured Promissory Note described in Item 4 and Item 6 below.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nAdditional Loan. On June 30, 2026, the Issuer borrowed an additional $1,000,000 from Kaufman Kapital pursuant to a Third Amended and Restated Senior Secured Promissory Note in the principal amount of $4,000,000 (the \"Amended Non-Convertible Note\"), which amends and restates the Second Amended and Restated Senior Secured Promissory Note issued by the Issuer to Kaufman Kapital dated May 15, 2026. The Issuer disclosed the Additional Loan in a Current Report on Form 8-K filed on July 1, 2026. The Issuer stated in that Current Report that it intends to use the proceeds of the Additional Loan for working capital purposes for the production of customer orders. The Amended Non-Convertible Note matures on January 28, 2027 and bears interest at 8% per annum. The Amended Non-Convertible Note is not convertible into Common Stock and no equity securities, warrants, registration rights or other equity-linked consideration were issued to Kaufman Kapital in connection with the Additional Loan. The Amended Non-Convertible Note does not amend the conversion price, conversion ratio, underlying security, maturity date, beneficial ownership limitation or conversion mechanics of the Convertible Note.\n\nShare Sales. Following Amendment No. 5, Kaufman Kapital sold an aggregate of 55,000 shares of Common Stock in open market transactions pursuant to the Issuer's effective resale registration statement. Following such sales, the Reporting Persons' remaining direct common stock holdings consist of 445,000 shares acquired upon exercise of the $1.50 Warrant on May 7, 2026.\n\nCurrent Plans and Purposes. The Reporting Persons currently hold the securities of the Issuer for investment purposes. The Reporting Persons continuously evaluate their investment in the Issuer based on a variety of factors, including the Issuer's financial condition, results of operations, business prospects, general market and economic conditions, and other factors. Depending on such evaluation, the Reporting Persons may from time to time acquire additional securities of the Issuer, including through conversion of outstanding Convertible Note principal and accrued interest, subject to the Beneficial Ownership Limitation described below, dispose of some or all of the securities of the Issuer, including through open-market sales, privately negotiated transactions, block trades, registered offerings or otherwise, or take any other action with respect to their investment in the Issuer as they may deem appropriate. Any such transactions may be effected at any time and from time to time, subject to applicable law, and will depend upon a variety of factors, including those described above.\n\nSales of directly held Common Stock may increase the number of shares issuable upon conversion of the Convertible Note that may be acquired without exceeding the Beneficial Ownership Limitation, without increasing the Reporting Persons' aggregate beneficial ownership above the Maximum Percentage.\n\nExcept as otherwise described in this Amendment, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1962481/000109991026000228/0001099910-26-000228-index.html" }, { "accession_no": "0001076128-26-000001", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1356093, "issuer_name": "CREATIVE REALITIES, INC.", "issuer_cusip": "22530J309", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 of Schedule 13D is amended to add the following:\n\nThe shares of Common Stock acquired by the Reporting Person on June 30, 2026, as described in Item 5 below, were purchased using the Reporting Person's personal funds.", "item4_transaction_purpose": "Except as noted in Item 6 of this Amendment No. 3, as of the date of the filing of this Amendment No. 3, the Reporting Person does not have a plan or proposal that relates to or would result in any of the transactions enumerated in sub items (a) through (j) of the instructions to Item 4 of this Schedule 13D. Notwithstanding the foregoing, the Reporting Person reserves the right to effect any such actions as any of them may deem necessary or appropriate in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1356093/000107612826000001/0001076128-26-000001-index.html" }, { "accession_no": "0001062993-26-003506", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1827401, "issuer_name": "BRIGHT MINDS BIOSCIENCES INC.", "issuer_cusip": "10919W405", "securities_class_title": "COMMON STOCK, WITHOUT PAR VALUE", "date_of_event": "2024-11-04", "filed_date": "2026-07-02", "item3_funds_source": "Not Applicable.", "item4_transaction_purpose": "The purpose of this statement is to report aggregate reductions in ownership of securities held by the Reporting Person of one percent (1%) or more of the securities of the Issuer then outstanding, as a result of distributions of securities by the Issuer, as of:\n-\tNovember 4, 2024, when the Reporting Person had the sole power to vote or to direct the voting of, or to dispose or to direct the disposition of 1,396,665 Common Shares representing approximately 19.0% of the Issuer's issued and outstanding Common Shares inclusive of Common Shares issuable to the Reporting Person pursuant to the Derivative Securities held by the Reporting Person;\n-\tSeptember 9, 2025, when the Reporting Person had the sole power to vote or to direct the voting of, or to dispose or to direct the disposition of 1,396,665 Common Shares representing approximately 17.9% of the Issuer's issued and outstanding Common Shares inclusive of Common Shares issuable to the Reporting Person pursuant to the Derivative Securities held by the Reporting Person; and\n-\tJanuary 9, 2026, when the Reporting Person had the sole power to vote or to direct the voting of, or to dispose or to direct the disposition of 1,396,665 Common Shares representing approximately 13.8% of the Issuer's issued and outstanding Common Shares inclusive of Common Shares issuable to the Reporting Person pursuant to the Derivative Securities held by the Reporting Person.\nThe Reporting Person may, depending on market and other conditions, increase or decrease his ownership of the Issuer's securities, whether in the open market, by privately negotiated agreements or otherwise, subject to a number of factors, including general market conditions and other available investment and business opportunities.\nThe Reporting Person reserves the right to formulate other plans or make other proposals and take other actions with respect to his interest in the Issuer. Depending on market conditions and other factors, the Reporting Person may acquire or dispose of securities of the Issuer as the Reporting Person may deem appropriate, whether in open market purchases or sales, privately negotiated transactions or otherwise. The Reporting Person continues to evaluate numerous potential transactions and in connection therewith may exchange Common Shares for other assets or may sell Common Shares to increase his cash position. The Reporting Person may also reconsider and change his plans or proposals relating to the foregoing.\nExcept as otherwise disclosed herein, the Reporting Person has no current plans or proposals that relate to or would result in:\n(a)\tthe acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;\n(b)\tany extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n(c)\ta sale or transfer of a material amount of the assets of the Issuer or any of its subsidiaries;\n(d)\tany change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n(e)\tany material change in the present capitalization or dividend policy of the Issuer;\n(f)\tany other material change in the Issuer's business or corporate structure including, but not limited to, if the Issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the United States Investment Company Act of 1940;\n(g)\tchanges in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede acquisition of control of the Issuer by any person;\n(h)\tcausing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n(i)\ta class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n(j)\tany action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1827401/000106299326003506/0001062993-26-003506-index.html" }, { "accession_no": "0001011438-26-000388", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1805077, "issuer_name": "Eos Energy Enterprises, Inc.", "issuer_cusip": "29415C101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the addition of the following:\r\n\r\nAmended and Restated Binding Term Sheet for Joint Venture\r\n\r\nOn June 30, 2026, Eos Energy Enterprises Inc. (the \"Issuer\") entered into an amended and restated binding term sheet (the \"A&R Term Sheet\") with CCM Frontier JV Holdco, LLC, an affiliate of the Reporting Persons (\"CCM Frontier\"), and HBC MSF Capital Solutions Blocker II LLC, an affiliate of Hudson Bay Capital Management LP (\"HBC\"), which provides for, upon the closing of the transactions contemplated by the A&R Term Sheet, the formation of a joint venture between the Issuer, CCM Frontier and HBC through Frontier Power USA Parent, LLC, a Delaware limited liability company (the \"JV Company\"). CCM Frontier, HBC and the Issuer expect to enter into definitive written agreements with respect to the transactions contemplated by the A&R Term Sheet prior to the closing of such transactions. The A&R Term Sheet amends and restates the previously disclosed Term Sheet.\r\n\r\nEquity Ownership of Joint Venture and Warrant Issuances\r\n\r\nImmediately following the closing of the transactions contemplated by the A&R Term Sheet, CCM Frontier (or its applicable designated affiliate) is expected to (a) receive 50,000,001 Class A-1 Units of the JV Company (\"Class A-1 Units\") as founder's equity in consideration for the contracts, contacts, investment opportunities, subject matter expertise and other going concern value with respect to the frontier power platform developed by affiliates of CCM Frontier, (b) contribute $100 million (the \"Initial Class A-2 Contribution\") to the JV Company (a portion of which may be contributed and utilized prior to the closing, including for purposes of the payment of the deposit under a capacity reservation agreement between the Issuer and the JV Company) in exchange for 100,000,000 Class A-2 Units of the JV Company (\"Class A-2 Units\" and, together with the Class A-1 Units, the \"Class A Units\"), at a price of $1.00 per Class A-2 Unit, and (c) receive certain warrants to purchase Common Stock of the Issuer as described below.\r\n\r\nImmediately following the closing of the transactions contemplated by the A&R Term Sheet, the Issuer is expected to, directly or indirectly, contribute an amount equal to the sum of (a) the net proceeds raised from HBC in a registered direct offering (the \"Registered Direct Offering\") and (b) the net proceeds raised pursuant to a rights offering described below (the \"Initial Class B Contribution\") to the JV Company in exchange for a number of Class B Units of the JV Company (\"Class B Units\") at a price of $1.00 per Class B Unit.\r\n\r\nImmediately following the closing of the transactions contemplated by the A&R Term Sheet, HBC (or investment funds managed by HBC or its affiliates) is expected to (a) contribute $50 million (the \"Initial Class C Contribution\") to the JV Company in exchange for 50,000,000 Class C Units (\"Class C Units\" and, together with the Class A Units and the Class B Units, the \"Preferred Units\"), at a price of $1.00 per Class C Unit, and (b) receive the HBC Warrant (as defined below).\r\n\r\nClosing Conditions\r\n\r\nCCM Frontier's, HBC's and the Issuer's obligations to complete the transactions and consummate the closing contemplated by the A&R Term Sheet are subject to the following conditions: (a) completion of the rights offering described below; (b) Department of Energy consent to the transactions contemplated by the A&R Term Sheet; and (c) the execution and delivery of commercial framework guidelines (in a form to be mutually and reasonably agreed by the Issuer, CCM Frontier and HBC).\r\n\r\nFinancing\r\n\r\nThe investment by the Issuer in the JV Company is expected to be partially financed by a rights offering to holders of the Issuer's Common Stock and certain of its outstanding warrants as of a future record date (the \"Rights Offering\"). The Rights Offering will target a raise of $150 million, the net proceeds of which are expected to be used by the Issuer to fund a portion of the Initial Class B Contribution, and the Rights Offering will not raise an amount in excess of $150 million without the prior written consent of CCM Frontier and HBC. The Issuer's stockholders that participate in the Rights Offering (the \"Rights Offering Participants\") are expected to receive units of the Issuer, with each whole unit entitling the holder to acquire (i) one share of Issuer Common Stock and (ii) 0.4388 of a warrant (each a \"RO Warrant\") to purchase Issuer Common Stock, for a subscription price of $5.481 per whole unit (\"Units\") up to their pro rata entitlement (the \"Basic Subscription Right\"). Each whole warrant to purchase Issuer Common Stock shall entitle the holder to purchase one share of Issuer Common Stock at an exercise price of $5.481 per share. Rights Offering Participants that have fully exercised their Basic Subscription Right may also exercise an over-subscription right to purchase to purchase additional Units to the extent any remain unsubscribed.\r\n\r\nThe mechanics, sequencing and legal structure of the Rights Offering (including (without limitation) with respect to issued warrants) is to be separately documented, and remains subject to, among other things, certain consents, applicable securities laws and Nasdaq requirements.\r\n\r\nCerberus Warrants\r\n\r\nIn consideration for the Initial Class A-2 Contribution, the Issuer is expected to issue to CCM Frontier warrants to purchase 20,017,772 shares of Issuer Common Stock (the \"Additional CCM Warrants\"). The exercise price for the Additional CCM Warrants is expected to be $5.481 per share.\r\n\r\nThe Additional CCM Warrants are expected to expire on the 10-year anniversary of the closing of the transactions contemplated by the A&R Term Sheet. The Additional CCM Warrants are expected to be exercisable for cash or on a cashless basis. The shares underlying the Additional CCM Warrants are expected to be subject to customary registration rights.\r\n\r\nHBC Warrants\r\n\r\nIn consideration for the Initial Class C Contribution, the Issuer is expected to issue to HBC warrants to purchase 10,008,886 shares of Issuer Common Stock (the \"HBC Warrant\"). The exercise price for the HBC Warrant is expected to be $5.481 per share.\r\n\r\nThe HBC Warrant is expected to expire on the 10-year anniversary of the closing of the transactions contemplated by the A&R Term Sheet. The HBC Warrant is expected to be exercisable for cash or on a cashless basis. The shares underlying the HBC Warrant are expected to be subject to customary registration rights.\r\n\r\nHBC Exchange Right\r\n\r\nFor so long as HBC holds the Class C Units, the Class C Units are expected to be exchangeable into shares of Issuer Common Stock based on $1.00 per unit as set forth below.\r\n\r\nPrior to December 31, 2026, HBC is expected to have the right to exchange the Class C Units into shares of Issuer Common Stock as follows: up to 50% of the Class C Units can be exchanged into shares of Issuer Common Stock using a $15.00 price per share; up to 75% of the Class C Units can be exchanged into shares of Issuer Common Stock using a $17.50 price per share; and up to 100% of the Class C Units can be exchanged into shares of Common Stock using a $20 price per share, provided that the foregoing exchange prices are subject to customary adjustments for stock splits, dividends, distributions, recapitalizations, consolidations, mergers and other similar events.\r\n\r\nFrom and after December 31, 2026, HBC is expected to have the right to exchange all or any portion of the Class C Units into shares of Issuer Common Stock using a price per share equal to the final pricing of the Rights Offering, subject to customary adjustments for stock splits, dividends, distributions, recapitalizations, consolidations, mergers and other similar events.\r\n\r\nUpon the occurrence of certain events, including any voluntary or involuntary bankruptcy, change of control, liquidation, dissolution or winding up of the JV Company, HBC is expected to have the right to exchange all or any portion of the Class C Units into shares of Issuer Common Stock using a price per share equal to the final pricing of the Rights Offering, subject to customary adjustments for stock splits, dividends, distributions, recapitalizations, consolidations, mergers and other similar event.\r\n\r\nIn the event that any other investor in the JV Company has or is issued or granted a right to exchange, amend or restructure its investment in the JV Company for shares of Issuer Common Stock on more favorable terms, including an earlier timeline, HBC will receive the same rights.\r\n\r\nThe Company is expected to file a resale registration statement covering the shares of Issuer Common Stock issuable upon exchange of the Class C Units with the U.S. Securities and Exchange Commission within 30 days of the closing of the transactions contemplated by the A&R Term Sheet. The Company will use its best efforts to have the registration statement declared effective within 60 days after the closing of the transactions contemplated by the A&R Term Sheet.\r\n\r\nGovernance\r\n\r\nThe JV Company will be managed by a board of managers that will initially include seven members, four of which will be appointed by CCM Frontier and up to three of which will be appointed by the Issuer (subject to the Issuer maintaining certain ownership thresholds in the JV Company). The board of managers will have full and exclusive power to conduct and exercise control over the activities of the JV Company, subject to certain reserved and fundamental matters that will require the consent of a manager appointed by the Issuer or the Issuer, as applicable (so long as the Issuer maintains certain ownership thresholds in the JV Company).\r\n\r\nDay to day oversight of the JV Company's development projects will be delegated to and performed by an appointee of CCM Frontier, which is initially anticipated to be an affiliate of CCM Frontier, pursuant to a management services agreement on customary terms and conditions to be agreed to by CCM Frontier and the Issuer.\r\n\r\nTransfers\r\n\r\nSubject to HBC's exchange right, CCM Frontier, HBC and the Issuer will not be permitted to transfer their respective Preferred Units in the JV Company prior to the third anniversary of the closing of the transactions contemplated by the A&R Term Sheet, except for certain permitted transfers to affiliates. After the third anniversary of the closing, CCM Frontier, HBC and the Issuer will be permitted to transfer their respective Preferred Units, subject to a right of first offer in favor of the non-transferring parties.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1805077/000101143826000388/0001011438-26-000388-index.html" }, { "accession_no": "0000950142-26-001978", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1847367, "issuer_name": "Alumis Inc.", "issuer_cusip": "022307102", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-14", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1847367/000095014226001978/0000950142-26-001978-index.html" }, { "accession_no": "0000950142-26-001977", "submission_type": "SCHEDULE 13D/A", "amendment_no": 24, "issuer_cik": 1595527, "issuer_name": "American Strategic Investment Co.", "issuer_cusip": "649439304", "securities_class_title": "Class A common stock, $0.01 par value per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1595527/000095014226001977/0000950142-26-001977-index.html" }, { "accession_no": "0000921895-26-001755", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1606366, "issuer_name": "El Pollo Loco Holdings, Inc.", "issuer_cusip": "268603107", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe aggregate purchase price of the 3,635,454 Shares owned directly by The Lion Fund II is approximately $35,964,823. The Shares purchased by The Lion Fund II were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted.\n\nThe aggregate purchase price of the 120,000 Shares owned directly by First Guard is approximately $1,223,056. The Shares purchased by First Guard were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted.\n\nThe aggregate purchase price of the 369,247 Shares owned directly by Biglari Reinsurance is approximately $4,861,578. The Shares purchased by Biglari Reinsurance were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1606366/000092189526001755/0000921895-26-001755-index.html" }, { "accession_no": "0000921895-26-001747", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1005286, "issuer_name": "LIFECORE BIOMEDICAL, INC. \\DE\\", "issuer_cusip": "514766104", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares purchased by each of Legion Partners I, Legion Partners II and Legion Partners Holdings were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 4,084,268 Shares owned directly by Legion Partners I is approximately $33,506,562, including brokerage commissions. The aggregate purchase price of the 319,286 Shares owned directly by Legion Partners II is approximately $2,348,906, including brokerage commissions. The aggregate purchase price of the 200 Shares owned directly by Legion Partners Holdings is approximately $2,082, including brokerage commissions.\n\nAs detailed in Item 4 of Amendment No. 6, which information is incorporated herein by reference, the Series A Preferred Stock (as defined therein) purchased by Legion Partners I and Legion Partners II are converted into Shares at any time by Legion Partners I and Legion Partners II, which Shares are treated as beneficially owned for purposes of this Schedule 13D. The shares of Series A Preferred Stock purchased by each of Legion Partners I and Legion Partners II were purchased directly from the Issuer with working capital pursuant to the terms of the Purchase Agreement (as defined therein). The aggregate purchase price of the 11,414 shares of Series A Preferred Stock owned directly by Legion Partners I is approximately $11,414,000. Approximately 3,372 Shares of Series A Preferred Stock owned directly by Legion Partners I were received as dividends. The aggregate purchase price of the 1,086 shares of Series A Preferred Stock owned directly by Legion Partners II is approximately $1,086,000. Approximately 321 Shares of Series A Preferred Stock owned directly by Legion Partners II were received as dividends.\n\nIn connection with the appointment of Christopher S. Kiper to the Board of Directors of the Issuer (the \"Board\"), as further described in Item 4 to Amendment No. 6, Mr. Kiper has been awarded certain restricted stock units (\"RSUs\") in connection with his service as a director of the Issuer, including (i) 5,906 RSUs awarded on January 9, 2023 which vested on the first anniversary of the grant date and were automatically settled in Shares, (ii) 3,981 RSUs awarded on February 1, 2023 that vested on the first anniversary of the grant date and were automatically settled in Shares, (iii) 18,182 RSUs awarded on June 1, 2023 that vested on the first anniversary of the grant date and were automatically settled in Shares, (iv) 30,000 RSUs awarded on July 8, 2024 that vested on the first anniversary of the grant date and were automatically settled in Shares, (v) 19,506 RSUs awarded on July 15, 2025 that vest on the earlier of the first anniversary of the grant date or the date of the annual meeting of stockholders first held in calendar year 2026 (provided such date is no less than 50 weeks from grant date) (within 60 days of the date hereof), and (vi) 25,907 RSUs awarded on June 4, 2026 that vest on the earlier of June 4, 2027 or the date of the annual meeting of stockholders first held in calendar year 2027 (provided such date is no less than 50 weeks from June 4, 2026).\n\nBecause Mr. Kiper serves on the Board as a representative of Legion Partners Asset Management and the Reporting Persons, he does not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. As a result, when the Issuer delivered such RSUs to Mr. Kiper, Legion Partners Asset Management was entitled to receive all of the economic interests in securities granted to Mr. Kiper by the Issuer in respect of Mr. Kiper's Board position, for no consideration.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn June 30, 2026, each of Legion Partners I and Legion Partners II delivered to the Issuer written notice of redemption of all of the Series A Preferred Stock held by each of them, respectively, at the Holder Optional Redemption Price (as defined in the Certificate of Designation) (as defined in Amendment No. 6) payable in cash by the Issuer. The Issuer is required to redeem such shares on December 28, 2026, which is the next business day following the 180th day after the redemption notices were submitted.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1005286/000092189526001747/0000921895-26-001747-index.html" }, { "accession_no": "0000921895-26-001743", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1899883, "issuer_name": "FTAI Infrastructure Inc.", "issuer_cusip": "35953C106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1899883/000092189526001743/0000921895-26-001743-index.html" }, { "accession_no": "0000912282-26-000917", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1218683, "issuer_name": "Big Digital Energy, Inc.", "issuer_cusip": "57778N307", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 is hereby amended to read as follows:\n\nThe Series D Convertible Preferred Stock (the \"Series D\") and underlying Shares of the Issuer were purchased by Six Thirty AI with funds borrowed from YA II PN, LTD, an investor otherwise unaffiliated with the Issuer, for the purpose of acquiring the Series D. See Item 4 for additional information. The aggregate purchase price of the 16,700 shares of Series D beneficially owned by Six Thirty AI is 90% of the face amount of $16,700,000, or $15,030,000.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following: On June 30, 2026, Six Thirty AI purchased in a private placement 16,700 shares of the Issuer's Series D Convertible Preferred Stock (\"Series D\") with funds borrowed by Six Thirty AI from YA II PN, LTD, an investor otherwise unaffiliated with the Issuer. Six Thirty AI has the right to convert the Series D into Shares within 60 days of the date of this Amendment No. 10 to Schedule 13D. The Series D and underlying Shares are pledged to YA II PN, LTD pursuant to a Loan and Guaranty Agreement dated June 30, 2026, and related agreement, and the Series D are exchangeable for the borrowed funds. The Conversion Price floats (95% of lowest daily VWAP in the five trading days prior to notice of conversion, with a floor price of $1.80 (20% of the closing price immediately prior to the initial closing), but there is a 19.99% cap on conversion until shareholder approval is obtained. The floating Conversion Price is otherwise subject to the terms and conditions established in the Certificate of Designations for the Series D Convertible Preferred Stock. Assuming the daily VWAP of a Share as of June 30, 2026 ($8.81) is used to calculate the Conversion Price, the Series D Convertible Preferred Stock would convert into 1,995,221 Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1218683/000091228226000917/0000912282-26-000917-index.html" }, { "accession_no": "0000902664-26-003000", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1787297, "issuer_name": "Passage BIO, Inc.", "issuer_cusip": "702712100", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-07-02", "item3_funds_source": "Funds for the purchase of the securities reported herein were derived from the general working capital of the Lynx1 Fund. A total of approximately $11,444,608 was paid to acquire such securities.\n\nPositions in the shares of Common Stock may be held in margin accounts. Because other securities may be held in such margin accounts, it may not be possible to determine the amounts, if any, of margin used to purchase the shares of Common Stock.", "item4_transaction_purpose": "The Reporting Persons originally acquired the securities reported herein because they believe the securities are undervalued and represent an attractive investment opportunity and they continue to hold the shares of Common Stock reported herein for investment purposes. The Reporting Persons previously reported their beneficial ownership on Schedule 13G pursuant to Rule 13d-1(c) under the Act. As a result of the acquisition of additional shares of Common Stock described in Items 3 and 5(c), the Reporting Persons' aggregate beneficial ownership has equaled or exceeded 20% of the outstanding Common Stock. Accordingly, the Reporting Persons are no longer eligible to report on Schedule 13G under Rule 13d-1(c)(3) and are filing this Schedule 13D pursuant to Rule 13d-1(f)(1).\n\nOn June 24, 2026, the Issuer, Peregrine Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of the Issuer (\"Merger Sub\"), and Remix Therapeutics, Inc., a Delaware corporation (\"Remix\") entered into an Agreement and Plan of Merger (the \"Merger Agreement\") substantially in the form attached as Exhibit 99.2 to this Schedule 13D, pursuant to which Merger Sub will merge with and into Remix, with Remix surviving the merger and becoming a wholly owned subsidiary of the Issuer (the \"Merger\"). Following the Merger, the combined company is expected to be renamed \"Remix Therapeutics, Inc.\" and to trade on Nasdaq under the symbol \"RMTX.\" In connection with the Merger, the Lynx1 Fund has agreed to participate in a financing (the \"Concurrent Financing\") in which it will (i) purchase shares of Remix common stock pursuant to a subscription agreement (the \"Subscription Agreement\") substantially in the form attached as Exhibit 99.3 to this Schedule 13D and (ii) purchase convertible notes pursuant to a convertible promissory note purchase agreement. The consummation of the Concurrent Financing is conditioned on the satisfaction or waiver of certain conditions to the Merger.\n\nIn addition, in connection with the Concurrent Financing, an affiliate of the Investment Manager will enter in to a registration rights agreement (the \"Registration Rights Agreement\") with the Issuer and Remix, substantially in the form attached as Exhibit 99.4 to this Schedule 13D, providing for the registration for resale of the shares of Common Stock issuable in respect of the securities purchased in the Concurrent Financing. In addition, the Issuer and a third party rights agent will enter into a Contingent Value Rights Agreement (the \"CVR Agreement\") substantially in the form attached as Exhibit 99.5 to this Schedule 13D, pursuant to which the Issuer's common stockholders of record will receive one contingent value right for each outstanding share of Common Stock held by such stockholder.\n\nAs a result of the foregoing, the Reporting Persons expect to acquire additional shares of Common Stock at the effective time of the Merger in respect of the Remix securities they have agreed to purchase in the Concurrent Financing. The Reporting Persons do not presently beneficially own such shares of Common Stock, the issuance of which is contingent on the consummation of the Merger. In addition, as a holder of record of Common Stock, the Reporting Persons will be entitled to receive one contingent value right for each share of Common Stock held as of the close of business on the last business day prior to the Effective Time, pursuant to a Contingent Value Rights Agreement to be entered into by the Issuer as described in the Issuer's filings.\n\nThe foregoing summaries of the Merger Agreement, the Subscription Agreement, the Registration Rights Agreement and the CVR Agreement are qualified in their entireties by reference to the full texts of such agreements, the forms of which are included as Exhibit 99.2, Exhibit 99.3, Exhibit 99.4 and Exhibit 99.5, respectively, hereto and are incorporated by reference herein.\n\nThe Reporting Persons may engage in discussions with management, the board of directors (the \"Board\"), other stockholders of the Issuer, and other persons regarding the Issuer, including with respect to its business, operations, strategy, capital structure, and governance, and the Merger, though the Reporting Persons may change its intentions with respect to any and all of the foregoing. The Reporting Persons may also take steps to explore and prepare for various plans and actions, and propose transactions, before forming an intention to engage in such plans or actions or proceed with such transactions.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis and depending upon various factors, including without limitation, the Issuer's financial position and strategic direction, the outcome of any discussions referenced above, overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of securities of the Issuer at prices that would make the purchase or sale of such securities desirable, the Reporting Persons may endeavor (i) to increase or decrease their position in the Issuer through, among other things, the purchase or sale of securities of the Issuer, including through transactions involving shares of Common Stock and/or other equity, debt, notes, other securities, or derivative or other instruments that are based upon or relate to the value of securities of the Issuer in the open market or in private transactions, on such terms and at such times as the Reporting Persons may deem advisable and/or (ii) to enter into transactions that increase or decrease their economic exposure to the shares of Common Stock without affecting their beneficial ownership of the shares of Common Stock or adjust their exposure to the shares of Common Stock in ways that would affect their beneficial ownership of the shares of Common Stock.\n\nExcept as set forth in this Item 4, the Reporting Persons do not currently have any plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to formulate plans or proposals, and to take such actions with respect to their investment in the Issuer, including any or all of the actions set forth in clauses (a) through (j) of Item 4, and to change their intentions, at any time, as they deem appropriate.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1787297/000090266426003000/0000902664-26-003000-index.html" }, { "accession_no": "0000902664-26-002998", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1320854, "issuer_name": "FreightCar America, Inc.", "issuer_cusip": "357023100", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\nOn June 30, 2026, the Issuer issued an aggregate of 13,619,377 shares of Common Stock to OC III LFE in accordance with OC III LFE's partial exercise of certain warrants (the \"Partial Exercises\"). In particular, OC III LFE partially exercised (a) a warrant, which was originally issued pursuant to the terms of the warrant acquisition agreement, dated as of October 13, 2020 (the \"2020 Warrant\"), to purchase a number of shares of Common Stock equal to 22.99% of the Common Stock Deemed Outstanding (as defined in the 2020 Warrant), (b) a warrant, which was originally issued pursuant to the terms of the warrant acquisition agreement, dated as of December 30, 2021 (the \"2021 Warrant\"), to purchase a number of shares of Common Stock equal to 4.99% of the Common Stock Deemed Outstanding (as defined in the 2021 Warrant), and (c) a warrant, which was originally issued pursuant to the terms of the warrant acquisition agreement, dated as of April 4, 2022 (the \"2022 Warrant\"), to purchase a number of shares of Common Stock equal to 4.99% of the Common Stock Deemed Outstanding (as defined in the 2022 Warrant).\n\nEach such share of Common Stock was purchased at a price of $0.01 pursuant to the respective net exercise provisions governing the warrants.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nThe Reporting Person's acquisition of the Common Stock to which this Statement relates was for investment purposes in the ordinary course of business. The Reporting Person acquired the Common Stock because they believed that the Common Stock reported herein, when purchased, represented an attractive investment opportunity.\n\nThe Reporting Person and its representatives may engage in discussions with members of management of the Issuer and the board of directors of the Issuer (the \"Board\"), other current or prospective shareholders, industry analysts, existing or potential strategic partners or competitors, investment and financing professionals, sources of credit and other third parties regarding a variety of matters relating to the Issuer, which may include, among other things, the Issuer's business, management, capital structure and allocation, shareholder rights plan, corporate governance, Board composition, transformation transactions and strategic alternatives and direction, and may take other steps seeking to bring about changes to increase shareholder value as well as pursue other plans or proposals that relate to or could result in any of the matters referred to in subparagraphs (a) - (j) of Item 4 of Schedule 13D.\n\nThe Reporting Person intends to review its investment in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the outcome of any discussions referenced above, the Issuer's financial position, results and strategic discretion, actions taken by the Issuer's management and the Board, price levels of the Common Stock, other investment opportunities available to the Reporting Person, conditions in the securities market and general economic and industry conditions, the Reporting Person may in the future take such actions with respect to its investment in the Issuer as they deem appropriate, including, without limitation, exchanging information with the Issuer or other third parties pursuant to appropriate confidentiality or similar agreements, proposing changes in the Issuer's operations, governance or capitalization, acquiring additional Common Stock and/or other equity, debt, notes, instruments or other securities of the Issuer (collectively, \"Securities\") or disposing of some or all of the Securities beneficially owned by them, in public market or privately negotiated transactions, entering into financial instruments or other agreements that increase or decrease the Reporting Person's economic exposure with respect to its investment in the Issuer and/or otherwise changing its intention with respect to any and all matters referred to in Item 4 of Schedule 13D.\n\nExcept as set forth herein, the Reporting Person does not have present plans or proposals at this time that relate to or would result in any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1320854/000090266426002998/0000902664-26-002998-index.html" }, { "accession_no": "0000779335-26-000006", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 14846, "issuer_name": "BRT Apartments Corp.", "issuer_cusip": "055645303", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "The Partnership acquired the shares of common stock of the Issuer (the \"Shares\") from time-to-time through the use of its working capital. Messrs. M. Gould and J. Gould acquired the Shares from time-to-time through the Issuer's equity incentive plans, personal funds and gifts (including transfers for which no consideration was paid).", "item4_transaction_purpose": "The Reporting Persons hold the shares of the Issuer's common stock ( the \"Shares\") for investment purposes. Each of them, subject to market conditions and their respective assessments of prospects of the Issuer, may acquire additional Shares from time to time, through open market (including pursuant to the Issuer's dividend reinvestment plan (the \"DRIP\")) and/or privately negotiated transactions, as they each may determine in their discretion. Each of Messrs. M. Gould and J. Gould may acquire additional Shares through equity awards pursuant to the Company's incentive plans, in each case subject to the applicable transfer and ownership restrictions in such plans and the Issuer's governing documents. Each of the Reporting Persons may also determine at any time to dispose of Shares.\n\nOther than as discussed above, none of the Reporting Persons currently have any plans to effect any of the transactions required to be described in Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/14846/000077933526000006/0000779335-26-000006-index.html" }, { "accession_no": "0000779335-26-000005", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 712770, "issuer_name": "ONE LIBERTY PROPERTIES INC", "issuer_cusip": "682406103", "securities_class_title": "Common Stock, par value $1.00 per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-02", "item3_funds_source": "The Partnership acquired the shares of common stock of the Issuer (the \"Shares\") from time-to-time through the use of its working capital. Messrs. F. Gould, M. Gould and J. Gould acquired their Shares from time-to-time through the Issuer's equity incentive plans, personal funds and gifts (including transfers for which no consideration was paid).", "item4_transaction_purpose": "The Reporting Persons hold the Shares for investment purposes. Each of them may, subject to market conditions and their respective assessments of prospects of the Issuer, acquire additional Shares from time to time, through open market (including pursuant to the Issuer's dividend reinvestment plan (the \"DRIP\")) and/or privately negotiated transactions, as they each may determine in their discretion. Each of Messrs. F. Gould, M. Gould and J. Gould may acquire additional shares of common stock through equity awards pursuant to the Company's incentive plans, in each case subject to the applicable transfer and ownership restrictions in such plans and the Issuer's governing documents. Each of the Reporting Persons may also determine at any time to dispose of Shares.\n\nOther than as discussed in the immediately preceding paragraph, none of the Reporting Persons currently have any plans to effect any of the transactions required to be described in Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/712770/000077933526000005/0000779335-26-000005-index.html" }, { "accession_no": "0002014483-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1013488, "issuer_name": "BJs RESTAURANTS INC", "issuer_cusip": "09180C106", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-06-24", "filed_date": "2026-07-01", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nDuring the past sixty days, the Reporting Persons effected sales of Common Shares of the Issuer in open market transactions as described in Item 5(c) of this Amendment and received proceeds from such sales.", "item4_transaction_purpose": "The Reporting Persons have engaged in transactions in the Common Shares of the Issuer as described in Item 5(c) of this Amendment. Such transactions consist primarily of sales of Common Shares effected in the ordinary course of managing the Reporting Persons investment in the Issuer.\n\nAs a result of the transactions described herein, including the sales described in Item 5(c), the Reporting Persons have reduced their beneficial ownership of the Common Shares of the Issuer to below five percent of the outstanding Common Shares.\n\nOther than as described herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the matters described in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to formulate plans or proposals in the future with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1013488/000201448326000002/0002014483-26-000002-index.html" }, { "accession_no": "0001999371-26-014059", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1913724, "issuer_name": "TPG Twin Brook Capital Income Fund", "issuer_cusip": "00840T100", "securities_class_title": "Class I common shares of beneficial interest, par value $0.001 per share", "date_of_event": "2026-06-29", "filed_date": "2026-07-01", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended to include the following:\n\n\"Effective on June 1, 2026, BDC Holdings accepted a $100 million capital contribution from an investor for investment purposes. In connection with such capital contribution, BDC Holdings purchased additional Common Shares from the Issuer in its ongoing public offering. From time to time, to the extent BDC Holdings receives additional capital contributions, BDC Holdings may purchase additional Common Shares.\n\nIn addition, each of Angelo Gordon and BDC Holdings may participate in the Issuer's distribution reinvestment plan (the \"DRIP\") from time to time. Each of Angelo Gordon and BDC Holdings directly holds 1,126.168 Common Shares and 244,270.618 Common Shares, respectively, received upon the reinvestment of distributions pursuant to the DRIP.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1913724/000199937126014059/0001999371-26-014059-index.html" }, { "accession_no": "0001829126-26-007163", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1853044, "issuer_name": "Aeries Technology, Inc.", "issuer_cusip": "G0136H128", "securities_class_title": "Class A Ordinary Shares, $0.0008 par value", "date_of_event": "2026-05-28", "filed_date": "2026-07-01", "item3_funds_source": "As further described in Item 6, Mr. Khare has a right under an exchange agreement with the Issuer to exchange up to 100% of his 59,110 Class A ordinary shares (\"ATG Shares\") of Aeries Technology Group Business Accelerators Private Limited (\"ATG\") for 1.8 Class A Ordinary Shares per ATG Share on and after April 1, 2024, subject to certain exercise conditions. On March 26, 2024, the Issuer determined that such exercise conditions had been met. As such, Mr. Khare is deemed to have beneficial ownership of 106,398 Class A Ordinary Shares, which are issuable pursuant to the exercise of exchange rights under such exchange agreement with respect to the 59,110 ATG Shares held by the Aeries Employee Stock Option Trust (\"ESOP Trust\"), for which the Reporting Person is a beneficiary. This Schedule 13D assumes distribution of such ATG Shares by the ESOP Trust to the Reporting Person prior to an exchange for Class A Ordinary Shares. The Class A Ordinary Shares are entitled to one vote per share.\n\nAdditionally, on May 28, 2026, the Issuer's Board of Directors approved the grant of a Stock Option exercisable for 125,000 at an exercise price of $5.984 per share which vested on the grant date, in connection with his services to the Issuer and its subsidiaries.\n\nExcept as described in this Item 3, the Reporting Person did not pay any cash or other consideration for the shares reported on this Schedule 13D.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1853044/000182912626007163/0001829126-26-007163-index.html" }, { "accession_no": "0001493152-26-031580", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1652958, "issuer_name": "Edgemode, Inc.", "issuer_cusip": "280028103", "securities_class_title": "COMMON", "date_of_event": "2026-06-29", "filed_date": "2026-07-01", "item3_funds_source": "The shares of Common Stock beneficially owned by the Reporting Person were acquired pursuant to a Share Exchange Agreement dated April 7, 2025 (the \"SEA\"). The Reporting Person has not acquired any additional shares of Common Stock since the filing of the Schedule 13D/A on August 20, 2025.", "item4_transaction_purpose": "The Reporting Person acquired the securities reported herein pursuant to the SEA.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1652958/000149315226031580/0001493152-26-031580-index.html" }, { "accession_no": "0001472375-26-000183", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 930245, "issuer_name": "Agassi Sports Entertainment Corp.", "issuer_cusip": "379413107", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-30", "filed_date": "2026-07-01", "item3_funds_source": "Item 3 of the Schedule 13D is amended to include the following:\n\nOn February 3, 2026 and March 13, 2026, the Boreta Trust purchased 1,000 shares of common stock in an open market purchase for $5.00 per share and 50,000 shares of common stock for $5 per share from the Company in a private offering, respectively. The 50,000 shares include standard piggy-back registration rights for a period of three years.\n\nEffective on June 30, 2026, AAGC transferred 1,495,390 shares of common stock of the Issuer to the Boreta Trust, for no consideration for estate planning purposes.", "item4_transaction_purpose": "The information set forth in Item 3 is hereby incorporated by reference into this Item 4. The Reporting Persons acquired the securities pursuant to the transactions described in Item 3 above. In the future, depending on general market and economic conditions affecting the Issuer and other relevant factors, the Reporting Persons may purchase or acquire additional securities of the Issuer or dispose of some or all of the securities they currently own from time to time in open market transactions, private transactions (including gifts) or otherwise. Except as may occur in the ordinary course of business of the Issuer, the Reporting Persons do not currently have any plans or proposals which relate to or would result in the following described: (a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) Any material change in the present capitalization or dividend policy of the Issuer; (f) Any other material change in the Issuer's business or corporate structure, including but not limited to, if the Issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940; (g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to section 12(g)(4) of the Act; or (j) Any action similar to any of those enumerated above. The Reporting Persons retain the right to change their investment intent, and may, from time to time, acquire additional shares of Common Stock or other securities of the Issuer, or sell or otherwise dispose of (or enter into a plan or arrangements to sell or otherwise dispose of), all or part of the shares of Common Stock or other securities of the Issuer, if any, beneficially owned by them, in any manner permitted by law. Additionally, Mr. Boreta, in his capacity as Director and Chief Executive Officer, may from time to time, become aware of, initiate, and/or be involved in discussions that relate to the transactions described in this Item 4 and thus retains his right to modify his plans with respect to the transactions described in this Item 4 and to formulate plans and proposals that could result in the occurrence of any such events, subject to applicable laws and regulations.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/930245/000147237526000183/0001472375-26-000183-index.html" }, { "accession_no": "0001437749-26-022352", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2013792, "issuer_name": "EWSB Bancorp, Inc. /MD/", "issuer_cusip": "26929P107", "securities_class_title": "Common Stock, $0.01 Par Value", "date_of_event": "2026-06-29", "filed_date": "2026-07-01", "item3_funds_source": "The shares of the Issuer's Common Stock were purchased with personal funds.", "item4_transaction_purpose": "The Reporting Person acquired the securities described in this Schedule 13D for investment purposes and he intends to review his investments in the Issuer on a continuing basis. Any actions the Reporting Person might undertake will be dependent upon the Reporting Person's review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nThe Reporting Person may, at any time and from time to time, acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions whether pursuant to or outside of Rule 10b5-1 trading plans. The Reporting Person may in the future enter into and/or amend Rule 10b5-1 trading plans with respect to the acquisition or sale of Issuer securities involving amounts greater than or less than one percent of the Issuer's outstanding common stock. The Reporting Person also may attempt to pledge shares pursuant to margin, loan and other security agreements. In addition, the Reporting Person may engage in discussions with management, Directors, and shareholders of the Issuer and other relevant parties or encourage such persons to consider or explore extraordinary corporate transactions, such as: a merger; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure.\n\nOther than as described above, the Reporting Persons does not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Person may change his purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2013792/000143774926022352/0001437749-26-022352-index.html" }, { "accession_no": "0001213900-26-074547", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1844452, "issuer_name": "Intuitive Machines, Inc.", "issuer_cusip": "46125A100", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-06-29", "filed_date": "2026-07-01", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1844452/000121390026074547/0001213900-26-074547-index.html" }, { "accession_no": "0001213900-26-074213", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1158780, "issuer_name": "Pluri Inc.", "issuer_cusip": "72942G203", "securities_class_title": "COMMON STOCK, PAR VALUE $0.00001 PER SHARE", "date_of_event": "2026-06-30", "filed_date": "2026-07-01", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated as follows:\n\nThe information contained on the cover pages of this Schedule 13D relating to CHL, CHLP, Plantae and Mr. Weinstein is incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1158780/000121390026074213/0001213900-26-074213-index.html" }, { "accession_no": "0001193125-26-292841", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1498547, "issuer_name": "CIM GROUP, INC.", "issuer_cusip": "000000000", "securities_class_title": "Special Voting Preferred Stock, par value $0.01 per share", "date_of_event": "2026-06-24", "filed_date": "2026-07-01", "item3_funds_source": "See Item 4 for a description of the source and amount of consideration for the Special Voting Preferred Shares that are the subject hereof. The information set forth or incorporated in Item 4 with respect to such matters is incorporated by reference in this Item 3.", "item4_transaction_purpose": "On June 24, 2026, the Issuer acquired the real assets management business and portfolio of investments of Legacy CIM as part of a series of transactions undertaken to establish the Issuer as a diversified owner, operator, lender, developer and real assets management platform. These transactions (collectively, the \"Transactions\") consisted of:\n\n* The formation by the Issuer of a new operating partnership, CIM Finance Holdings, LP (\"New OP\"), in which CIM Finance Holdings GP, LLC, a wholly-owned subsidiary of the Issuer (\"New OP General Partner\"), is the sole general partner.\n\n* The contribution by the Issuer of all of the Issuer's equity interests in CIM Real Estate Finance Operating Partnership, LP (\"Existing OP\") to New OP in exchange for limited partnership units in New OP (\"New OP Class B LP Units\").\n\n* The contribution and assignment by the Issuer of all of the Issuer's other material assets and liabilities to Existing OP, including the Second Amended and Restated Management Agreement, dated March 24, 2023 (the \"Original Management Agreement\"), by and between the Issuer and CIM Real Estate Finance Management, LLC, a Delaware limited liability company (the \"Manager\").\n\n* The contribution by CIM Group Holdings of all of the issued and outstanding equity interests of CIM Group Management, LLC and CIM Group Investments, LLC (the \"Contributed Entities\"), which comprise Legacy CIM's real assets management business and portfolio, together with $1,000 of cash consideration, to New OP in exchange for newly issued Class A limited partnership units in New OP possessing the same economic rights as the New OP Class B LP Units and certain consent rights (the \"New OP Class A LP Units\") and Special Voting Preferred Shares.\n\nAs a result of the Transactions, CIM Group Holdings holds 907,376,073.663 New OP Class A LP Units and 907,376,073.663 Special Voting Preferred Shares, representing approximately 67.5% economic and voting ownership of the combined company. Messrs. Ressler, Shemesh and Kuba may be deemed to beneficially own the 907,376,073.663 New OP Class A LP Units, or 100% of the outstanding New OP Class A LP Units, held by CIM Group Holdings by virtue of being the control persons of CIM Holdings, which has the right to appoint a number of directors that constitutes a majority of the board of directors of Legacy CIM, which is the sole manager of CIM Group Management Holdings, which is the sole managing member of CIM Group Holdings. Each of Messrs. Ressler, Shemesh and Kuba disclaims beneficial ownership of the reported New OP Class A LP Units except to the extent of his pecuniary interest therein, and the inclusion of such shares in this Schedule 13D shall not be deemed an admission of beneficial ownership of all of the reported shares for any purpose.\n\nSee Item 6 for a description of contracts, arrangements, understandings or relationships with respect to securities of the Issuer, which, among other things, include covenants and other agreements by CIM Group Holdings relating to the potential acquisition of additional securities of the Issuer, the composition of the Board, and the Issuer's capitalization and certain other corporate transactions. The information set forth or incorporated in Item 6 with respect to such matters is incorporated by reference in this Item 4.\n\nAs permitted by law, and subject to the terms of the contracts and arrangements described in Item 6, the Reporting Persons may purchase additional securities or may dispose of all or a portion of the securities that they now beneficially own or may hereafter acquire in open market or privately negotiated transactions or otherwise, including to and/or from Legacy CIM and its affiliates.\n\nMessrs. Ressler, Shemesh and Kuba are members of the Issuer's executive management team. Additionally, Mr. Ressler is the chairman of the Board, and the Contribution Agreement contemplates the appointment of Messrs. Shemesh and Kuba to the Board following the consummation of the Transactions. As such, Messrs. Ressler, Shemesh and Kuba are or will be actively involved in influencing and considering the strategy and operations of the Issuer. Mr. Ressler, as Chief Executive Officer is and will be involved, and Messrs. Ressler, Shemesh and Kuba, as Board members, will be involved in the oversight of, all significant aspects of the Issuer, including the Issuer's business, operations, management, ownership, capital and corporate structure, dividend policy, corporate governance, Board composition, incentive programs and transactions as a means of enhancing shareholder value, including share repurchases and strategic and other corporate transactions. Messrs. Ressler, Shemesh and Kuba have in the past considered and may in the future consider a wide variety of matters and plans or proposals that could result in the occurrence of any of the matters set forth in clauses (a)-(j) of Item 4 of Schedule 13D. As a result of their ownership interest in the Issuer, the Reporting Persons exercise significant influence and control over the Issuer's business practices and strategy and all matters requiring action by the Issuer's shareholders, including the election of the entire Board and the ability as shareholders acting collectively to unilaterally approve or reject strategic or other corporate transactions.\n\nThe Reporting Persons review their investment in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position, results of operations, price levels of the Common Shares (as defined below), conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take or propose to take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, acquiring additional New OP Class A LP Units or acquiring Common Shares (or other securities of or interests in the Issuer or its subsidiaries) and/or the entirety of the Issuer or disposing of all or a portion of the New OP Class A LP Units or Common Shares (or other securities of or interests in the Issuer or its subsidiaries) beneficially owned or hereafter acquired by them in the public markets, in privately negotiated transactions or otherwise, and potentially entering into derivative or other transactions that increase or decrease the Reporting Persons' economic interest in or control over the Issuer.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons do not have any current plans or proposals which relate to or would result in any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1498547/000119312526292841/0001193125-26-292841-index.html" }, { "accession_no": "0001104659-26-080010", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 907654, "issuer_name": "ORUKA THERAPEUTICS, INC.", "issuer_cusip": "687604108", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-07-01", "filed_date": "2026-07-01", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn July 1, 2026, Fund II delivered to the Company a notice of conversion pursuant to Section 6.1 of the Certificate of Designation of Preferences, Rights and Limitations of Series B Non-Voting Convertible Preferred Stock (the \"Certificate of Designation\") to convert 42,641 shares of Series B Preferred Stock into 3,553,410 shares of Common Stock, in accordance with the terms of the Certificate of Designation. The conversion was effected for no cash consideration pursuant to the Certificate of Designation.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/907654/000110465926080010/0001104659-26-080010-index.html" }, { "accession_no": "0001104659-26-080004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1728117, "issuer_name": "Gossamer Bio, Inc.", "issuer_cusip": "38341P102", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-29", "filed_date": "2026-07-01", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1728117/000110465926080004/0001104659-26-080004-index.html" }, { "accession_no": "0000950157-26-000779", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1320414, "issuer_name": "Select Medical Holdings Corporation", "issuer_cusip": "81619Q105", "securities_class_title": "Common Stock, par value $0.001", "date_of_event": "2026-07-01", "filed_date": "2026-07-01", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented to incorporate the following:\n\nClosing\n\nOn June 30, 2026, the Issuer announced the consummation of the transactions contemplated by the Merger Agreement. Effective July 1, 2026, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation. At the Effective Time, each Share issued and outstanding immediately prior to the Effective Time (other than Rollover Shares, Shares owned by Parent or the Issuer (as treasury stock or otherwise) or any of their respective direct or indirect wholly-owned subsidiaries as of immediately prior to the Effective Time or Shares for which appraisal rights have been demanded properly in accordance with Section 262 of the General Corporation Law of the State of Delaware), was converted into the right to receive $16.50 per share in cash, without interest. The Shares were suspended from trading on the New York Stock Exchange (the \"NYSE\") effective as of the opening of trading on July 1, 2026. The NYSE has filed a Notification of Removal from Listing and/or Registration on Form 25 to delist the Shares and terminate the registration of all Shares under Section 12(b) of the Exchange Act.\n\nThe description of the consummation of the transactions contemplated by the Merger Agreement is qualified in its entirety by reference to the full text of the Merger Agreement, a copy of which is filed as Exhibit 99.4 to Amendment No. 2 and is incorporated by reference into this Item 4. A copy of the press release issued by the Issuer on June 30, 2026, announcing the closing of the Merger is filed as Exhibit 99.20 to this Amendment No. 2 and is incorporated by reference into this Item 4.\n\nAmended and Restated Rollover Agreements\n\nOn June 30, 2026, the Reporting Persons entered into amended and restated rollover agreements (each, an \"Amended and Restated Rollover Agreement\") with Parent and Stallion Group Parent, LP (\"Group Parent\"), pursuant to which each of the Rollover Holders has agreed, subject to the terms and conditions set forth therein, that, immediately prior to the closing of the Merger, all or a portion of such Rollover Holder's Rollover Shares shall be contributed to Parent in exchange for an equivalent amount of shares of common stock of Parent (the \"Parent Interests\") and then, subsequently, such Rollover Holder will exchange its Parent Interests to Group Parent for an equivalent amount of equity interests in Group Parent (such contribution and exchange, the \"Rollover\"). Aside from the amended structure of the Rollover described in the preceding sentence, the terms Amended and Restated Rollover Agreements remain substantially identical in all material respects to the Rollover Agreements as previously disclosed. This summary of the Amended and Restated Rollover Agreements does not purport to be complete and is qualified in its entirety by reference to the full text of the Amended and Restated Rollover Agreements, copies of which are filed as Exhibits 99.13, 99.14, 99.15, 99.16, 99.17, 99.18 and 99.19 to this Amendment No. 3 and are incorporated by reference into this Item 4.\n\nThis Amendment No. 3 constitutes an exit filing of the Reporting Persons in respect of the Shares previously reported as beneficially owned by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1320414/000095015726000779/0000950157-26-000779-index.html" }, { "accession_no": "0000919574-26-004214", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 918541, "issuer_name": "NN INC", "issuer_cusip": "629337106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-29", "filed_date": "2026-07-01", "item3_funds_source": "The funds for the purchase of the 1,958,637 Shares beneficially owned by the Fund came from the working capital of the Fund, which is the direct owner of the Shares. The funds for the purchase of the 2,153,637 Shares beneficially owned by the other Reporting Persons (which include the 1,958,637 Shares directly owned by the Fund) came from the working capital of the Fund and other private investment vehicles managed by the Investment Adviser, which are the direct owners of such Shares. No borrowed funds were used to purchase the Shares, other than any borrowed funds used for working capital purposes (including certain leverage arrangements) in the ordinary course of business.", "item4_transaction_purpose": "The Reporting Persons originally acquired the Shares for investment purposes. The Reporting Persons have had discussions with certain representatives of the Issuer and management of the Issuer.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors, including the Issuer's financial position and strategic direction, actions taken by the Board, price levels of the Shares, other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, the Reporting Persons may take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, purchasing additional Shares, other securities or derivative instruments related thereto or selling some or all of their Shares, other securities or derivative instruments, engaging in hedging or similar transactions with respect to the Shares and, alone or with others, may engage in communications with directors and officers of the Issuer, other stockholders of the Issuer or other third parties or may take steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review. Such discussions and other actions may relate to various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including, but not limited to a merger, reorganization or liquidation) involving the Issuer or any of its subsidiaries; business combinations involving the Issuer or its subsidiaries, a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; material asset purchases; the formation of joint ventures with the Issuer or its subsidiaries or the entry into other material projects; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the Board (including Board composition) or management of the Issuer; acting as a participant in debt financings of the Issuer or its subsidiaries; changes to the capitalization, ownership structure, dividend policy, business or corporate structure or governance documents of the Issuer; de-listing or de-registration of the Issuer's securities, or any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/918541/000091957426004214/0000919574-26-004214-index.html" }, { "accession_no": "0000898860-26-000006", "submission_type": "SCHEDULE 13D/A", "amendment_no": 28, "issuer_cik": 944809, "issuer_name": "OPKO HEALTH, INC.", "issuer_cusip": "68375N103", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-29", "filed_date": "2026-07-01", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/944809/000089886026000006/0000898860-26-000006-index.html" }, { "accession_no": "0001734916-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 915779, "issuer_name": "DAKTRONICS INC /SD/", "issuer_cusip": "234264109", "securities_class_title": "Common Stock, par value $0.00001 per share", "date_of_event": "2026-06-26", "filed_date": "2026-06-30", "item3_funds_source": "The Shares purchased by Alta Fox Opportunities were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted, as set forth in Exhibit 1, which is incorporated by reference herein. The aggregate purchase price of the 2,886,799 Shares beneficially owned by Alta Fox Opportunities is approximately $17,979,937, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/915779/000173491626000003/0001734916-26-000003-index.html" }, { "accession_no": "0001725721-26-000004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1808805, "issuer_name": "Nautilus Biotechnology, Inc.", "issuer_cusip": "63909J108", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-26", "filed_date": "2026-06-30", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1808805/000172572126000004/0001725721-26-000004-index.html" }, { "accession_no": "0001214659-26-007982", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1643303, "issuer_name": "Nano Dimension Ltd.", "issuer_cusip": "63008G203", "securities_class_title": "Ordinary Shares par value NIS 5.00 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-30", "item3_funds_source": "The Ordinary Shares were acquired with approximately $19.5 million of working capital set aside by TCP, TCPI, TCP III and TCP IV for the general purpose of investing. TCP, TCPI, TCP III and TCP IV maintain commingled margin accounts with various financial institutions, which may extend margin credit to TCP, TCPI, TCP III, and TCP IV as and when required, to open or carry positions in the margin accounts, subject to applicable federal margin regulations, stock exchange rules and credit policies. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the accounts. The margin accounts may from time to time have debit balances. Since multiple different securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Ordinary Shares reported herein.", "item4_transaction_purpose": "The Reporting Persons purchased the Ordinary Shares reported hereunder for investment purposes, and such purchases were made in the Reporting Persons' ordinary course of business.\n\nAs with their other investments, the Reporting Persons continuously evaluate the Issuer, including, but not limited to, its businesses, operations and prospects. In light of that ongoing evaluation, on June 30, 2026, TCM sent a merger proposal to the Issuer outlining the principal terms on which it would effect a merger between the Issuer and an affiliate of the Reporting Persons (see Exhibit 2). The merger proposal provides that it is subject to limited confirmatory diligence, as well as the execution of a definitive merger agreement. The Reporting Persons intend to engage in discussions with the Issuer and its representatives regarding the merger proposal and to enter into negotiations with the Issuer with respect thereto. There can be no certainty as to whether discussions will occur, or, if they do, the outcome of such discussions.\n\nWhile the Reporting Persons may seek to enter into a confidentiality agreement with the Issuer and intend to pursue the merger proposal, in connection with their investment in the Issuer, the Reporting Persons may, subject to applicable law and regulation, modify their ownership of the Ordinary Shares, including acquiring additional Ordinary Shares or disposing of some or all of the Ordinary Shares beneficially owned by them. Such actions may be based on the Reporting Persons' assessment of the Issuer's operations and prospects, prevailing market conditions or other investment considerations. The Reporting Persons may at any time reconsider and/or change their plans or proposals relating to the foregoing.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1643303/000121465926007982/0001214659-26-007982-index.html" }, { "accession_no": "0001213900-26-073903", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1898416, "issuer_name": "Alvotech", "issuer_cusip": "L01800108", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-06-26", "filed_date": "2026-06-30", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\nThe Ordinary Shares acquired in the PIPE Investment (as defined in Item 4 below) were funded through the proceeds of the Loan (as defined in Item 6 below).", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nOn June 26, 2026, Celtic Lux purchased aggregate of 10,133,333 Ordinary Shares, at a price of $3.75 per share, for an aggregate investment of $38,000,000 (such investment, the \"PIPE Investment\") pursuant to the terms of a subscription agreement (the \"Subscription Agreement\") dated June 16, 2026, by and between Celtic Lux and the Issuer.\n\nIn connection with the PIPE Investment, pursuant to the Subscription Agreement, Celtic Lux was granted registration rights pursuant to which Celtic Lux may, at any time and from time to time, make a written demand for registration under the Securities Act of 1933, as amended, of all or any portion of the shares purchased by it in the PIPE Investment on any available form of registration statement (a \"Demand Registration\"), including by way of an underwritten offering with underwriters selected by Celtic Lux and reasonably acceptable to the Issuer. The Issuer is obligated, using its reasonable best efforts and as expeditiously as possible after receipt of such demand, to prepare and file with the SEC a registration statement covering the resale of such shares and to keep such registration statement effective until all such shares have been disposed of or withdrawn. The Issuer is not obligated to effect more than two (2) Demand Registrations in total. The Issuer has the right to defer any Demand Registration for up to 60 days in total, or 30 consecutive days, in any 12-month period if the Issuer's board of directors determines in good faith that effecting the registration at that time would be materially detrimental to the Issuer and its shareholders. All costs and expenses incurred in connection with a Demand Registration are to be borne by the Issuer. The Issuer also agreed to provide customary indemnification to Celtic Lux in connection with its registration rights.\n\nThe foregoing description of the PIPE Investment is qualified in its entirety by reference to the Subscription Agreement, which is filed as Exhibit 9 to this Amendment.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1898416/000121390026073903/0001213900-26-073903-index.html" }, { "accession_no": "0001193125-26-290623", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1819848, "issuer_name": "Joby Aviation, Inc.", "issuer_cusip": "G65163100", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-29", "filed_date": "2026-06-30", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nOn June 29, 2026, and in furtherance of the goals outlined in the Collaboration Agreement, TMC, Joby Aero, Inc., a Delaware corporation and wholly owned subsidiary of Joby (\"Joby Aero\"), and Joby Toyota Aero Manufacturing Preparation Company, a Delaware corporation (\"JTAMPC\"), entered into a stockholders agreement (the \"Stockholders Agreement\"), pursuant to which Joby Aero and TMC incorporated JTAMPC as a joint venture for the purpose of manufacturing Joby's S4 Series eVTOL aircraft. Substantially simultaneously, TMC agreed to purchase an aggregate of $1.02 million in shares of common stock of JTAMPC, representing 51% ownership in JTAMPC, pursuant to a common stock purchase agreement with JTAMPC and Joby Aero. Pursuant to the Stockholders Agreement, TMC is entitled to designate a majority of the directors of JTAMPC and to certain other stockholder rights set forth therein.\n\nThe Stockholders Agreement provides that entry into the Stockholders Agreement and the incorporation of JTAMPC do not alone satisfy the closing conditions for the second tranche investment by Toyota under the terms of the A&R Stock Purchase Agreement.\n\nThe foregoing summary of the Stockholders Agreement does not purport to be complete and is qualified in its entirety by reference to the Stockholders Agreement, which is filed as an exhibit hereto and incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819848/000119312526290623/0001193125-26-290623-index.html" }, { "accession_no": "0001104659-26-079450", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1127703, "issuer_name": "PROASSURANCE CORPORATION", "issuer_cusip": "74267C106", "securities_class_title": "Common Stock, par value $.01", "date_of_event": "2026-06-26", "filed_date": "2026-06-30", "item3_funds_source": "This Amendment No. 1 (\"Amendment No. 1\") relates to the Statement of Beneficial Ownership on Schedule 13D filed jointly by Magnetar Financial LLC, a Delaware limited liability company (\"Magnetar Financial\"), Magnetar Capital Partners LP, a Delaware limited partnership (\"Magnetar Capital Partners\"), Supernova Management LLC, a Delaware limited liability company (\"Supernova Management\"), and David J. Snyderman (\"Mr. Snyderman\") with the SEC on April 4, 2025, (as amended by this Amendment No. 1, the \"Schedule 13D\"). This Amendment No. 1 is being filed to report that the Reporting Persons are no longer beneficial owners of more than 5% of the Shares. The filing of this Amendment No. 1 represents the final amendment to this Schedule 13D and constitutes an exit filing for the Reporting Persons.\n\nExcept as set forth below, all Items of the Schedule 13D remain unchanged. All capitalized terms not otherwise defined herein shall have the meanings ascribed to such terms in the Schedule 13D.", "item4_transaction_purpose": "Since the filing of the Schedule 13D on April 4, 2025, on June 26, 2026, the Issuer consummated the merger (the \"Merger\") pursuant to which each issued and outstanding Share was cancelled and converted into the right to receive $25.00 in cash, without interest. In connection with the Merger, the Reporting Persons' 2,615,966 Shares, which consisted of 896,690 Shares sold for the benefit of PRA Master Fund; 644,313 Shares sold for the benefit of Systematic Master Fund; 290,659 Shares sold for the benefit of the Relative Value Master Fund and 784,304 Shares sold for the benefit of two Managed Accounts, were cancelled and converted into the right to receive $25.00 in cash, without interest.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1127703/000110465926079450/0001104659-26-079450-index.html" }, { "accession_no": "0001104659-26-079415", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1612940, "issuer_name": "ProQR Therapeutics N.V.", "issuer_cusip": "N71542109", "securities_class_title": "Ordinary Shares, nominal value Euro 0.04 per share", "date_of_event": "2026-06-26", "filed_date": "2026-06-30", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1612940/000110465926079415/0001104659-26-079415-index.html" }, { "accession_no": "0001104659-26-079374", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1849089, "issuer_name": "Lafayette Square USA, Inc.", "issuer_cusip": "000000000", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-26", "filed_date": "2026-06-30", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following information:\n\n\"On December 19, 2025, the Reporting Person purchased 336,927.224 shares of Common Stock from the issuer, at a purchase price of $14.84 per share, for an aggregate purchase price of $5,000,000, following the delivery by the issuer to the reporting person of a drawdown notice pursuant to the Subscription Agreement. The source of funds used by the Reporting Person was funds on deposit at the Reporting Person. This transaction was reported by the Reporting Person on a Form 4 filed with the SEC on December 22, 2025.\n\nOn March 30, 2026, the Reporting Person purchased 338,294.99 shares of Common Stock from the issuer, at a purchase price of $14.78 per share, for an aggregate purchase price of $5,000,000, following the delivery by the issuer to the reporting person of a drawdown notice pursuant to the Subscription Agreement. The source of funds used by the Reporting Person was funds on deposit at the Reporting Person. This transaction was reported by the Reporting Person on a Form 4 filed with the SEC on April 1, 2026.\"", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1849089/000110465926079374/0001104659-26-079374-index.html" }, { "accession_no": "0001104659-26-079336", "submission_type": "SCHEDULE 13D/A", "amendment_no": 66, "issuer_cik": 1415404, "issuer_name": "EchoStar Corp", "issuer_cusip": "278768106", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-06-26", "filed_date": "2026-06-30", "item3_funds_source": "Item 3 is not applicable to the transaction described in this Amendment No. 66.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nDuring the second quarter of each year, Mr. Ergen receives an annuity amount from the 2025\nJune GRAT, assuming that the 2025 June GRAT has not expired. The number of shares of Class B Common Stock to be distributed as an annuity payment is based in part on the price of the Class A Common Stock on the distribution date and therefore cannot be calculated until the date of distribution. In addition to shares of Class B Common Stock, the annuity payments (and their associated timing) may include, and be based upon, amounts generated from the holdings of the 2025 June GRAT including, among other things, stock recapitalizations or dividends paid or payable with respect to the shares of Class B Common Stock held by the 2025 June GRAT. On June 26, 2026, the 2025 June GRAT distributed 2,316,533 shares of Class B Common Stock held by the 2025 June GRAT to Mr. Ergen as an annuity payment. Therefore, the 2025 June GRAT has beneficial ownership of 14,483,467 shares of Class B Common Stock. The 2025 June GRAT is scheduled to expire in accordance with its terms on June 26, 2027.\n.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1415404/000110465926079336/0001104659-26-079336-index.html" }, { "accession_no": "0001104659-26-079298", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1899123, "issuer_name": "BITDEER TECHNOLOGIES GROUP", "issuer_cusip": "G11448100", "securities_class_title": "Class A ordinary shares, par value $0.0000001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-30", "item3_funds_source": null, "item4_transaction_purpose": "Effective on June 12, 2026, Tether Investments transferred 37,729,510 Class A Shares to Tether International, S.A. de C.V. (the \"Transfer\"). The Transfer resulted in no change in the aggregate number of Class A Shares beneficially owned by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1899123/000110465926079298/0001104659-26-079298-index.html" }, { "accession_no": "0000930413-26-002004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 19, "issuer_cik": 1274173, "issuer_name": "JANUS HENDERSON GROUP PLC", "issuer_cusip": "G4474Y214", "securities_class_title": "Ordinary Shares, $1.50 per share par value", "date_of_event": "2026-06-30", "filed_date": "2026-06-30", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\n\nOn June 30, 2026, the transactions contemplated by the Agreement and Plan of Merger, dated December 21, 2025 (as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 24, 2026 and the side letter agreement, dated as of June 16, 2026, the \"Merger Agreement\"), by and among Parent, Merger Sub and the Issuer were consummated. Pursuant to the Merger Agreement, Merger Sub merged with and into the Issuer (the \"Merger\"), and the Issuer continued as the surviving company and converted to a private limited company incorporated under the laws of Jersey and changed its name from \"Janus Henderson Group plc\" to \"Janus Henderson Group Ltd.\". At the effective time of the Merger (the \"Effective Time\"), each ordinary share, par value $1.50 per share, of the Issuer (an \"Ordinary Share\" and collectively, the \"Ordinary Shares\") outstanding immediately prior to the Effective Time (except for Ordinary Shares held by Parent and as otherwise provided in the Merger Agreement) was converted into the right to receive $52.00 per share in cash, without interest (the \"Merger Consideration\").\n\nImmediately prior to the Effective Time, Trian Partners AM Holdco II, Ltd. and certain other funds affiliated with Trian Fund Management, L.P. (\"Trian\") contributed 25,136,205 Ordinary Shares to Jupiter Topco LLC (\"Topco\") in exchange for equity interests of Topco of equivalent value. All other Ordinary Shares beneficially owned by the Reporting Persons were converted into the right to receive the Merger Consideration.\n\nAlso immediately prior to the Effective Time, each member of the Issuer's board of directors, including Brian Baldwin and Josh Frank, each a Partner at Trian, resigned from and ceased serving on the Issuer's board of directors.\n\nAs a result of the Merger, the Ordinary Shares will no longer be listed on The New York Stock Exchange and will be deregistered under Section 12(b) of the Exchange Act. Additionally, as a result of the Merger, the Reporting Persons no longer beneficially own any Ordinary Shares, though each of the Reporting Persons retains an equity interest in the surviving company through its beneficial ownership of equity interests of Topco.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1274173/000093041326002004/0000930413-26-002004-index.html" }, { "accession_no": "0000919574-26-004169", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1829726, "issuer_name": "Triple Flag Precious Metals Corp.", "issuer_cusip": "89679M104", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-06-30", "filed_date": "2026-06-30", "item3_funds_source": "The aggregate purchase price of the Common Shares reported herein is approximately $1,015,457,955.\n\nThe Reporting Person may effect purchases of the Common Shares through margin accounts maintained for the Elliott Funds with prime brokers, which extend margin credit as and when required to open or carry positions in their margin accounts, subject to applicable federal margin regulations, stock exchange rules and such firms' credit policies. Positions in the Common Shares may be held in margin accounts and may be pledged as collateral security for the repayment of debit balances in such accounts. Since other securities may be held in such margin accounts, it may not be possible to determine the amounts, if any, of margin used to purchase the Common Shares.", "item4_transaction_purpose": "The information set forth in Item 6 of the Schedule 13D, including, without limitation, information as to the rights and obligations of the Reporting Person pursuant to the terms of the agreements, instruments and other matters described therein, is hereby incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1829726/000091957426004169/0000919574-26-004169-index.html" }, { "accession_no": "0000912282-26-000883", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1534133, "issuer_name": "CALCIMEDICA, INC.", "issuer_cusip": "38942Q202", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-06-30", "item3_funds_source": "Item 3 is hereby amended supplemented by adding the following at the end of Item 3:\n\nOpen-Market Purchases\n\nSince November 6, 2024, Mr. Roberts and Ms. Leheny have made purchases of Common Stock in open market transactions using their personal funds. Such transactions are described in greater detail in Item 5 below.\n\nSecurities Purchase Agreement\n\nOn June 23,2026, the Issuer entered into a Securities Purchase Agreement underwriting agreement with existing institutional and accredited investors relating to the issuance and sale in a public offering of 18,673,429 Units, each Unit comprised of one share of the Issuer's Common Stock, and one pre-funded warrant to purchase one share of Common Stock. The price in the offering was $0.8033 per Unit. Mr. Roberts and Ms. Leheny purchased 186,729 Units. The offering closed on June 25, 2026. Mr. Roberts and Ms. Leheny each used personal funds to acquire the Units.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1534133/000091228226000883/0000912282-26-000883-index.html" }, { "accession_no": "0000902664-26-002963", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1902733, "issuer_name": "nCino, Inc.", "issuer_cusip": "63947X101", "securities_class_title": "Common Stock, $0.0005 par value", "date_of_event": "2026-06-26", "filed_date": "2026-06-30", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1902733/000090266426002963/0000902664-26-002963-index.html" }, { "accession_no": "0001976454-26-000002", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1927719, "issuer_name": "Freightos Ltd", "issuer_cusip": "G51405101", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-06-29", "filed_date": "2026-06-29", "item3_funds_source": "The Ordinary Shares reported herein were not acquired with borrowed funds. Such shares consist primarily of founder shares acquired in connection with the founding of the Issuer, together with shares received as compensation or incentive awards during the Reporting Person's service to the Issuer as its Chief Executive Officer and director and a small number of shares acquired in the open market. No funds or other consideration were borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the securities.", "item4_transaction_purpose": "The Reporting Person is the founder of the Issuer and served as its Chief Executive Officer from 2012 until January 2026 and as a member of the Issuer's board of directors (the \"Board\") until February 2026. The Ordinary Shares reported herein consist primarily of founder shares, together with shares received as compensation or incentive awards during the Reporting Person's service to the Issuer. The Reporting Person holds his Ordinary Shares for investment purposes and continuously evaluates his investment in the Issuer and matters affecting shareholder value.\n\nThe Reporting Person believes that the strategic direction and execution being pursued by the Board, particularly since the first quarter of 2026, are impairing the Issuer's performance and short-term and long-term shareholder value, and that substantial value can be created for all shareholders by returning the Issuer to a platform-first, high-growth strategy and by making changes to the composition and leadership of the Board, including the role of chairman.\n\nThe Reporting Person has communicated his views to the Board, and intends to continue to engage with the Board, management, other shareholders and/or public communication, to advocate for such a strategy and such changes.\n\nThe Reporting Person intends to propose, submit, support or oppose one or more shareholder proposals or resolutions in connection with the Issuer's annual general meeting of shareholders, relating to Board composition, leadership and strategy, possibly including the nomination or recommendation of candidates for election to the Board. Depending on the circumstances, the Reporting Person may pursue the matters described in this Item 4 through the solicitation of proxies or written consents, litigation or other actions, in each case subject to applicable law and the Issuer's governing documents.\n\nThe Reporting Person has engaged in, and may from time to time engage in, discussions with third parties, including potential strategic or financial acquirers, investors, advisers and other counterparties, regarding the Issuer, its business, strategy, governance, strategic alternatives and other matters, including the possible interest of any such persons in a transaction involving acquiring the Issuer or its securities, businesses or assets.\n\nThe Reporting Person intends to review his investment in the Issuer on a continuing basis. Depending on various factors, including the Issuer's business, financial condition, results of operations, prospects, strategy and governance, the market price of the Ordinary Shares, market conditions, the Reporting Person's personal financial situation and other factors he deems relevant, the Reporting Person may from time to time acquire additional securities of the Issuer, dispose of some or all of his securities of the Issuer, or enter into other transactions relating to such securities, including through derivative, hedging, securities lending, pledging or other arrangements, in each case in the open market, in privately negotiated transactions or otherwise.\n\nThe Reporting Person may, from time to time, formulate plans or proposals, and may take or cause to be taken one or more actions, that relate to or would result in any of the matters or transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as set forth in this Item 4, the Reporting Person has no present plan or proposal that relates to or would result in any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, and has not entered into any agreement, arrangement or understanding with any other person with respect to any securities of the Issuer or any of the matters described in this Item 4. The Reporting Person reserves the right, subject to applicable law and the Issuer's governing documents, to change his intentions or plans, to develop or modify plans or proposals, to engage in additional discussions, and to take any and all actions with respect to the Issuer or its securities that he may deem appropriate.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1927719/000197645426000002/0001976454-26-000002-index.html" }, { "accession_no": "0001754159-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1881487, "issuer_name": "ProFrac Holding Corp.", "issuer_cusip": "74319N100", "securities_class_title": "Class A common stock, par value $0.01 per share", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": "The source of funds for the purchases of the shares of Class A Common Stock set forth on Schedule I by THRC Holding was working capital funds. Such shares were purchased in an offering undertaken by the Issuer.\n\nThe source of funds for the purchase of the shares of Class A Common Stock set forth on Schedule I by Farris Wilks was persona funds. Such shares were purchased in an offering undertaken by the Issuer.\n\nSee Item 4 of this Schedule 13D, which information is incorporated herein by reference.", "item4_transaction_purpose": "The shares purchased as shown in Schedule I attached to this filing were acquired for general investment purposes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1881487/000175415926000002/0001754159-26-000002-index.html" }, { "accession_no": "0001654954-26-006261", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1720592, "issuer_name": "Repay Holdings Corp", "issuer_cusip": "76029L100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-26", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": "On June 26, 2026 the Reporting Persons delivered a non-binding proposal (the \"Proposal Letter\") to the Board of Directors of the Issuer to offer to acquire all of the outstanding shares of the Issuer not already owned by the Reporting Persons at a price of $5.25 per share, payable in cash (the \"Proposal\"). \r \r The foregoing description of the Proposal Letter does not purport to be complete and is qualified in its entirety by reference to the full text of the Proposal Letter, which is filed as Exhibit 99.6 hereto and is incorporated by reference into this Item 4. \r \r There can be no assurance that any discussions that may occur between the Reporting Persons and the Issuer with respect to the Proposal will result in the entry into a definitive agreement concerning a transaction or, if such a definitive agreement is reached, will result in the consummation of a transaction provided for in such definitive agreement. Discussions concerning a transaction may be terminated at any time and without prior notice. Entry into a definitive agreement concerning a transaction and the consummation of any such transaction will be subject to a number of contingencies that are beyond the control of the Reporting Persons, including the approval of the Board of Directors of the Issuer, and the satisfaction of any conditions to the consummation of a transaction set forth in any such definitive agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1720592/000165495426006261/0001654954-26-006261-index.html" }, { "accession_no": "0001548312-26-000039", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1210708, "issuer_name": "Star Equity Holdings, Inc.", "issuer_cusip": "443787205", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 1,149,289 Shares beneficially owned by Mr. Eberwein is approximately $22,560,917, excluding brokerage commissions. In addition to the 1,149,289 Shares, Mr. Eberwein owns 765,077 shares of the Issuer's 10% Series A Cumulative Perpetual Preferred Stock.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn June 25, 2026 Mr. Eberwein (the \"Seller\") entered into a Rule 10b5-1 of the Securities Exchange Act of 1934 (\"Exchange Act\") Sales Trading Plan (\"10b5-1 Sales Plan\") with Ladenburg Thalmann & Co. (\"Broker\") for the purpose of establishing a trading plan to effect sales of shares of Series A Cumulative Perpetual Preferred Stock, par value $0.001 per share, (\"Preferred Stock\") of the Issuer in compliance with all applicable laws, including, without limitation, Section 10(b) of the Exchange Act and the rules and regulations promulgated thereunder, including, but not limited to, Rule 10b5-1. The Broker is authorized to begin selling Preferred Stock pursuant to the 10b5-1 Sales Plan on October 1, 2026. The 10b5-1 Sales Plan expires on October 1, 2028, unless terminated earlier under certain conditions. There can be no assurance as to how many preferred shares, if any, will be sold pursuant to the 10b5-1 Sales Plan or at what price any such shares of Preferred Stock will be sold. The Seller may in the future modify, amend, suspend, or terminate the 10b5-1 Sales Plan in its sole discretion, and the Seller does not undertake any obligation to disclose any such modification, amendment, suspension, or termination. Notwithstanding, the Broker shall not sell Preferred Stock under the 10b5-1 Sales Plan, while the Broker is selling Preferred Stock as sales agent for the Issuer's ATM offering program. A copy of the 10b5-1 Sales Plan is attached hereto as Exhibit 99.2 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1210708/000154831226000039/0001548312-26-000039-index.html" }, { "accession_no": "0001539497-26-001890", "submission_type": "SCHEDULE 13D/A", "amendment_no": 85, "issuer_cik": 813762, "issuer_name": "Icahn Enterprises L.P.", "issuer_cusip": "451100101", "securities_class_title": "Depositary Units Representing Limited Partner Interests", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/813762/000153949726001890/0001539497-26-001890-index.html" }, { "accession_no": "0001398344-26-011376", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1574085, "issuer_name": "Braemar Hotels & Resorts Inc.", "issuer_cusip": "10482B101", "securities_class_title": "Common Stock", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": "On June 26, 2026, the Reporting Persons filed a Verified Petition for Rule 202 Discovery to Investigate Potential Claims pursuant to Texas Rule of Civil Procedure 202 in the District Court of Dallas County, Texas (the \"Verified Petition\"). The Verified Petition seeks testimony from witnesses concerning potential wrongdoing at the Issuer, including events and circumstances previously publicly criticized by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574085/000139834426011376/0001398344-26-011376-index.html" }, { "accession_no": "0001213900-26-073318", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1681682, "issuer_name": "ENDRA Life Sciences Inc.", "issuer_cusip": "29273B401", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": "The Reporting Person purchased an aggregate of 70,824 shares of Common Stock from the market or in public or private offerings from 2020 to October 2025 using his personal funds. All other shares of Common Stock and derivative securities described in Item 5 below have been issued to the Reporting Person in connection with his services to the Issuer as a director.", "item4_transaction_purpose": "On June 25, 2026, the Issuer entered into an Agreement and Plan of Merger (the \"Merger Agreement\"), by and among ASP Isotopes Inc., a Delaware corporation, Noble Africa LLC, a Delaware limited liability company and a direct, wholly-owned subsidiary of ASP (\"Noble\"), Renergen Limited, a company incorporated under the laws of the Republic of South Africa and a direct, wholly-owned subsidiary of ASP , the Issuer, and Kruger Merger Sub LLC, a Delaware limited liability company and a direct, wholly-owned subsidiary of the Issuer (\"Merger Sub\"), pursuant to which, among other matters, and subject to the satisfaction or waiver of the conditions set forth in the Merger Agreement, Merger Sub will merge with and into Noble (the \"Merger\"), with Noble surviving the Merger as a direct wholly-owned subsidiary of the Issuer.\n\nAlso on June 25, 2026, in connection with the Merger Agreement, the Issuer, Noble and the Reporting Person entered into a voting agreement (the \"Voting Agreement\"). Pursuant to the Voting Agreement, the Reporting Person has agreed, among other things, subject to the terms and conditions thereof, to: (i) vote their beneficially owned securities of the Issuer in favor of the approval of (A) the issuance of the shares of Class A Common Stock (as defined below) and Class B Common Stock (as defined below) of the Issuer as consideration in the Merger, (B) the implementation of a reverse stock split for the purpose of maintaining compliance with Nasdaq listing standards, if necessary, (C) the adoption of a new equity incentive plan, and (D) an amended and restated certificate of incorporation (the \"A&R Certificate of Incorporation\"), which will provide for, among other things, the Issuer being renamed \"Noble Africa Inc.\" and the establishment of two classes of common stock, consisting of Class A common stock, par value $0.0001 per share (\"Class A Common Stock\"), and Class B common stock, par value $0.0001 per share (\"Class B Common Stock\") (collectively, the \"Stockholder Matters\"), at a special meeting called for the purpose of approving the Stockholder Matters (the \"Special Meeting\"); (ii) vote against any agreement, transaction or other matter that is intended to, or would reasonably be expected to impede, interfere with, delay, postpone or materially and adversely affect the Stockholder Matters; (iii) appear in person or by proxy at the Special Meeting for quorum purposes; and (iv) grant the Issuer an irrevocable proxy to vote the Reporting Person's shares of Common Stock covered by the Voting Agreement at the Special Meeting as required, if the Reporting Person fails to do so.\n\nThe foregoing description of the Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the form of the Voting Agreement, which is filed as an exhibit to this Amendment No. 1, and is incorporated by reference herein.\n\nThis Amendment No. 1 amends the Schedule 13D to report the Reporting Person's beneficial ownership of the shares of Common Stock as of the date hereof. The Reporting Person is filing this Amendment No. 1, pursuant to Rule 13d-1(e) under the Act, solely as a result of the entry into the Voting Agreement. As such, the Reporting Person currently is subject to a \"cooling-off\" period pursuant to Rule 13d-1(e)(2) under the Act, which ends at the expiration of the tenth day from the date of the filing of this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1681682/000121390026073318/0001213900-26-073318-index.html" }, { "accession_no": "0001213900-26-073244", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1009759, "issuer_name": "Capstone Energy+, Inc.", "issuer_cusip": "14067D607", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1009759/000121390026073244/0001213900-26-073244-index.html" }, { "accession_no": "0001213900-26-073125", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2027722, "issuer_name": "Grande Group Ltd/HK", "issuer_cusip": "G4R53M103", "securities_class_title": "Class A Ordinary Shares, par value US$ 0.00001", "date_of_event": "2026-06-17", "filed_date": "2026-06-29", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and supplemented as follows:\n\nThe Reporting Persons are pre-IPO shareholders, except as noted below. Grande Holding Limited used working capital. Yujie Chen and Tak Kai Raymond Tam used personal funds.\n\nOn June 17, 2026, Grande Holding Limited issued 10 shares to Tianhang Zhao for a cash consideration of US$1.10 million, using personal funds. Following such issuance, the total issued share capital of Grande Holding Limited consists of 110 shares, of which 75 shares are held by Blazing Success Holdings Limited, 25 shares are held by Ocean Empire Group Limited, and 10 shares are held by Tianhang Zhao. The shares were acquired directly from Grande Holding Limited through a subscription and issuance of newly issued shares, rather than through a purchase from the existing shareholders. The consideration for the shares was funded from Ms. Zhao's personal funds.", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented as follows:\n\nMr. Tak Kai Raymond Tam and Ms. Yujie Chen are pre-IPO shareholder of the issuer, who acquired the interest with the intent to exercise control over the Issuer.\n\nOn June 17, 2026 Grande Holding Limited issued 10 shares to Ms. Tianhang Zhao and appointed her as the director of Grande Holding Limited. Previously, there were 100 issued shares (75 held by Blazing Success Holdings Limited and 25 held by Ocean Empire Group Limited). Following the issuance, there are 110 total issued shares: Blazing Success Holdings Limited holds 75 shares (68.18%), Ocean Empire Group Limited holds 25 shares (22.73%), and Tianhang Zhao holds 10 shares (9.09%).\n\nMs. Zhao acquired her shares in Grande Holding Limited is for investment purposes and to participate in the governance and management of Grande Holding Limited. Ms. Zhao does not independently have any plans or proposals to acquire control of the Issuer.\n\nThe Reporting Persons intend to continue actively participating in the Issuer's management and strategic direction.\n\nExcept as set forth herein, the Reporting Persons do not have any present plans or proposals which relate to or would result in any of the transactions described in paragraphs (a) through (j) of this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2027722/000121390026073125/0001213900-26-073125-index.html" }, { "accession_no": "0001213900-26-073104", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2029138, "issuer_name": "SAGTEC GLOBAL LIMITED", "issuer_cusip": "G7779D108", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-06-17", "filed_date": "2026-06-29", "item3_funds_source": "PF and OO. Ng Chen Lok acquired 1,500,000 Class A Ordinary Shares beneficially owned by him in exchange for capital contributions to the issuer, as well as 415,000 Class A Ordinary Shares issued to him as supplemental equity compensation for his continued service to the Company during the 2026 financial year.", "item4_transaction_purpose": "The Reporting Person has acquired an additional 1,500,000 Class A Ordinary Shares pursuant to a Private Subscription Agreement with the Company on June 17, 2026, for the purchase of 1,500,000 Class A Ordinary Shares at a a purchase price of US$1.04 per share, for an aggregate subscription amount of US$1,560,000. The Reporting Person was also awarded an additional 415,000 Class A Ordinary Shares as supplemental equity compensation on May 15, 2026, for his continued service to the Company during the 2026 financial year.\n\nThe Reporting Person serves as Chief Executive Officer, Chairman of the Board and Director of the Issuer and, as a result, may be asked to vote on or discuss matters related to items (a) through (j) of this Item 4 of Schedule 13D with representatives of the Issuer and others. Except as may be set forth herein, the Reporting Person has no current intention, plan or proposal with respect to items (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2029138/000121390026073104/0001213900-26-073104-index.html" }, { "accession_no": "0001213900-26-072848", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1040130, "issuer_name": "PETMED EXPRESS INC", "issuer_cusip": "716382106", "securities_class_title": "Common Stock, $.001 Par Value", "date_of_event": "2026-06-29", "filed_date": "2026-06-29", "item3_funds_source": "Item 3 of the of the Prior Statement is not being amended by this Amendment No. 2.", "item4_transaction_purpose": "Item 4 of the Prior Statement is hereby amended and supplemented to add the following:\n\nOn June 29, 2026, SilverCape sent a (the \"Letter\") to the Issuer's Chief Executive Officer and board of directors providing a revised non-binding proposal (as revised, the \"Proposal\") to take the Issuer private by acquiring 100% of the Issuer's outstanding Common Stock at a price of $3.00 per share of Common Stock in cash (the \"Potential Transaction\"). The Letter was also publicly disclosed by press release (the \"Press Release\") on June 29, 2026. The Letter and Press Release also outline and summarize SilverCape's rationale for the Proposal as well as various reasons why SilverCape believes the Issuer's board of directors should engage with SilverCape on the Proposal and Potential Transaction.\n\nThe Proposal for the Potential Transaction was (and remains) non-binding and is subject in all respects to, among other things: (a) the Reporting Persons' further due diligence and (b) the execution of a mutually acceptable definitive agreement with terms and conditions customary for transactions of the type contemplated by the Proposal (the \"Definitive Agreement\"), including, without limitation, that the Issuer and its board of directors take all actions necessary to render inapplicable the Issuer's shareholder rights plan or other similar antitakeover protections that are or could become applicable in connection with the transactions contemplated by the Letter and the Press Release, the Potential Transaction or the Definitive Agreement.\n\nThe foregoing description of the Letter and Press Release is not intended to be complete and is qualified in its entirety by reference to the full text of the Letter and the Press Release, which are filed as Exhibit 99.2 to this Amendment No. 2 and are incorporated herein by reference.\n\nThere can be no assurance that a Definitive Agreement with respect to the Potential Transaction will be executed or, if executed, whether the Potential Transaction will be consummated. No legally binding obligation with respect to the Proposal or the Potential Transaction will arise until such time, if ever, as a binding Definitive Agreement has been executed by the relevant parties. There is also no certainty as to whether, or when, the Issuer may respond to the Letter or the matters discussed in the Press Release, or as to the time table for execution of any Definitive Agreement. The Reporting Persons reserves the right to modify or withdraw the Proposal at any time and to cease discussions and negotiations at any time.\n\nNeither the Letter, the Press Release nor this Schedule 13D is meant to be an offer to purchase or a solicitation of any offer to sell shares of the Issuer's Common Stock or other securities.\n\nThe Reporting Persons intend to engage in discussions with the Issuer regarding the Potential Transaction. The Reporting Persons may change the terms of the Proposal or the Potential Transaction, determine to accelerate or terminate discussions with the Issuer with respect to the Potential Transaction, withdraw the Proposal described in the Letter and Press Release or any other proposal with respect to the Potential Transaction, take any action to facilitate or increase the likelihood of consummation of the Potential Transaction, or change their intentions with respect to any such matters, in each case at any time and without prior notice. The Reporting Persons reserve the right to, directly or indirectly, take such additional steps as they may deem appropriate to further the Potential Transaction or otherwise to support their investment in the Issuer, including, without limitation: (a) engaging in discussions with other shareholders, advisors and other relevant parties; and (b) entering into confidentiality arrangements, and other agreements, arrangements and understandings in connection with the Potential Transaction.\n\nThe Potential Transaction may result in one or more of the actions specified in clauses (a) to (j) of Item 4 of Schedule 13D, including, without limitation, the acquisition of additional securities of the Issuer, a merger or other extraordinary transaction involving the Issuer, the delisting of the Common Stock from the Nasdaq and the Common Stock becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended.\n\nThe Reporting Persons intend to review their existing investment in the Issuer on a continuing basis. Depending on the Reporting Persons' evaluation of various factors, including, without limitation, the outcome of any discussions referenced above, the Company's financial position, results and strategic direction, actions taken by the Company's management and the Issuer's board of directors, price levels of the Common Stock and other investment opportunities available to the Reporting Persons, compliance with applicable laws, general market and economic conditions, ongoing evaluation of the Issuer's business, financial condition, operations and prospects, the relative attractiveness of alternative business and investment opportunities, the Reporting Persons' need for liquidity, and other future developments, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, acquiring shares of Common Stock and/or other equity or other securities of the Company or disposing of some or all of the securities beneficially owned by the Reporting Persons in public market or privately negotiated transactions, formulating other plans or proposals regarding the Issuer or its securities to the extent deemed advisable by the Reporting Persons, and/or otherwise changing their intention with respect to any and all matters referred to in Item 4 of this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1040130/000121390026072848/0001213900-26-072848-index.html" }, { "accession_no": "0001193125-26-288406", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2123613, "issuer_name": "Kardigan, Inc.", "issuer_cusip": "48563V117", "securities_class_title": "Common Stock, $0.00001 par value per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-29", "item3_funds_source": "On June 6, 2024, AVF XIII purchased 1,202,764 shares of Series A Preferred Stock of Kardigan, Inc. (the \"Issuer\") at a purchase price of $12.1941 per share. The number of shares reflects a 1 for 1.5928 forward stock split (the \"Stock Split\") effective immediately prior to the closing of the initial public offering of the Issuer (the \"IPO\"). Each share of Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock, par value $0.00001 per share (the \"Common Stock\") at the closing of the IPO.\n\nOn July 22, 2024, AVF XIII purchased 1,530,791 shares of Series A Preferred Stock of the Issuer at a purchase price of $12.1941 per share. The number of shares reflects the Stock Split. Each share of Series A Preferred Stock automatically converted into one share of Common Stock at the closing of the IPO.\n\nOn February 14, 2025, AVF XIII purchased 2,733,557 shares of Series A Preferred Stock of the Issuer at a purchase price of $12.1941 per share. The number of shares reflects the Stock Split. Each share of Series A Preferred Stock automatically converted into one share of Common Stock at the closing of the IPO.\n\nOn August 27, 2025, AVF XIII purchased 2,733,557 shares of Series A Preferred Stock of the Issuer at a purchase price of $12.1941 per share. The number of shares reflects the Stock Split. Each share of Series A Preferred Stock automatically converted into one share of Common Stock at the closing of the IPO.\n\nOn September 5, 2025, AVF XIII purchased 1,917,731 shares of Series B Preferred Stock and 1,809,846 shares of Series B-1 Preferred Stock of the Issuer at a purchase price of $13.4135 per share. AVF XIII also received a Common Stock Warrant for 876,040 shares at an exercise price of $13.4135 per share (the \"Warrants\"). The number of shares reflects the Stock Split. Each share of Series B Preferred Stock and Series B-1 Preferred Stock automatically converted into one share of Common Stock at the closing of the IPO.\n\nOn October 15, 2025, AVF XIII purchased 1,863,789 shares of Series B-1 Preferred Stock of the Issuer at a purchase price of $13.4135 per share. The number of shares reflects the Stock Split. Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock at the closing of the IPO.\n\nOn June 22, 2026, AVF XIII purchased 1,250,000 shares of Common Stock at a purchase price of $16.00 per share from the underwriters of the IPO.\n\nThe source of funds for each of the purchases described in this Item 3 was the working capital of AVF XIII.\n\nNo part of the purchase price paid by AVF XIII was represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the shares of Common Stock described above. The total amount paid for the securities purchased in the above-listed transactions is as follows:\n\nAVF XIII: $194,999,973.81", "item4_transaction_purpose": "AVF XIII and the other Reporting Persons acquired the Common Stock for investment purposes. Depending on market conditions, the continuing evaluation of the business and prospects of the Issuer and other factors, AVF XIII and other Reporting Persons may dispose of or acquire additional shares of Common Stock of the Issuer. Except as set forth above, none of the Reporting Persons has any present plans which relate to or would result in the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2123613/000119312526288406/0001193125-26-288406-index.html" }, { "accession_no": "0001140361-26-026794", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1820872, "issuer_name": "Global Business Travel Group, Inc.", "issuer_cusip": "37890B100", "securities_class_title": "Class A Common Stock, par value $ 0.0001 per share", "date_of_event": "2026-06-27", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented and amended to add the following information:\n\nRollover Agreement\n\nQIA Retail and Topco have entered into the Rollover Agreement in connection with, and in anticipation of the consummation of, the Merger. On the terms and subject to the conditions set forth in the Rollover Agreement, QIA Retail has agreed, immediately prior to the effective time of the Merger, to contribute 34,210,526 (or such lower number of shares equal to the value of the Exchange Units divided by $9.50 per share) of its shares of Class A Common Stock (the \"Rollover Shares\"), having an aggregate value equal to $325 million (or such lower amount solely to the extent required to achieve a 9.9% common equity ownership in Topco on a fully diluted basis), to Topco in exchange for newly issued limited liability company interests in Topco having equivalent aggregate value (the \"Exchange Units\", such transaction, the \"Rollover\"). The Rollover Shares contributed to Topco by QIA Retail will be distributed to Parent immediately following receipt thereof, and as a result of the Merger, will be cancelled and extinguished without any conversion thereof or consideration paid therefor. Following the closing of the Rollover, QIA Retail will own no more than 9.9% of the common equity interests in Topco. QIA Retail will receive standard minority economic protections commensurate with its level of investment, with no board seats (and only one non-voting board observer seat), in connection with the Rollover.\n\nPursuant to the Rollover Agreement, QIA Retail may, upon written notice to Topco at least 10 Business Days prior to anticipated closing date of the Merger, distribute all or a portion of the Rollover Shares to any of its equityholders prior to closing of the Merger, provided that (x) such equityholder is under common control with QIA Retail, (y) such equityholder has executed a joinder to the Rollover Agreement, and (z) such distribution would not (A) impede or delay the obtaining of any governmental clearances or consents, or the expiration or termination of any applicable waiting period in each case required in connection with the consummation of the Merger or that are otherwise material and reasonably necessary to consummate the transactions contemplated by the Merger Agreement (the \"Transactions\") or the Rollover (collectively, \"Transaction Approvals\") beyond the time that the Merger was expected to occur, (B) materially increase the risk of a governmental order prohibiting the Transactions or the Rollover, (C) require additional governmental clearances or consents with respect to the Transactions or the Rollover, or (D) impose additional liability on Topco or its affiliates.\n\nThe Rollover is conditioned on, among other things, the contemporaneous consummation of the Merger in accordance with the terms of the Merger Agreement. QIA Retail's prior written consent is required for any amendment to the Merger Agreement in a manner that would increase the cash consideration of $9.50 per share of Class A Common Stock payable in connection with the Merger (the \"Per Share Price\") or change the form of the Per Share Price (the \"Price Change\"). If QIA Retail does not approve such amendment or waive its consent right, the Rollover Agreement will be terminated automatically.\n\nThe Rollover Agreement will terminate automatically upon the earliest of (i) mutual written consent of Topco and QIA Retail, (ii) valid termination of the Merger Agreement, provided that the transactions contemplated thereby have not been consummated, (iii) upon written notice from Topco to QIA Retail, following reasonable good faith consultation with QIA Retail, of the reasonably likely failure to obtain any Transaction Approvals prior to the earlier of (A) the Termination Date (as defined in and as it may be extended pursuant to the Merger Agreement) or (B) consummation of the Merger, or (iv) QIA Retail's failure to approve the Price Change or waive its consent right with respect thereto.\n\nThe foregoing description of the Rollover Agreement and the transactions contemplated thereby does not purport to be complete and is subject to and qualified in its entirety by reference to the Rollover Agreement, a copy of which is filed as Exhibit 1 to this Amendment and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1820872/000114036126026794/0001140361-26-026794-index.html" }, { "accession_no": "0001104659-26-078972", "submission_type": "SCHEDULE 13D/A", "amendment_no": 29, "issuer_cik": 912958, "issuer_name": "MILLICOM INTERNATIONAL CELLULAR SA", "issuer_cusip": "L6388F110", "securities_class_title": "Common Shares", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nFinancing Upsize\nOn June 25, 2026, Atlas Investissement entered into:\n (i) four separate amendment and restatement agreements (each an \"Second Amendment Agreement\" and the resulting transactions thereunder the \"Amended Transactions\") with the four unaffiliated third party financial institutions who were the counterparties to the original secured equity financing transaction described in Amendment No. 24 to the Schedule 13D, as amended and described in Amendment No. 27 to the Schedule 13D (the \"Original Equity Financing Transactions\"); and\n (ii) two separate master agreements (each, an \"Additional Master Agreement\") together with related confirmations (such resulting transactions thereunder the \"Additional Transactions\") with two unaffiliated third party financial institutions, pursuant to which Atlas Investissement entered into transactions consisting each of prepaid forwards and equity swaps that together constitute a secured equity financing transaction based on the value of Common Shares owned by Atlas Investissement (and including margin call mechanisms), on substantially similar terms as the Amended Transactions referred to in the paragraph above.\n\nPursuant to such Second Amendment Agreements together with the Additional Master Agreements, the maximum amount available to Atlas Investissement under the Amended Transactions and the Additional Transactions was further increased by an aggregate of approximately USD 360,758,674 compared to the position resulting from the Original Equity Financing Transactions as described in Amendment No. 27 to the Schedule 13D, and made available to Atlas Investissement on June 26, 2026 (the \"Second Upsize Transactions\" and, further to the above taken together, the \"Equity Financing Transactions\"). Accordingly, the corresponding documentation relating to each such outstanding Original Equity Financing Transaction as described in Amendment No. 27 to the Schedule 13D was amended for the purposes of implementing the Second Upsize Transactions, such documentation otherwise remaining on substantially the same terms as that filed in Amendment No. 27 to the Schedule 13D.\n\nThe purpose of the amounts to be drawn relating to such Second Upsize Transactions is limited to: (i) pursuant to the transactions under each Second Amendment Agreement only, the payment (pursuant to each Second Amendment Agreement) of the amounts due as a result of the early unwind of the original transactions, (ii) the payment of amounts due in connection with the settlement of all amounts due under the original Equity Derivative Transaction (as such term is defined in Amendment No. 26 to the Schedule 13D, the \"Original Equity Derivative Transaction\") and the New Equity Derivative Transaction (as such term is defined in Amendment No. 27 to the Schedule 13D), (iii) the payment of any amounts due by Atlas Investissement either (a) in connection with any form of market purchases of Common Shares or (b) in connection with the settlement of any physically settled equity swap transaction(s) having the Common Share as underlying instrument, subject to certain further conditions set out in the corresponding documentation, and (iv) and the payment of related transaction costs and expenses. The security interests relating to such Second Upsize Transactions are substantially similar to those granted under the Original Equity Financing Transactions and accordingly include pledges over the Common Shares held by Atlas Investissement from time to time.\n\nFor the avoidance of doubt, the implementation of the above-mentioned Second Upsize Transactions does not require the purchase of any Common Shares by either Atlas Investissement or its counterparties.\n\nThe foregoing description of the transactions is qualified in its entirety by reference to the terms of each of the amended master agreements, master agreements, prepaid forwards confirmations and equity swaps confirmations, each of which is filed as exhibit to this Amendment No. 29 and incorporated herein by reference.\n\nPhysical Settlement of Equity Derivative Transactions\nOn June 29, 2026, Atlas Investissement physically settled the remaining balance of the Original Equity Derivative Transaction and the New Equity Derivative Transaction. Accordingly, in connection with such transactions as amended from time to time, Atlas Investissement has acquired a total number of 6,512,226 Common Shares for an aggregate purchase price of approximately USD 522,390,837 (excluding commissions and interest). The aggregate amounts reflect a previous increase to the maximum equity notional amount under these equity derivative transactions. The purchase was funded by proceeds drawn under the New Equity Financing Transactions (as such term is defined in Amendment No. 27 to the Schedule 13D) and the Second Upsize Transactions.\n\nJune Equity Derivative Transaction\nThe June Equity Derivative Transaction (as defined in Item 4 below), is expected to be funded either with the proceeds to be drawn further to a future amendment with a view to upsizing the equity financing transaction with unaffiliated third party financial institutions, as disclosed in this Amendment No. 29 to the Schedule 13D, or by funds borrowed from one of the affiliates of Atlas Investissement.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe information set forth in Item 3 of this Amendment No. 29 is incorporated herein by reference.\n\nOn June 29, 2026, Atlas Investissement entered into a confirmation relating to an equity derivative transaction (the \"June Equity Derivative Transaction\" and the documentation relating thereto the \"Equity Derivative Transaction Agreements\") with an unaffiliated third party financial institution (the \"Bank\"), pursuant to which Atlas Investissement expects to purchase up to 6,000,000 Common Shares on or before September 29, 2026. The actual timing and the number of Common Shares under such transaction will be determined based on the hedging position of the Bank in accordance with certain parameters of the Equity Derivative Transaction Agreements. Under the terms of the Equity Derivative Transaction Agreements, absent any extraordinary event, Atlas Investissement will be obligated to pay the Bank in cash an amount defined under such agreements for the acquisition of a number of Common Shares determined in accordance with the terms of such agreements, in consideration of which the Bank will be obligated, at each relevant settlement date in accordance with the terms of such agreements, to deliver such number of such Common Shares. Cash dividends (relating to the Common Shares not having yet been delivered to Atlas Investissement under the Equity Derivative Transaction Agreements) paid during the term thereof will give rise to a payment by the Bank to Atlas Investissement for an amount determined (taking into account all relevant withholding taxes) in accordance with the Equity Derivative Transaction Agreements. All balances will be exclusively physically settled, absent any extraordinary event, at the scheduled settlement dates of the Equity Derivative Transaction Agreements, although Atlas Investissement has the right to request an earlier settlement date for a physical settlement relating to the entirety of the Bank's hedging position at the relevant time. The Equity Derivative Transaction Agreements provide that Atlas Investissement does not have any direct or indirect voting, investment or dispositive control over any of the Common Shares held by the Bank corresponding to its hedging position until a settlement and delivery of such shares to Atlas Investissement and that the Bank will not notify or consult with Atlas Investissement regarding any voting rights with respect to the Common Shares that relate to its hedging position.\n\nThe foregoing description of the June Equity Derivative Transaction is qualified in its entirety by reference to the terms of the Confirmation relating to the June Equity Derivative Transaction, a copy of which is filed as exhibit to this Amendment No. 29 and incorporated herein by reference.\n\nSeparately from the above, on June 26, 2026, Atlas Investissement has irrevocably elected cash settlement for the three European-style call spread option transactions contemplated under each of the respective Letter Agreements on Share Option Transaction (as defined and described in Amendment No. 21 to the Schedule 13D).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/912958/000110465926078972/0001104659-26-078972-index.html" }, { "accession_no": "0001104659-26-078686", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2080073, "issuer_name": "VERSAMET ROYALTIES CORPORATION", "issuer_cusip": "92528V200", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to add the following:\n\nEffective on June 25, 2026, Tether Investments transferred 8,870,456 Common Shares to Tether International, S.A. de C.V. (the \"Transfer\"). The Transfer resulted in no change in the aggregate number of Common Shares beneficially owned by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2080073/000110465926078686/0001104659-26-078686-index.html" }, { "accession_no": "0001104659-26-078652", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1367859, "issuer_name": "Citizens Community Bancorp Inc.", "issuer_cusip": "174903104", "securities_class_title": "Common Stock", "date_of_event": "2026-06-26", "filed_date": "2026-06-29", "item3_funds_source": "Item 3 of the Statement is hereby amended and restated in its entirety as follows:\n\nRow 4 of each Reporting Person's cover page to this Amendment No. 1 is incorporated herein by reference.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1367859/000110465926078652/0001104659-26-078652-index.html" }, { "accession_no": "0001062993-26-003415", "submission_type": "SCHEDULE 13D/A", "amendment_no": 35, "issuer_cik": 1864843, "issuer_name": "BlackRock ESG Capital Allocation Term Trust", "issuer_cusip": "09262F100", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $266,548,023 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1864843/000106299326003415/0001062993-26-003415-index.html" }, { "accession_no": "0001062993-26-003413", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 40417, "issuer_name": "GENERAL AMERICAN INVESTORS COMPANY, INC.", "issuer_cusip": "368802104", "securities_class_title": "Common Shares, $1.00 par value", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $92,509,089 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/40417/000106299326003413/0001062993-26-003413-index.html" }, { "accession_no": "0001062993-26-003411", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1855066, "issuer_name": "NYLI CBRE Global Infrastructure Megatrends Term Fund", "issuer_cusip": "56064Q107", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $45,625,763 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1855066/000106299326003411/0001062993-26-003411-index.html" }, { "accession_no": "0000950157-26-000772", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1549107, "issuer_name": "Manchester United plc", "issuer_cusip": "G5784H106", "securities_class_title": "Class A Ordinary Shares, Par Value $0.0005 Per Share", "date_of_event": "2026-06-23", "filed_date": "2026-06-29", "item3_funds_source": "The information set forth in each of (i) Section 10 - \"Source and Amount of Funds\" of the Offer to Purchase dated January 17, 2024 (the \"Offer to Purchase\"), filed by James A. Ratcliffe and Trawlers on the Tender Offer Statement on Schedule TO with the SEC on January 17, 2024 (the \"Schedule TO\") and included herein as Exhibit D and (ii) the Introductory Note to Amendment No. 1 included herein as Exhibit C is incorporated by reference herein.", "item4_transaction_purpose": "The information set forth in each of (i) Item 4 of the Original Schedule 13D included herein as Exhibit B and (ii) Item 4 of Amendment No. 1 included herein as Exhibit C is incorporated by reference herein.\n\nThe Reorganization inserted a new holding company, INEOS, above ISL. As a result of the Reorganization, the INEOS Shareholders hold their indirect interests in the Class A ordinary shares through INEOS and its wholly owned subsidiary, ISL, rather than through ISL directly.\n\nINEOS and ISL hold the Class A ordinary shares (indirectly, in the case of INEOS) for the same purposes, and with the same plans or proposals, that were set forth for James A. Ratcliffe and Trawlers in Item 4 of the Original Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1549107/000095015726000772/0000950157-26-000772-index.html" }, { "accession_no": "0000921895-26-001697", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1821586, "issuer_name": "MoonLake Immunotherapeutics", "issuer_cusip": "61559X104", "securities_class_title": "Class A ordinary share, par value $0.0001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1821586/000092189526001697/0000921895-26-001697-index.html" }, { "accession_no": "0000908834-26-000334", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1835856, "issuer_name": "Better Home & Finance Holding Co", "issuer_cusip": "08774B508", "securities_class_title": "Class A common stock, par value $0.0001 per share (the \"Shares\")", "date_of_event": "2026-06-22", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1835856/000090883426000334/0000908834-26-000334-index.html" }, { "accession_no": "0000902664-26-002944", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1529274, "issuer_name": "ALKAMI TECHNOLOGY, INC.", "issuer_cusip": "01644J108", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-29", "item3_funds_source": "The 6,747,707 Shares reported herein as beneficially owned by JANA were acquired at an aggregate purchase price of approximately $138 million.", "item4_transaction_purpose": "The Reporting Person acquired the Shares because it believes the Shares are undervalued and represent an attractive investment opportunity. The Reporting Person has had, and intends to have, discussions with the Issuer's board of directors and management regarding: (1) exploring a sale, including by engaging with multiple parties interested in a potential acquisition of the Issuer, and doing so with grounded views of the Issuer's ability to realize value in the public market and realistic views of its intrinsic value; (2) corporate governance; and (3) board leadership.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1529274/000090266426002944/0000902664-26-002944-index.html" }, { "accession_no": "0000807249-26-000051", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1562151, "issuer_name": "Crimson Wine Group, Ltd", "issuer_cusip": "22662X100", "securities_class_title": "Common Stock", "date_of_event": "2026-06-26", "filed_date": "2026-06-29", "item3_funds_source": null, "item4_transaction_purpose": "The Reporting Persons file the long form Schedule 13D pursuant to Section 13d-1 of the Securities Exchange Act of 1934 (the \"Act\") even though they may be technically eligible to file the short form Schedule G. Because the Reporting Persons may regularly communicate with the Issuer's management, filing the Schedule 13D ensures that these conversations are compliant with the reporting obligations under the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1562151/000080724926000051/0000807249-26-000051-index.html" }, { "accession_no": "0001829126-26-006953", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1857044, "issuer_name": "Indaptus Therapeutics, Inc.", "issuer_cusip": "45339J105", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": "The Series AAA Preferred Stock was purchased by the Reporting Persons pursuant to the Securities Purchase Agreement, dated as of March 19, 2026 (the \"Purchase Agreement\") between David Lazar, Yun Yao, Sino Lion Ventures Limited, Junyi Dai, Ting Yang, and Lina Deng. The Purchase Agreement closed on March 23, 2026. Sino Lion Ventures Limited used working capital in the aggregate amount of $3,998,898.44 to fund its purchase.", "item4_transaction_purpose": "The information set forth in Item 4 in the Initial Schedule 13D is incorporated herein by reference.\n\nThis Amendment No. 2 is being filed to report a decrease of more than 1% in the percentage of the outstanding Common Stock beneficially owned by the Reporting Persons, resulting solely from the increase in the number of shares of Common Stock issued and outstanding upon the closing of the Issuer's private placement on June 17, 2026. The Reporting Persons did not acquire or dispose of any shares of Common Stock in connection therewith.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1857044/000182912626006953/0001829126-26-006953-index.html" }, { "accession_no": "0001829126-26-006951", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1857044, "issuer_name": "Indaptus Therapeutics, Inc.", "issuer_cusip": "45339J105", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": "The Series AAA Preferred Stock was purchased by Mr. Dai pursuant to the Securities Purchase Agreement, dated as of March 19, 2026 (the \"Purchase Agreement\") between David Lazar, Yun Yao, Sino Lion Ventures Limited, Junyi Dai, Ting Yang, and Lina Deng. The Purchase Agreement closed on March 23, 2026. Mr. Dai used personal funds in the aggregate amount of $1,156,642.43 to fund his purchase.", "item4_transaction_purpose": "The information set forth in Item 4 in the Initial Schedule 13D is incorporated herein by reference.\n\nThis Amendment No. 2 is being filed to report a decrease of more than 1% in the percentage of the outstanding Common Stock beneficially owned by the Reporting Person, resulting solely from the increase in the number of shares of Common Stock issued and outstanding upon the closing of the Issuer's private placement on June 17, 2026. The Reporting Person did not acquire or dispose of any shares of Common Stock in connection therewith.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1857044/000182912626006951/0001829126-26-006951-index.html" }, { "accession_no": "0001829126-26-006950", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1857044, "issuer_name": "Indaptus Therapeutics, Inc.", "issuer_cusip": "45339J105", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": "The Series AAA Preferred Stock was purchased by Ting Yang pursuant to the Securities Purchase Agreement, dated as of March 19, 2026 (the \"Purchase Agreement\") between David Lazar and Yun Yao, Sino Lion Ventures Limited, Junyi Dai, Ting Yang, and Lina Deng. The Purchase Agreement closed on March 23, 2026. Ting Yang used his personal funds in the aggregate amount of $1,156,642.43 to fund his purchase.", "item4_transaction_purpose": "The information set forth in Item 4 in the Initial Schedule 13D is incorporated herein by reference.\n\nThis Amendment No. 2 is being filed to report a decrease of more than 1% in the percentage of the outstanding Common Stock beneficially owned by the Reporting Person, resulting solely from the increase in the number of shares of Common Stock issued and outstanding upon the closing of the Issuer's private placement on June 17, 2026. The Reporting Person did not acquire or dispose of any shares of Common Stock in connection therewith.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1857044/000182912626006950/0001829126-26-006950-index.html" }, { "accession_no": "0001829126-26-006949", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1857044, "issuer_name": "Indaptus Therapeutics, Inc.", "issuer_cusip": "45339J105", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": "The Series AAA Preferred Stock was purchased by Ms. Yao pursuant to the Securities Purchase Agreement, dated as of March 19, 2026 (the \"Purchase Agreement\") between David Lazar, Yun Yao, Sino Lion Ventures Limited, Junyi Dai, Ting Yang, and Lina Deng. The Purchase Agreement closed on March 23, 2026. Ms. Yao used personal funds in the aggregate amount of $4,317,206.43 to fund her purchase.", "item4_transaction_purpose": "The information set forth in Item 4 in the Initial Schedule 13D is incorporated herein by reference.\n\nThis Amendment No. 2 is being filed to report a decrease of more than 1% in the percentage of the outstanding Common Stock beneficially owned by the Reporting Person, resulting solely from the increase in the number of shares of Common Stock issued and outstanding upon the closing of the Issuer's private placement on June 17, 2026. The Reporting Person did not acquire or dispose of any shares of Common Stock in connection therewith.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1857044/000182912626006949/0001829126-26-006949-index.html" }, { "accession_no": "0001493152-26-030373", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1549084, "issuer_name": "ChronoScale Corp", "issuer_cusip": "170924104", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-26", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nOn June 26, 2026, the Issuer entered into an unsecured Demand Grid Promissory Note (the \"Note\") with the Reporting Person, pursuant to which the Lender made a line of credit available to the Issuer in the maximum principal amount of $100,000,000 minus the dollar value of any credit support provided by the Reporting Person or its affiliates to the Issuer and its affiliates. The Issuer plans to use the proceeds of any borrowings under the Note for working capital and general corporate purposes. To date, there have been no advances under the Note.\n\nThe principal amount of the Note will be adjusted from time to time to reflect the amounts of any advances made to the Issuer by the Reporting Person and/or any payments made to the Reporting Person by the Issuer prior to the Reporting Person's demand for payment in full of all amounts outstanding. Interest is payable on the unpaid principal amount of the Note at a rate equal to the short-term Applicable Federal Rate (as defined in Section 1274(d) of the Internal Revenue Code of 1986, as amended), compounded semiannually. The Issuer may prepay all or any portion of the Note, together with any accrued but unpaid interest thereon, at any time without penalty or premium. The Note is not convertible into shares of Common Stock.\n\nAlthough the Reporting Person and the Covered Persons are considering, or may consider in the future, plans or proposals with respect to their investment in the Issuer that could relate or would result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D, except as set forth in this Amendment and the Schedule 13D, neither the Reporting Person nor the Covered Persons have any present plan or proposal which would relate to or result in any such matters. The Reporting Person and Covered Persons have had discussions with management of the Issuer, other members of the Board, other representatives of the Issuer and other investors regarding the Issuer, including but not limited to its operations, strategy, management, capital structure, their investment in the Issuer and strategic alternatives that may be available to the Issuer. Such discussions may concern ideas, plans or proposals that, if effected, may result in one or more of the events described in subparagraphs (a) - (j) of Item 4 of Schedule 13D.\n\nThe Reporting Person and the Covered Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors, including the Issuer's financial position and strategic direction, price levels of the securities of the Issuer, other investment opportunities available to the Reporting Person and the Covered Persons, conditions in the securities market and general economic and industry conditions, the Reporting Person and the Covered Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, acquiring additional securities of the Issuer and/or retaining, converting and/or selling all or a portion of the securities of the Issuer held by the Reporting Person or the Covered Persons, if any, in the open market or in privately negotiated transactions, and/or may distribute securities of the Issuer to be acquired or held by the Reporting Person or the Covered Persons to shareholders of the Reporting Person, other entities engaging in communications with other directors and officers of the Issuer, other stockholders of the Issuer or other third parties or taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review. Such discussions and other actions may relate to various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including, but not limited to a merger, reorganization or liquidation) involving the Issuer or any of its subsidiaries; business combinations involving the Issuer or its subsidiaries; a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; material asset purchases; the formation of joint ventures with the Issuer or its subsidiaries or the entry into other material projects; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the board of directors (including composition of the board of directors) or management of the Issuer; acting as a participant in debt financings of the Issuer or its subsidiaries, changes to the capitalization, ownership structure, dividend policy, business or corporate structure or governance documents of the Issuer; de-listing or de-registration of the Issuer's securities; any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D or any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1549084/000149315226030373/0001493152-26-030373-index.html" }, { "accession_no": "0001437749-26-021873", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1532619, "issuer_name": "Power REIT", "issuer_cusip": "73933H200", "securities_class_title": "Series A Cumulative Redeemable Perpetual Preferred Stock Liquidation Preference $25 per Share", "date_of_event": "2026-06-26", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1532619/000143774926021873/0001437749-26-021873-index.html" }, { "accession_no": "0001346824-26-000185", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1785530, "issuer_name": "WEREWOLF THERAPEUTICS, INC.", "issuer_cusip": "95075A107", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1785530/000134682426000185/0001346824-26-000185-index.html" }, { "accession_no": "0001213900-26-072649", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2074973, "issuer_name": "Churchill Capital Corp XI", "issuer_cusip": "G2131A124", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": "Merger Agreement\n\nAs disclosed in the Current Report on Form 8-K filed by the Issuer on June 24, 2026, the Issuer entered into an Agreement and Plan of Merger and Reorganization (the \"Merger Agreement\") by and among the Issuer, BLB Merger Sub, Inc., a Delaware corporation and direct, wholly-owned subsidiary of the Issuer (\"Merger Sub\") and Agility Robotics, Inc., a Delaware corporation (the \"Company\").\n\nPursuant to the Merger Agreement, and on the terms and subject to the satisfaction or waiver of the conditions set forth therein, the parties thereto intend to effect a business combination transaction by which Merger Sub will merge with and into the Company, with the Company continuing as the surviving corporation and a wholly-owned subsidiary of Churchill (the \"Merger\"). The transactions contemplated by the Merger Agreement, including the PIPE Investment (as defined below), are referred to as the \"Transactions.\"\n\nThe proposed Merger is expected to be consummated following the receipt of the required approvals by the shareholders of the Issuer and the Company and the satisfaction or waiver of certain other closing conditions set forth in the Merger Agreement.\n\nThe foregoing description of the Merger Agreement is qualified in its entirety by reference to the Merger Agreement filed as Exhibit 2.1 to the Current Report on Form 8-K filed by the Issuer on June 24, 2026, which is incorporated herein by reference. Capitalized terms used but not defined herein shall have the meanings set forth in such Form 8-K.\n\nIn connection with the execution of the Merger Agreement, certain of the Reporting Persons entered into the A&R Registration Rights Agreement, A&R Sponsor Agreement, Subscription Agreements and Advisory Agreement, each as defined and described below.\n\nAmended and Restated Registration Rights Agreement\n\nEffective upon the Closing of the Merger, that certain Registration Rights Agreement of Churchill, dated December 16, 2025, will be amended and restated, and Churchill, Sponsor and certain persons and entities receiving Domesticated SPAC Common Stock in connection with the Merger (the \"New Holders\" and, together with Sponsor, the \"Reg Rights Holders\") will be parties to an Amended and Restated Registration Rights Agreement, attached as Exhibit E to the Merger Agreement (the \"A&R Registration Rights Agreement\"). Pursuant to the A&R Registration Rights Agreement, the Domesticated SPAC will agree to use reasonable best efforts to (i) file with the SEC (at the Domesticated SPAC's sole cost and expense) a registration statement registering the resale of certain securities held by or issuable to the Reg Rights Holders within 30 calendar days after the Closing (the \"Resale Registration Statement\") and (ii) cause the Resale Registration Statement to become effective as soon as reasonably practicable after the filing thereof, but in no event later than the 105th calendar day (or 165th calendar day if the SEC notifies the Domesticated SPAC that it will \"review\" the Resale Registration Statement) after the Closing Date. In certain circumstances, the Reg Rights Holders may demand in the aggregate up to three underwritten offerings and will be entitled to customary piggyback registration rights.\n\nPursuant to the A&R Registration Rights Agreement, the New Holders have agreed not to transfer their respective shares until the earlier of (a) 180 days following the Closing Date and (b) the date on which the dollar volume-weighted average price of one share of Domesticated SPAC Common Stock on the principal securities exchange or securities market on which the shares of Domesticated SPAC Common Stock are then traded (\"VWAP\") of the Domesticated SPAC Common Stock equals or exceeds $12.00 per share during any 15 trading days within the 180 day period following the Closing Date. Similar transfer restrictions will apply to the shares of Domesticated SPAC Common Stock issued to former securityholders of the Company in connection with the Merger pursuant to the Bylaws of Domesticated SPAC in effect following the Domestication and the Closing.\n\nThe foregoing description of the A&R Registration Rights Agreement is not complete and is qualified in its entirety by reference to the A&R Registration Rights Agreement attached as Exhibit 10.1 to this Schedule 13D.\n\nAmended and Restated Sponsor Agreement\n\nIn connection with the execution of the Merger Agreement, on June 24, 2026, Churchill amended and restated that certain letter agreement, dated December 16, 2025, from the Sponsor and each of the persons undersigned thereto (the \"Insiders\") to Churchill (the \"Amended and Restated Sponsor Agreement\"), pursuant to which each of the Sponsor and the Insiders agreed, among other things, (i) to vote or consent (or cause to be voted or consented) all of the Sponsor's or such Insider's shares (as applicable) of Churchill capital stock (a) in favor of the adoption and approval of the Merger Agreement and approval of the Transactions and all other SPAC Stockholder Matters (and any actions required in furtherance thereof), (b) if applicable, in favor of waiving any and all anti-dilution rights the Sponsor may hold pursuant to the governance documents of Churchill, (c) against any action, proposal, transaction or agreement that would reasonably be expected to result in a breach of any representation, warranty, covenant, obligation or agreement of Churchill contained in the Merger Agreement, (d) in favor of any proposal to adjourn or postpone the applicable stockholder meeting to a later date if (and only if) (1) there are not sufficient votes to approve and adopt any of the matters described in clause (a) above on the dates on which such meetings are held or proposed to be held or (2) the Minimum Cash Condition has not been satisfied, and (e) against the following actions or proposals: (1) any Business Combination Proposal (as defined in the Merger Agreement) or any proposal in opposition to approval of the Merger Agreement or in competition with or inconsistent with the Merger Agreement and (2) (A) any change in the dividend policy or present capitalization of SPAC or any amendment of the governance documents of Churchill or the Domesticated SPAC, except (x) as contemplated by clause (a) above or (y) to the extent expressly contemplated by the Merger Agreement, (B) any liquidation, dissolution or other change in Churchill's corporate structure or business (other than as may be proposed pursuant to an extension proxy), (C) any action, proposal, transaction or agreement that would reasonably be expected to result in a breach in any material respect of any representation, warranty, covenant, obligation or agreement of the Sponsor or any Insider under the Amended and Restated Sponsor Agreement, or (D) any other action or proposal involving Churchill or any of its subsidiaries that is intended, or would reasonably be expected, to prevent, impede, interfere with, delay, postpone or adversely affect the Transactions (excluding, for the avoidance of doubt, any action taken in connection with any valid action taken by Churchill to terminate the Merger Agreement in accordance with the terms thereof), (ii) not to redeem, elect to redeem or tender or submit any Cayman Class B Shares, Cayman Class A Shares or Domesticated SPAC Common Stock owned by it, him or her for redemption in connection with any of the stockholder approvals or proposals described in clause (i) above, or in connection with any vote to amend the governance documents of Churchill or the Domesticated SPAC, and (iii) to vote in favor of the appointment or election of the individual(s) nominated for election in the Registration Statement in accordance with Section 8.09 of the Merger Agreement to the board of directors of the Domesticated SPAC.\n\nThe foregoing description of the Amended and Restated Sponsor Agreement is not complete and is qualified in its entirety by reference to the Amended and Restated Sponsor Agreement filed as Exhibit 10.2 to this Schedule 13D.\n\nSubscription Agreements\n\nIn connection with the execution of the Merger Agreement, on or about June 24, 2026, Churchill entered into certain common stock subscription agreements (the \"Subscription Agreements\") with certain investment funds (the \"PIPE Investors\") pursuant to which, Churchill has agreed to issue and sell to the PIPE Investors approximately $200 million of Domesticated SPAC Common Stock, par value $0.0001 (the \"PIPE Shares\") in reliance on an exemption from registration under Section 4(a)(2) under the Securities Act at a purchase price of $10.00 per share (the \"PIPE Investment\"). The closing of the PIPE Investment is conditioned on all conditions set forth in the Merger Agreement having been satisfied or waived and other customary closing conditions, and the PIPE Investment will be consummated immediately prior to the Closing. The Subscription Agreements will terminate upon the earlier to occur of (i) the termination of the Merger Agreement, (ii) the mutual written agreement of the parties thereto and (iii) January 31, 2027, provided, if the Merger Agreement is extended past such date, the subscriber shall have the option to extend to such date the Merger Agreement terminate. The Subscription Agreements provide for, under certain circumstances, customary indemnities between Churchill and the PIPE Investors.\n\nThe Subscription Agreements provide that Churchill is required to file with the Securities and Exchange Commission (the \"SEC\"), within 30 days after the consummation of the Transactions, a shelf registration statement covering the resale of the PIPE Shares and to use its commercially reasonable efforts to have such registration statement declared effective as soon as practicable after the filing thereof but no later than the earlier of (i) the 90th day (or 150th day if the SEC notifies Churchill that it will \"review\" such registration statement) following the Closing and (ii) the fifth business day after the date Churchill is notified (orally or in writing, whichever is earlier) by the SEC that such registration statement will not be \"reviewed\" or will not be subject to further review.\n\nThe foregoing description of the Subscription Agreements is not complete and is qualified in its entirety by reference to the Subscription Agreements, the form of which is attached as Exhibit 10.3 to this Schedule 13D.\n\nAdvisory Agreement\n\nEffective upon the Closing, on June 24, 2026, Churchill and M. Klein & Company, through its affiliate, The Klein Group, LLC (the \"Advisor\"), entered into that certain Advisory Agreement (the \"Advisory Agreement\") pursuant to which, the Advisor will provide financial advisory, strategic consulting, and business development services to the post-Closing Company. The Advisory Agreement has an initial term of two (2) years and may be extended upon mutual agreement of the parties.\n\nThe Advisory Agreement provides (i) for payments from the Domesticated SPAC to the Advisor of a fixed cash retainer fee of $250,000 per quarter, and (ii) that in the event the Company undertakes (a) any merger, acquisition or other strategic transaction, or (b) any capital-markets financing (including an issuance of equity, debt or convertible securities in U.S. markets), the Company shall negotiate in good faith with the Advisor or one of its affiliates regarding the possible retention of the Advisor as a financial advisor for that transaction, in each case with such engagement to be covered by a separate agreement between the post-Closing Company and the Advisor, including mutually agreed fees and other terms.\n\nThe foregoing description of the Advisory Agreement is not complete and is qualified in its entirety by reference to the Advisory Agreement, the form of which is attached as Exhibit 10.4 to this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2074973/000121390026072649/0001213900-26-072649-index.html" }, { "accession_no": "0001213900-26-072628", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2049662, "issuer_name": "Factorial Energy Inc.", "issuer_cusip": "30347G103", "securities_class_title": "Class A Common Stock, par value $0.00001 per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-26", "item3_funds_source": "The shares of Class A common stock of the Issuer (the \"Class A Common Stock\") reported as beneficially owned by the Reporting Persons were acquired by the Funds on June 5, 2026 (the \"Closing\") in connection with the consummation of the Issuer's business combination with Cartesian Growth Corporation III, a Cayman Islands exempted company (the \"Business Combination\"), as a result of which the Company is named Factorial Energy Inc. The Class A Common Stock was received by the Funds in respect of equity interests held prior to the Business Combination; no additional cash consideration was paid by the Funds at the Closing in respect of such shares. The source of the funds used by the Funds to acquire their pre-existing interests was capital contributions from the limited partners (or members, as applicable) of the Funds. In the case of WAVE Equity Fund, such capital was raised contributions by its limited partners and general partner.", "item4_transaction_purpose": "The Reporting Persons acquired the Class A Common Stock reported herein as a result of the Business Combination and hold such securities for investment purposes. The shares held by the Funds are being registered for resale by the Issuer on a Registration Statement on Form S-1. Other than as described in this Item 4, none of the Reporting Persons presently has any plans or proposals that relate to or would result in any of the transactions or matters specified in clauses (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons may review or reconsider their position and formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2049662/000121390026072628/0001213900-26-072628-index.html" }, { "accession_no": "0001193125-26-285643", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 2052153, "issuer_name": "Apollo Origination II (UL) Capital Trust", "issuer_cusip": "000000000", "securities_class_title": "Common shares of beneficial interest, par value $0.001 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to add the following:\n\nThe information set forth in Items 4, 5 and 6 hereof is hereby incorporated by reference into this Item 3.\n\nOn June 22, 2026, the Issuer delivered a capital drawdown notice to Apollo Direct Lending Fund II (Unlevered AIV), L.P. (formerly known as Apollo Origination Partnership II (Unlevered AIV), L.P.), pursuant to which Apollo Direct Lending Fund II (Unlevered AIV), L.P. was obligated to make a capital contribution to purchase 1,146,788.9908 Common Shares at $26.16 per Common Share for an aggregate purchase price of $30,000,000. The purchase closed on June 24, 2026 when NAV was finalized and the Common Shares were deemed issued on June 24, 2026. The Common Shares were paid for from Apollo Direct Lending Fund II (Unlevered AIV), L.P.'s invested capital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2052153/000119312526285643/0001193125-26-285643-index.html" }, { "accession_no": "0001193125-26-285642", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2021728, "issuer_name": "Cerebras Systems, Inc.", "issuer_cusip": "US15675D1037", "securities_class_title": "Class A common stock, $0.00001 par value per share", "date_of_event": "2026-06-25", "filed_date": "2026-06-26", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended by the addition of the following information:\n\nOn June 11, 2026, the following shares held by the Reporting Entities were voluntarily converted to Class A common stock on a one-for-one basis: (i) 800,358 shares of Class B common stock held by Eclipse Continuity I, (ii) 5,517,493 shares of Class B common stock held by Eclipse I, (iii) 6,548,466 shares of Class B common stock held by Eclipse SPV II and (iv) 599,880 shares of Class B common stock held by Eclipse SPV XIII (the \"Conversion\"). Following the Conversion, all of the Reporting Entities only held shares of Class A common stock.\n\nOn June 25, 2026, each of Eclipse Continuity I, Eclipse I, Eclipse SPV II, and Eclipse SPV XIII engaged in a pro rata, in-kind distribution of (i) 120,053 shares of Class A common stock, (ii) 827,623 shares of Class A common stock, (iii) 982,269 shares of Class A common stock and (iv) 89,982 shares of Class A common stock, respectively, to their respective limited and general partners for no consideration (the \"Distribution\"). Mr. Susan acquired an aggregate of 92,973 shares of Class A common stock from the Reporting Entities in the Distribution and an estate-planning vehicle controlled by Mr. Susan received 40,975 shares of Class A common stock from the Reporting Entities in the Distribution. Following the Distribution, each Reporting Entity and Mr. Susan held the number of shares and percentages reported in Items 7-11 of the cover pages of this Amendment No. 1.", "item4_transaction_purpose": "The information set forth in Item 4 of the Original Schedule 13D is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2021728/000119312526285642/0001193125-26-285642-index.html" }, { "accession_no": "0001193125-26-285633", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 2052152, "issuer_name": "Apollo Origination II (Levered) Capital Trust", "issuer_cusip": "000000000", "securities_class_title": "Common shares of beneficial interest, par value $0.001 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to add the following:\n\nThe information set forth in Items 4, 5 and 6 hereof is hereby incorporated by reference into this Item 3.\n\nOn June 22, 2026, the Issuer delivered a capital drawdown notice to Apollo Direct Lending Fund II (Levered AIV), L.P. (formerly known as Apollo Origination Partnership II (Levered AIV), L.P.), pursuant to which Apollo Direct Lending Fund II (Levered AIV), L.P. was obligated to make a capital contribution to purchase 1,527,300.4964 Common Shares at $26.19 per Common Share for an aggregate purchase price of $40,000,000. The purchase closed on June 24, 2026 when NAV was finalized, and the Common Shares were deemed issued on June 24, 2026. The Common Shares were paid for from Apollo Direct Lending Fund II (Levered AIV), L.P.'s invested capital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2052152/000119312526285633/0001193125-26-285633-index.html" }, { "accession_no": "0001193125-26-285542", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1913577, "issuer_name": "Semnur Pharmaceuticals, Inc.", "issuer_cusip": "81686G113", "securities_class_title": "Common Stock, par value $0.0001", "date_of_event": "2026-06-15", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nOn June 15, 2026, SHC and/or its subsidiaries distributed 7,034,737 shares of the Issuer's Common Stock as a dividend to holders of Scilex common stock and other eligible equity securities as of the record date of June 1, 2026 in connection with SHC's board-approved dividend declared on May 22, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1913577/000119312526285542/0001193125-26-285542-index.html" }, { "accession_no": "0001193125-26-285454", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1840199, "issuer_name": "Waldencast plc", "issuer_cusip": "G9503X103", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following language:\n\nIn connection with a winding up and liquidation of Beauty Ventures LLC, on June 24, 2026 the Reporting Persons effected the disposition of an aggregate of (i) 9,309,200 Class A Shares and (ii) 3,103,067 Private Placement Warrants to certain members of Beauty Ventures LLC in accordance with the LLC Agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1840199/000119312526285454/0001193125-26-285454-index.html" }, { "accession_no": "0001193125-26-283868", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1871983, "issuer_name": "Anghami Inc.", "issuer_cusip": "G0369L101", "securities_class_title": "Ordinary Shares, par value $0.001 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Statement is hereby amended by adding the following to the end thereof:\n\nOn June 24, 2026, OSN Streaming submitted a preliminary non-binding proposal (the \"Proposal\") to the Issuer's board of directors. In the Proposal, OSN Streaming proposed to acquire all the Ordinary Shares not currently owned of record by OSN Streaming and beneficially owned by the Reporting Persons (the \"Non-OSN Shares\") for $3.39 per Ordinary Share in cash (the \"Proposed Acquisition\").\n\nThe Proposal does not contemplate a financing condition for the Proposed Acquisition. The Proposal contemplates that the Proposed Acquisition would be funded with equity or other financing from OSN Streaming's shareholders, including the Reporting Persons, and their respective affiliates. Any equity or debt financing for the Proposed Acquisition contemplated by the Proposal remains subject to negotiation, and the Reporting Persons can provide no assurances that they will be able to negotiate definitive agreements with OSN Streaming related to such financing.\n\nThe Proposal indicated that the Proposed Acquisition would be subject to a number of conditions, including, among others, the negotiation and execution of a definitive agreement and other related agreements mutually acceptable in form and substance to OSN Streaming and the Issuer. Neither OSN Streaming nor the Issuer is obligated to complete the Proposed Acquisition, and a binding commitment with respect to the Proposed Acquisition will result only from the execution of definitive agreements (and will then be on the terms provided in such definitive agreements), though no assurances can be given that any definitive agreements will be reached or that the Proposed Acquisition will be consummated.\n\nThe Proposal may result in one or more transactions, events or actions specified in clauses (a) through (j) of Schedule 13D, including, without limitation, an acquisition of additional securities of the Issuer, an extraordinary corporate transaction (such as a merger) involving the Issuer, delisting of the Ordinary Shares from the Nasdaq Capital Market and other material changes in the Issuer's business or corporate structure. The Proposal is an expression of interest only and OSN Streaming reserves the right to modify or withdraw the Proposal at any time, with or without prior notice, and the Reporting Persons reserve the right to modify or withdraw their support of the Proposal at any time, subject to the terms of the Shareholders' Agreement. The Reporting Persons reserve the right to formulate other plans or make other proposals which could result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, and to modify or withdraw any such plans or proposals at any time, in each case, subject to the terms of the Shareholders' Agreement.\n\nThe Reporting Persons and their affiliates may engage in discussions with members of management, OSN Streaming, the Issuer's board of directors and other stockholders of OSN Streaming and the Issuer and their respective representatives (including their respective professional advisors) in connection with the Proposed Acquisition. While the Proposal remains under consideration by the Issuer's board of directors, the Reporting Persons and their affiliates, including OSN Streaming, may respond to inquiries from, and participate in the negotiation of the terms of the Proposed Acquisition with, the Issuer's board of directors and its representatives. The Reporting Persons do not intend to update or provide additional disclosures regarding the Proposal or the Proposed Acquisition until a definitive agreement has been entered into, or unless disclosure is otherwise required under applicable U.S. securities laws. The Reporting Persons and their affiliates may participate in any process regarding the Issuer and/or engage in other activities, discussions and/or negotiations regarding any courses of action with respect to the Issuer, including, without limitation, submitting an indication of interest, letter of intent, term sheet, offer letter or other similar expression of interest in connection therewith, including any revisions to the Proposal or any such expression of interest; engaging advisors or other third parties; communicating with the Issuer, its subsidiaries and representatives and other third parties (including, without limitation, various advisors, industry analysts, investment and financing professionals, other shareholders of the Issuer and financing sources) and any potential co-investors; taking actions regarding prospective equity and/or debt financing for any such course of action, including, without limitation, exchanging information, negotiating terms and entering into commitment letters and related agreements and/or any other similar agreements; and preparing, revising and negotiating agreements with the Issuer, potential investors and financing sources, professional advisors and other interested parties.\n\nThe foregoing description of the Proposal is a summary of the material terms of the Proposal, does not purport to be complete and is qualified in its entirety by reference to the Proposal, a copy of which is included as Exhibit 5 to this Amendment No. 2 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1871983/000119312526283868/0001193125-26-283868-index.html" }, { "accession_no": "0001185185-26-002683", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1419275, "issuer_name": "RTB Digital, Inc", "issuer_cusip": "39366L307", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-12", "filed_date": "2026-06-26", "item3_funds_source": "On May 12, 2026 (the \"Closing Date\"), as contemplated by the Agreement and Plan of Merger, dated September 28, 2025, as amended (the \"Merger Agreement\"), following the satisfaction of the closing conditions set forth in the Merger Agreement, the Issuer (f/k/a RYVYL Inc.) completed its business combination with RTB Digital, Inc. (\"Legacy RTB\"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Legacy RTB, with Legacy RTB surviving as a wholly-owned subsidiary of the Issuer (the \"Merger\"). At the effective time of the Merger, each share of common stock of Legacy RTB was converted into the right to receive 0.5305 shares of Common Stock of the Issuer. Also upon consummation of the Merger, (i) stock options and other employee awards that were not exercised for shares of common stock of Legacy RTB before the Merger, (ii) warrants that were not converted into shares of common stock of Legacy RTB before the Merger, and (iii) outstanding debt that may be converted into shares of common stock of Legacy RTB were assumed and adjusted to be exercised or converted at the exchange ratio set forth in the Merger Agreement. In connection with the foregoing, the Reporting Person became entitled to receive (i) 286,097 shares of Common Stock, (ii) 72,941 shares of Common Stock underlying stock options (whether vested or unvested) and (iii) 698,978 shares of Common Stock underlying warrants. Subsequently, on May 13, 2026, the outstanding convertible notes of Legacy RTB held by the Reporting Person were converted into 3,494,888 shares of Common Stock of the Issuer. The shares of Common Stock issued to the former shareholders of Legacy RTB were registered with the SEC pursuant to the Registration Statement on Form S-4 (Reg. No. 333-264959), as amended, declared effective on February 6, 2026. Certain of the security holders of Legacy RTB prior to the Merger have agreed to lock up the common stock of the post merger company for a period of 12 months, with a dribble out thereafter for an additional nine months. The persons participating in the lock-up generally include the insiders and larger shareholders. The lock up arrangements are in addition to any applicable securities law restrictions under the Securities Act of 1933, as amended. The foregoing description of the Merger Agreement does not purport to be complete and is qualified by reference to the full text of such agreement, a copy of which is included as Exhibit 99.1 to this Statement.", "item4_transaction_purpose": "The information set forth or incorporated by reference in Items 3 and 6 of this Statement is incorporated by reference into this Item 4.\nThe Reporting Person intends to continuously review his investment in the Issuer and may in the future determine (1) to acquire additional securities of the Issuer, through open market purchases, private agreements or otherwise, (2) to dispose of all or a portion of the securities of the Issuer owned by him or (3) to take any other available course of action. Notwithstanding anything contained herein, the Reporting Person specifically reserves the right to change his intention with respect to any or all of such matters. In reaching any decision as to his course of action (as well as to the specific elements thereof), the Reporting Person currently expects that he would take into consideration a variety of factors, including, but not limited to, the following: the Issuer's business and prospects; other developments concerning the Issuer and its business generally; other business opportunities available to the Reporting Person; developments with respect to the business of the Reporting Person; changes in law and government regulations; general economic conditions; and money and stock market conditions, including the market price of the securities of the Issuer.\n\nThe Reporting Person is Chairman and a member of the Board of Directors of the Issuer and, accordingly, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Subject to the Issuer's Insider Trading Policy, the Reporting Person may from time to time buy or sell securities of the Issuer as appropriate for his personal circumstances.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1419275/000118518526002683/0001185185-26-002683-index.html" }, { "accession_no": "0001104659-26-078371", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 746514, "issuer_name": "NEW ENGLAND REALTY ASSOCIATES LIMITED PARTNERSHIP", "issuer_cusip": "644206104", "securities_class_title": "Depositary Receipts Each Representing One-Thirtieth of a Series A Unit of Limited Partnership", "date_of_event": "2026-06-26", "filed_date": "2026-06-26", "item3_funds_source": "Jameson Brown and Harley Brown acquired Depositary Receipts from time to time by (i) bona fide gifts of Depositary Receipts from Mr. Harold Brown, now deceased; (ii) the settling of Mr. Harold Brown's estate which occurred on January 2, 2024, (iii) open market purchases and (iv) distribution of Depositary Receipts from the Partnership. Mr. Jameson Brown and Ms. Harley Brown used their own funds for any open market purchases.\n\nHBC was formed by Mr. Harold Brown in 2009 for estate planning purposes. The Depositary Receipts owned by HBC include Depositary Receipts acquired by (i) bona fide gifts of Depositary Receipts from the Harold Brown 1999 Revocable Trust (the \"1999 Trust\"), a grantor trust established by Harold Brown (ii) an asset exchange with the NERA 1994 Irrevocable Trust (the \"1994\"), a grantor trust established by Harold Brown. HBC used its own assets to purchase such Depositary Receipts, which at any given time may have included funds deposited by Harold Brown.\n\nHJB, JPB, Maisie and the Foundation acquired the Depositary Receipts they own in connection with the settlement of Harold Brown's estate.\n\nRonald Brown may have acquired the 92,600 Depositary Receipts held jointly with his spouse, representing approximately 3.3% of the 2,788,713 Depositary Receipts outstanding as of May 8, 2026, through open market purchases and/or other transactions since 2011. To the extent known, acquisitions were made using personal funds and/or other available sources.\n\nNew Real, the GP, acquired Depositary Receipts by transactions with Harold Brown and Ronald Brown, respectively.", "item4_transaction_purpose": "The Reporting Persons acquired and hold their respective Depositary Receipts of the Partnership for investment purposes and as part of a long-standing ownership structure among affiliated entities. Reporting Persons consist of the individuals and entities named herein as direct or indirect holders of voting and dispositive power. Jameson Brown, Harley Brown and Ronald Brown are members of the family of Harold Brown, one of the founders of the Partnership, now deceased, and the Reporting Persons (other than Sally Michael) together with their respective affiliates have a substantial economic interest in its performance. Sally Michael has no pecuniary interest in the Partnership. To the extent the Reporting Persons may be deemed to share voting and dispositive power over certain securities, such relationships arise from governance and control arrangements and do not reflect any agreement or understanding to act as a group for purposes of acquiring, holding or disposing of securities of the Partnership.\n\nConsistent with such interests, the Reporting Persons intend to review their investment in the Partnership on a continuing basis and may, from time to time, depending on market conditions and other factors they deem relevant, take such actions with respect to their investment in the Partnership as they consider appropriate. Such actions may include, without limitation: (i) acquiring additional securities of the Partnership, whether in the open market, in privately negotiated transactions or otherwise; (ii) disposing of all or a portion of their securities of the Partnership; (iii) engaging in discussions with management, the general partner, other securityholders and other third parties regarding the Partnership's business, operations, governance, capitalization, strategy or future plans; and (iv) otherwise taking actions intended to enhance the value of their investment.\n\nThe Reporting Persons may from time to time seek to influence the management, policies or governance of the Partnership, including with respect to the composition of the general partner's board of directors (or equivalent governing body) and the Partnership's Advisory Committee, corporate governance practices, capital allocation, distributions, financings, or strategic transactions. The Reporting Persons may also explore or propose, and may participate in, transactions or arrangements that could result in a change in control of the Partnership, changes in the present general partner's board of directors or management of the Partnership, or other extraordinary transactions involving the Partnership, including, without limitation, a merger, reorganization, sale of assets or other business combination.\n\nThe Reporting Persons may hold their interests in the Partnership directly or indirectly, including through trusts, partnerships or other entities, and may from time to time effect transfers among such entities for estate planning, tax or other purposes.\n\nExcept as set forth above, the Reporting Persons do not currently have any plans or proposals that relate to or would result in any of the actions specified in paragraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right at any time to formulate other plans or proposals regarding the Partnership, and to take any actions with respect to their investment in the Partnership, including any or all of the actions described above.\n\nThe Reporting Persons expressly disclaim acting as a group within the meaning of Section 13(d).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/746514/000110465926078371/0001104659-26-078371-index.html" }, { "accession_no": "0001104659-26-078036", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1744781, "issuer_name": "Niu Technologies", "issuer_cusip": "65481N100", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-06-25", "filed_date": "2026-06-26", "item3_funds_source": "From June 12, 2026 through June 25, 2026, Glory Achievement Fund Limited purchased a total of 823,178 ADSs (representing 1,646,356 Class A ordinary shares) of the Issuer in the open market for approximately US$1.8 million, using its own working capital (the \"Recent Open-Market Purchases\").", "item4_transaction_purpose": "The information set forth in Item 3 is hereby incorporated by reference in its entirety. The Recent Open-Market Purchases were made for investment purposes.\n\nThe Reporting Persons hold the ADSs of the Issuer for investment purposes. They intend to review their shareholding on a regular basis and, as a result thereof, may at any time or from time to time determine, either alone or as part of a group, (i) to acquire additional securities of the Issuer, through open market purchases, privately negotiated transactions or otherwise, (ii) to dispose of all or a portion of the securities of the Issuer owned by it in the open market, in privately negotiated transactions or otherwise or (iii) to take any other available course of action, which could involve one or more of the types of transactions or have one or more of the results described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nAny actions the Reporting Persons might undertake will be dependent upon such Reporting Persons' review of numerous factors, including, among other things, the price levels of the ADSs, general market and economic conditions, ongoing evaluation of the Issuer's business, financial condition, operations and prospects, the relative attractiveness of alternative business and investment opportunities, investor's need for liquidity, and other future developments. Any future acquisitions or dispositions of ADSs will be subject to the Issuer's policies, including its insider trading policy, as applicable.\n\nExcept as set forth above, none of the Reporting Persons has any present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1744781/000110465926078036/0001104659-26-078036-index.html" }, { "accession_no": "0001104659-26-077958", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1871983, "issuer_name": "Anghami Inc", "issuer_cusip": "G0369L200", "securities_class_title": "Ordinary Shares, par value $0.001 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": "Item 3 is hereby supplemented by the addition of the following:\nThe information set forth in Item 4 of this Amendment No. 9 is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 is hereby supplemented by the addition of the following:\n\nOn June 24, 2026, OSN Streaming submitted a preliminary non-binding proposal (the \"Proposal\") to the Issuer's board of directors. In the Proposal, OSN Streaming proposed to acquire all the Ordinary Shares not currently owned of record by OSN Streaming and beneficially owned by the Reporting Persons for $3.39 per Ordinary Share in cash (the \"Proposed Acquisition\").\n\nThe Proposal does not contemplate a financing condition for the Proposed Acquisition. The Proposal contemplates that the Proposed Acquisition would be funded with equity or other financing from OSN Streaming's shareholders, including the Reporting Persons, and their respective affiliates. Any equity or debt financing for the Proposed Acquisition contemplated by the Proposal remains subject to negotiation, and the Reporting Persons can provide no assurances that they will be able to negotiate definitive agreements with OSN Streaming related to such financing.\n\nThe Proposal indicated that the Proposed Acquisition would be subject to a number of conditions, including, among others, the negotiation and execution of a definitive agreement and other related agreements mutually acceptable in form and substance to OSN Streaming and the Issuer. Neither OSN Streaming nor the Issuer is obligated to complete the Proposed Acquisition, and a binding commitment with respect to the Proposed Acquisition will result only from the execution of definitive agreements (and will then be on the terms provided in such definitive agreements), though no assurances can be given that any definitive agreements will be reached or that the Proposed Acquisition will be consummated.\n\nThe Proposal may result in one or more transactions, events or actions specified in clauses (a) through (j) of Schedule 13D, including, without limitation, an acquisition of additional securities of the Issuer, an extraordinary corporate transaction (such as a merger) involving the Issuer, delisting of the Ordinary Shares from the Nasdaq Capital Market and other material changes in the Issuer's business or corporate structure. The Proposal is an expression of interest only and OSN Streaming reserves the right to modify or withdraw the Proposal at any time, with or without prior notice, and the Reporting Persons reserve the right to modify or withdraw their support of the Proposal at any time, subject to the terms of the Shareholders' Agreement. The Reporting Persons reserve the right to formulate other plans or make other proposals which could result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, and to modify or withdraw any such plans or proposals at any time, in each case, subject to the terms of the Shareholders' Agreement.\n\nThe Reporting Persons and their affiliates may engage in discussions with members of management, the Issuer's board of directors and other stockholders of OSN Streaming and the Issuer and their respective representatives (including their respective professional advisors) in connection with the Proposed Acquisition. While the Proposal remains under consideration by the Issuer's board of directors, the Reporting Persons and their affiliates may respond to inquiries from, and participate in the negotiation of the terms of the Proposed Acquisition with, the Issuer's board of directors and its representatives. The Reporting Persons do not intend to update or provide additional disclosures regarding the Proposal or the Proposed Acquisition until a definitive agreement has been entered into, or unless disclosure is otherwise required under applicable U.S. securities laws. The Reporting Persons and their affiliates may participate in any process regarding the Issuer and/or engage in other activities, discussions and/or negotiations regarding any courses of action with respect to the Issuer, including, without limitation, submitting an indication of interest, letter of intent, term sheet, offer letter or other similar expression of interest in connection therewith, including any revisions to the Proposal or any such expression of interest; engaging advisors or other third parties; communicating with the Issuer, its subsidiaries and representatives and other third parties (including, without limitation, various advisors, industry analysts, investment and financing professionals, other shareholders of the Issuer and financing sources) and any potential co-investors; taking actions regarding prospective equity and/or debt financing for any such course of action, including, without limitation, exchanging information, negotiating terms and entering into commitment letters and related agreements and/or any other similar agreements; and preparing, revising and negotiating agreements with the Issuer, potential investors and financing sources, professional advisors and other interested parties.\n\nThe foregoing description of the Proposal is a summary of the material terms of the Proposal, does not purport to be complete and is qualified in its entirety by reference to the Proposal, a copy of which is included as Exhibit 16 to this Amendment No. 9 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1871983/000110465926077958/0001104659-26-077958-index.html" }, { "accession_no": "0000929638-26-002369", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 28823, "issuer_name": "DIEBOLD NIXDORF, Inc", "issuer_cusip": "0000000000", "securities_class_title": "Common Shares, $0.01 par value per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/28823/000092963826002369/0000929638-26-002369-index.html" }, { "accession_no": "0000921895-26-001687", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1815442, "issuer_name": "Kymera Therapeutics, Inc.", "issuer_cusip": "501575104", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-26", "filed_date": "2026-06-26", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares beneficially owned by BVF, BVF2 and Trading Fund OS and held in the Partners Managed Account were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business).\n\nThe aggregate purchase price of the 1,960,881 Shares directly beneficially owned by BVF is approximately $54,932,224, including brokerage commissions. The aggregate purchase price of the 751,971 pre-funded warrants (the \"Pre-Funded Warrants\") owned by BVF is approximately $22,111,156.\n\nThe aggregate purchase price of the 1,592,261 Shares directly beneficially owned by BVF2 is approximately $42,733,348, including brokerage commissions. The aggregate purchase price of the 532,598 Pre-Funded Warrants owned by BVF2 is approximately $15,877,547.\n\nThe aggregate purchase price of the 240,123 Shares directly beneficially owned by Trading Fund OS is approximately $6,752,026, including brokerage commissions. The aggregate purchase price of the 52,733 Pre-Funded Warrants owned by Trading Fund OS is approximately $1,331,503.\n\nThe aggregate purchase price of the 78,787 Shares held in the Partners Managed Account is approximately $2,380,609, including brokerage commissions. The aggregate purchase price of the 27,797 Pre-Funded Warrants held in the Partners Managed Account is approximately $960,907.\n\nStock options held by Mr. Hrustanovic referencing 40,127 Shares, 20,063 Shares, 12,000 Shares, 12,000 Shares, 16,000 Shares, 16,000 Shares and 6,068 Shares, 116,190 Shares of which Mr. Hrustanovic may be deemed to beneficially own, were awarded to him on August 20, 2020, June 16, 2021, June 15, 2022, June 15, 2023, June 18, 2024, June 25, 2025 and June 24, 2026, respectively, for no consideration in connection with his service on the Board. Pursuant to a certain agreement entered into between Partners and Mr. Hrustanovic, Mr. Hrustanovic is obligated to transfer the economic benefit, if any, received upon the sale of the Shares issuable upon exercise of the above referenced stock options to Partners.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1815442/000092189526001687/0000921895-26-001687-index.html" }, { "accession_no": "0000908834-26-000323", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1847903, "issuer_name": "Centessa Pharmaceuticals plc", "issuer_cusip": "152309100", "securities_class_title": "Ordinary Shares, nominal value GBP 0.002 per share (the \"Ordinary Shares\")", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1847903/000090883426000323/0000908834-26-000323-index.html" }, { "accession_no": "0000897069-26-001456", "submission_type": "SCHEDULE 13D/A", "amendment_no": 17, "issuer_cik": 788920, "issuer_name": "PRO-DEX, INC.", "issuer_cusip": "74265M205", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-06-24", "filed_date": "2026-06-26", "item3_funds_source": "The Common Stock of the Reporting Persons was acquired in open market purchases with working capital of AO Partners Fund and the personal investment capital of Mr. Swenson. The amount of funds expended to acquire the aggregate shares held by the Reporting Persons is $2,032,015.", "item4_transaction_purpose": "The AO Partners Group acquired shares of Common Stock because it believes that the Common Stock is undervalued. The AO Partners Group's intent is to influence the policies of the Issuer and assert shareholder rights, with a goal of maximizing the value of the Common Stock.\n\nThe Reporting Persons previously reported the transfer of shares of Common Stock to Groveland DST. This transfer was effected solely for tax and estate planning purposes, and for income tax purposes was a transfer between Mr. Swenson, individually, and an entity owned by Mr. Swenson.\n\nThe Reporting Persons may make further purchases of shares of Common Stock. The Reporting Persons may dispose of any or all the shares of Common Stock held by them.\n\nTo the extent the actions described herein may be deemed to constitute a \"control purpose\" with respect to the Securities Exchange Act of 1934, as amended, and the regulations thereunder, the Reporting Persons have such a purpose. Except as noted in this Amended and Restated Schedule 13D, none of the Reporting Persons has any plans or proposals, which relate to, or would result in, any of the matters referred to in paragraphs (b) through (j), inclusive of Item (4) of Schedule 13D. Such persons may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/788920/000089706926001456/0000897069-26-001456-index.html" }, { "accession_no": "0002107788-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1726711, "issuer_name": "Aditxt, Inc.", "issuer_cusip": "007025869", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-23", "filed_date": "2026-06-25", "item3_funds_source": "The shares of Common Stock previously reported were purchased with the working capital of the Reporting Person.", "item4_transaction_purpose": "The Reporting Person sold all shares of Common Stock previously reported as beneficially owned. The Reporting Person no longer beneficially owns any shares of Common Stock of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1726711/000210778826000003/0002107788-26-000003-index.html" }, { "accession_no": "0001437749-26-021661", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 732026, "issuer_name": "TRIO-TECH INTERNATIONAL", "issuer_cusip": "896712205", "securities_class_title": "Common Stock, no par value", "date_of_event": "2025-12-16", "filed_date": "2026-06-25", "item3_funds_source": "The securities reported herein include shares that were acquired by the Reporting Person through grants of shares by the Issuer from time to time and through the use of personal funds. Of the 902,353 shares deemed beneficially owned by Mr. Horowitz, 237,569 are subject to currently exercisable options.", "item4_transaction_purpose": "Mr. Horowitz holds the shares of Company Common Stock beneficially owned and deemed to be beneficially owned by him for investment. The Reporting Person has no current plans or proposals which relate to or would result in any of the matters described in paragraphs (a) though (j) of Item 4 of Schedule 13D. Mr. Horowitz may in the future acquire additional shares of Common Stock or other Issuer securities or dispose of some or all of the shares of Common Stock or other securities held by the Reporting Person in open-market transactions or privately negotiated transactions, on such terms and at such times as the Reporting Person may deem advisable subject to applicable securities law and regulations.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/732026/000143774926021661/0001437749-26-021661-index.html" }, { "accession_no": "0001437749-26-021656", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 744825, "issuer_name": "AMERICAN SHARED HOSPITAL SERVICES", "issuer_cusip": "029595105", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-06-22", "filed_date": "2026-06-25", "item3_funds_source": "This Schedule 13D/A No. 9 supplements Item 3 of the Original Schedule 13D by adding the following:\n\nSource of Mr. Stachowiak's Shares. The aggregate number of Common Shares reported as beneficially owned (the \"Total Beneficial Ownership Amount\") by Mr. Stachowiak in this Schedule 13 D/A No. 9 includes the Common Shares acquired or disposed of in the transactions described below that occurred since Mr. Stachowiak's reporting of beneficial ownership in the Schedule 13D/A No. 8.\n\nOn June 26, 2025, Mr. Stachowiak was granted an award of 110,000 RSUs (the \"2025 RSUs\"), of which 30,000 vested on each of June 27, 2025 and July 2, 2025, and 25,000 vested on each of October 1, 2025 and January 1, 2026. The Total Beneficial Ownership Amount reported for Mr. Stachowiak in this Schedule 13D/A No. 9 includes the 110,000 Common Shares underlying all 110,000 of the 2025 RSUs, which have all vested.\n\nOn March 26, 2026, Mr. Stachowiak was granted an award of 100,000 RSUs (the \"2026 RSUs\"), of which 25,000 vested on April 1, 2026, and 25,000 will vest on each of July 1, 2026, October 1, 2026, and January 1, 2027. The Total Beneficial Ownership Amount reported for Mr. Stachowiak in this Schedule 13D/A No. 9 includes an aggregate of 50,000 Common Shares underlying 50,000 of the 2026 RSUs that have vested or will vest within 60 days of the Filing Date, consisting of (i) 25,000 RSUs that vested on April 1, 2026, and (ii) 25,000 RSUs that will vest on July 1, 2026. The 50,000 Common Shares underlying the remaining 50,000 RSUs that will vest on October 1, 2026 and January 1, 2027 have been excluded from Mr. Stachowiak's Total Beneficial Ownership Amount in this Schedule 13D/A No. 9 because such RSUs will not vest within 60 days of the Filing Date.\n\nOn or about May 14, 2026, Mr. Stachowiak conveyed 594,000 Common Shares previously owned directly by Mr. Stachowiak to RCS.\n\nOn June 20, 2026, 2,000 stock options granted to Mr. Stachowiak expired before being exercised. Accordingly, the 2,000 Common Shares underlying the expired stock options, which were included in the Total Beneficial Ownership Amount reported for Mr. Stachowiak in the Schedule 13D/A No. 8, are not included in such amount in this Schedule 13D/A No. 9.\n\nOn June 22, 2026, RCS/TIG purchased 586,468 Common Shares in a private transaction at the price of $2.28 per Common Share, for an aggregate purchase price of $1,319,553.", "item4_transaction_purpose": "This Schedule 13D/A No. 9 amends and restates Item 4 of the Original Schedule 13D as follows:\n\nThe information reported in Item 3 of this Schedule 13D/A No. 9 is incorporated by reference into this Item 4. The Common Shares reported as beneficially owned by the Reporting Persons will be held for investment purposes.\n\nBefore Mr. Stachowiak became an officer and director of the Issuer, the securities acquired by Mr. Stachowiak were primarily acquired through purchases using his personal funds. After Mr. Stachowiak became an officer of the Issuer, Mr. Stachowiak acquired Common Shares from the Issuer as partial compensation for his service as a director and officer.\n\nMr. Stachowiak is a director and the Executive Chairman of the Board of the Issuer, the owner-president of RCS, the owner-manager of Stachowiak Equity, and the owner-manager of RCS/TIG. Except as set forth herein and to the extent that Mr. Stachowiak may have influence over the corporate activities of the Issuer, including activities that may relate to the items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, the Reporting Persons do not have any present plan or proposal that relate to or would result in any of the matters set forth in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nThe Reporting Persons reserve the right to increase or decrease their position in the Issuer through, among other things, the purchase or sale of securities of the Issuer on the open market or in private transactions or otherwise on such terms and at such times as the Reporting Persons may deem advisable. The Reporting Persons reserve the right to change their intention with respect to any and all matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/744825/000143774926021656/0001437749-26-021656-index.html" }, { "accession_no": "0001213900-26-071731", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1581804, "issuer_name": "Navigator Holdings Ltd.", "issuer_cusip": "Y62132108", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-25", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1581804/000121390026071731/0001213900-26-071731-index.html" }, { "accession_no": "0001213900-26-071708", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1946399, "issuer_name": "LakeShore Biopharma Co., Ltd.", "issuer_cusip": "G9845F208", "securities_class_title": "Ordinary Shares, par value $0.0002 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-25", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by adding the following at the end thereof:\n\nOn June 19, 2026, an extraordinary general meeting of the shareholders of the Issuer was held. At the extraordinary general meeting, the shareholders of the Issuer authorized and approved the Merger Agreement, the plan of merger (the \"Plan of Merger\") required to be registered with the Registrar of Companies of the Cayman Islands (the \"Cayman Registrar\") in connection with the Merger, and the consummation of the transactions contemplated thereby, including the Merger.\n\nPursuant to the A&R Support Agreement entered into by and among the Rollover Shareholders, Parent and the Issuer, the Rollover Shareholders have agreed, among other things, to (i) cancel the Rollover Shares beneficially owned by them for no cash consideration and (ii) subscribe for newly issued shares of Parent at or immediately prior to the Effective Time (as defined below). The information disclosed in this paragraph does not purport to be complete and is qualified in its entirety by reference to the A&R Support Agreement, a copy of which is filed as Exhibit 99.22 to the Schedule 13D and is incorporated herein by reference in its entirety.\n\nOn June 24, 2026, the Issuer and Merger Sub filed the Plan of Merger with the Cayman Registrar, which was registered by the Cayman Registrar as of June 24, 2026, pursuant to which the Merger became effective on June 24, 2026 (the \"Effective Time\"). As a result of the Merger, the Issuer became a wholly owned subsidiary of Parent.\n\nAt the Effective Time, (i) each Ordinary Share issued and outstanding immediately prior to the Effective Time (other than the Excluded Shares (as defined in the Merger Agreement)) and the Dissenting Shares (as defined in the Merger Agreement) was cancelled and ceased to exist in exchange for the right to receive US$0.066 per share (the \"Per Share Merger Consideration\") in cash, and (ii) each Excluded Share was cancelled and ceased to exist without payment of any consideration or distribution therefor.\n\nFrom and after the Effective Time, each warrant to purchase Ordinary Shares of the Issuer (the \"Company Warrant\") was, by virtue of the Merger, treated in the manner as set forth in the warrant agreement, dated June 8, 2021, by and between Summit Health Acquisition Corp. and Continental Stock Transfer & Trust Company, as amended by the warrant assignment agreement, dated September 29, 2022, by and among Summit Healthcare Acquisition Corp., the Issuer and Continental Stock Transfer & Trust Company.\n\nPursuant to Section 4.5 of the Warrant Agreement, in the case of any merger or consolidation of the Issuer with or into another corporation (other than a consolidation or merger in which the Issuer is the continuing corporation and that does not result in any reclassification or reorganization of the issued and outstanding Ordinary Shares), the holders of the Company Warrants shall thereafter have the right to purchase and receive, upon the basis and upon the terms and conditions specified in the Company Warrants and in lieu of the Ordinary Shares immediately theretofore purchasable and receivable upon the exercise of the rights represented thereby, the kind and amount of shares or stock or other securities or property (including cash) receivable upon such merger or consolidation, that the holder of the Company Warrants would have received if such holder had exercised his, her or its Company Warrant(s) immediately prior to such event. Accordingly, as a result of the Merger and immediately after the Effective Time, the holder(s) of each of the Company Warrants that were issued and outstanding immediately prior to the Effective Time have the right to receive US$0.0066 (being one-tenth of the Per Share Merger Consideration as one Company Warrant is exercisable for one-tenth of an Ordinary Share) per Company Warrant in cash, upon the exercise of such Company Warrant by paying US$11.5, the exercise price per Company Warrant, to the surviving company.\n\nSection 4.5 of the Warrant Agreement further provides that, if less than 70% of the consideration receivable by the holders of the Ordinary Shares in such a transaction is payable in the form of shares in the successor entity that is listed for trading on a national securities exchange or is quoted in an established over-the-counter market, or is to be so listed for trading or quoted immediately following such event, and if the registered holder of the Company Warrant properly exercises the Company Warrant within thirty days following public disclosure of the consummation of such applicable event by the Issuer, the warrant exercise price will be reduced as specified in the Warrant Agreement based on the Black-Scholes value (as defined in the Warrant Agreement) of the Company Warrant.\n\nIn addition to the foregoing, at the Effective Time, the Issuer terminated the 2020 Share Incentive Plan of the Issuer (the \"2020 Plan\") and the 2024 Share Incentive Plan of the Issuer (the \"2024 Plan\", together with the 2020 Plan, collectively, the \"Share Incentive Plans\") and all award agreements entered into thereunder in respect of each option to purchase Ordinary Shares (the \"Company Option\") and each restricted share unit or the right to acquire Ordinary Shares (the \"Company RSU\") granted under the Share Incentive Plans.\n\nAt the Effective Time, each Company Option granted under the 2020 Plan that was not vested and was outstanding immediately prior to the Effective Time was fully vested as of the Effective Time. Each of the Company Options granted under the 2020 Plan that were fully vested and outstanding immediately prior to the Effective Time and the unvested Company Options that became fully vested as of the Effective Time pursuant to the preceding sentence was cancelled as of the Effective Time and immediately converted into the right to receive in exchange therefor an amount of cash equal to (i) the excess, if any, of (A) the Per Share Merger Consideration over (B) the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option, which amount will be paid as soon as reasonably practicable following the Effective Time by the surviving company pursuant to the ordinary payroll practices; provided, that if the exercise price of any such vested Company Option was equal to or greater than the Per Share Merger Consideration, such vested Company Option was cancelled without any payment therefor.\n\nEach Company RSU granted under the 2020 Plan that was not vested and was outstanding immediately prior to the Effective Time was fully vested immediately prior to the Effective Time. Each of the Company RSUs granted under the 2020 Plan that were fully vested and outstanding immediately prior to the Effective Time and the unvested Company RSUs that became fully vested as of the Effective Time pursuant to the preceding sentence was cancelled as of the Effective Time and immediately converted into the right to receive in exchange therefor an amount of cash equal to (i) the Per Share Merger Consideration, multiplied by (ii) the number of Ordinary Shares subject to such Company RSU, which amount will be paid as soon as reasonably practicable following the Effective Time by the surviving company pursuant to the ordinary payroll practices.\n\nAt the Effective Time, except as otherwise agreed to in writing between a holder of a Company Option and Parent, each Company Option under the 2024 Plan, whether vested or unvested, was assumed by Parent as an option to purchase the Parent Shares under an equity incentive plan to be established by Parent, exercisable into a number of Parent Shares equal to the product of (i) the number of Ordinary Shares subject to the corresponding Company Option immediately prior to the Effective Time, multiplied by (ii) a fraction (such ratio, the \"Exchange Ratio\"), the numerator of which is the Per Share Merger Consideration and the denominator of which is the fair market value of a Parent Share as of the Effective Time and rounding such product down to the nearest whole number of Parent Shares, with an exercise price per share subject to the assumed option equal to the exercise price for which the corresponding Company Option was exercisable immediately prior to the Effective Time divided by the Exchange Ratio, and rounded up to the nearest whole cent. Except as provided above, each assumed option continues to have, and is subject to, the same terms and conditions as the corresponding Company Option set forth in the 2024 Plan and the applicable award agreement as in effect immediately prior to the Effective Time.\n\nAt the Effective Time, except as otherwise agreed to in writing between a holder of a Company RSU and Parent, each Company RSU under the 2024 Plan, whether vested or unvested, was assumed by Parent as a restricted stock unit award with respect to a number of Parent Shares equal to the product of (i) the number of Ordinary Shares subject to such Company RSU immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, rounding such product down to the nearest whole number of Parent Shares. Except as provided above, each assumed restricted stock unit award continues to have, and is subject to, the same terms and conditions as the corresponding Company RSU set forth in the 2024 Plan and the applicable award agreement as in effect immediately prior to the Effective Time.\n\nThe Financial Industry Regulatory Authority, Inc. (\"FINRA\") was notified about the Merger prior to its effectiveness, and is expected to remove the Company's trading symbols on or after the date hereof, and as a result the Ordinary Shares and the Company Warrants will be ceased to be quoted on the OTC Pink of the OTC Markets. The Issuer intends to suspend its reporting obligations under the Act by filing a certification and notice on Form 15 with the SEC. The Issuer's reporting obligations under the Act will be suspended immediately as of the filing date of the Form 15 and will terminate once the deregistration becomes effective.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1946399/000121390026071708/0001213900-26-071708-index.html" }, { "accession_no": "0001193125-26-282713", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2123613, "issuer_name": "Kardigan, Inc.", "issuer_cusip": "485925101", "securities_class_title": "Common Stock, par value $0.00001 per share", "date_of_event": "2026-06-18", "filed_date": "2026-06-25", "item3_funds_source": "The source of funds for the acquisitions of the Common Stock reported on this Schedule 13D was working capital of the Master Fund and PCS Holdings.", "item4_transaction_purpose": "The Reporting Persons acquired the shares of Common Stock set forth in Item 5(c) and hold their shares of Common Stock for investment purposes. Douglas Giordano serves as a member of the Issuer's board of directors, and is a Managing Director at Perceptive Advisors.\n\nEach Reporting Person expects to continuously review such person's investment in the Issuer and, depending on various factors including but not limited to, the price of the shares of Common Stock, the terms and conditions of the transaction, prevailing market conditions and such other considerations as such Reporting Person deems relevant, may at any time or from time to time, and subject to any required regulatory approvals, acquire additional shares of Common Stock, preferred stock or other securities convertible into or exercisable or exchangeable for Common Stock from time to time on the open market, in privately- negotiated transactions, directly from the Issuer, or upon the exercise or conversion of securities convertible into or exercisable or exchangeable for Common Stock.\n\nEach Reporting Person also may, at any time, subject to compliance with applicable securities laws and regulatory requirements dispose or distribute some or all of its or his Common Stock or such other securities as it or he owns or may subsequently acquire depending on various factors, including but not limited to, the price of the shares, the terms and conditions of the transaction and prevailing market conditions, as well as the liquidity and diversification objectives.\n\nConsistent with their investment intent, each Reporting Person may from time to time discuss with the Issuer's management, directors, other shareholders and others, the Issuer's performance, business, strategic direction, capital structure, product development program, prospects and management, as well as various ways of maximizing stockholder value, which may or may not include extraordinary transactions.\n\nExcept as indicated herein, no Reporting Person, as a stockholder of the Issuer, has any plans or proposals that relates or would result in any of the transactions or other matters specified in clauses (a) through (j) of Item 4 of Schedule 13D. Each Reporting Person may, at any time and from time to time, review or reconsider its or his position and/or change its or his purpose and/or formulate plans or proposals with respect thereto.\n\nThe information set forth in Item 6 below is incorporated by reference to this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2123613/000119312526282713/0001193125-26-282713-index.html" }, { "accession_no": "0001193125-26-282228", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1456772, "issuer_name": "Office Properties Income Trust", "issuer_cusip": "67623C307", "securities_class_title": "Common Shares of Beneficial Interest", "date_of_event": "2026-06-17", "filed_date": "2026-06-25", "item3_funds_source": "On October 30, 2025, the Issuer and certain of its subsidiaries, filed voluntary petitions for relief under Chapter 11 of the United States Bankruptcy Code in the United States Bankruptcy Court for the Southern District of Texas (the \"Bankruptcy Court\"). On April 22, 2026, the Bankruptcy Court entered an order confirming the Fourth Amended Joint Chapter 11 Plan of Reorganization of Office Properties Income Trust and Its Debtor Affiliates (the \"Plan\"). As of June 17, 2026, the effective date of the Plan (the \"Effective Date\"), the Helix Funds held (i) certain of the Issuer's 9.00% senior secured notes due September 2029 (the \"September 2029 Notes\"), (ii) certain unsecured claims against the Issuer (the \"Unsecured Notes Claims\"), and (iii) certain debtor-in-possession financing claims against the Issuer (the \"DIP Claims\").\n\nPursuant to the Plan, and as a result of being holders of the September 2029 Notes, Unsecured Notes Claims and DIP Claims, on the Effective Date, the Helix Funds received, in the aggregate, a combination of consideration consisting of: (i) $92,564,000 aggregate principal amount of the Issuer's 10.000% senior secured notes due 2031 (the \"Secured Exit Notes\"), representing their pro rata share of the Secured Exit Notes, (ii) $42,097,000 aggregate principal amount of the Secured Exit Notes, representing their additional portion of the Secured Exit Notes, (iii) 5,551,703 Common Shares, and (iv) Warrants to purchase 13,314 Common Shares (the \"Warrants\").", "item4_transaction_purpose": "The response to Item 3 of this Schedule 13D is incorporated by reference herein.\n\nThe Reporting Persons acquired the Secured Exit Notes, the Common Shares, and the Warrants in connection with the Issuer's emergence from bankruptcy on the Effective Date.\n\nOn the Effective Date, the Issuer adopted its Fourth Amended and Restated Bylaws, which provides that the Board of Trustees (the \"Board\") of the Issuer shall include up to three Trustees who are initially designated for appointment to the Board by Helix Partners, with such designation right consisting of (a) up to three Trustees so long as Helix Partners and its affiliates beneficially own 15% or more of the outstanding Common Shares of the Issuer, (b) up to two Trustees so long as Helix Partners and its affiliates beneficially own 10% or more of the outstanding Common Shares of the Issuer and (c) up to one Trustee so long as Helix Partners and its affiliates beneficially own 5% or more of the outstanding Common Shares of the Issuer. Pursuant to the Fourth Amended and Restated Bylaws, Mr. Heller was appointed to the Board, as designated by Helix Partners, and Mr. Heller was also named the Chairman of the Board, effective as of the Effective Date. Helix Partners did not initially designate other Trustees for appointment as of the Effective Date.\n\nIn addition, as of the Effective Date, the Issuer entered into a board observation rights agreement with Helix Partners (the \"Board Observation Rights Agreement\"), which provides that Helix Partners is entitled to appoint one non-voting Board Observer so long as Helix Partners beneficially owns 15% or more of the outstanding Common Shares of the Issuer. Pursuant to the Board Observation Rights Agreement, Helix Partners appointed Jonathan Wietschner as its Board Observer, effective as of the Effective Date. The foregoing description of the Board Observation Rights Agreement is qualified in its entirety by reference to the full text of the Board Observation Rights Agreement, which is attached hereto as Exhibit 99.2 and incorporated herein by reference.\n\nFurther, as of the Effective Date, the Issuer and CSC Delaware Trust Company, as warrant agent, entered into a warrant agreement (the \"Warrant Agreement\"), pursuant to which the Issuer issued the Warrants in accordance with the Plan, pursuant to which Helix Strategic Fund II has the right, until June 17, 2033, to purchase up to 13,314 Common Shares at an initial exercise price of $25.00 per share, subject to customary anti-dilution and other adjustments in accordance with the terms of the Warrant Agreement. The foregoing description of the Warrant Agreement is qualified in its entirety by reference to the full text of the Warrant Agreement, which is incorporated herein by reference to Exhibit 4.3 of the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 23, 2026.\n\nAs the Chairman of the Board, Mr. Heller is continually involved in influencing and considering the strategy and operations of the Issuer. In such capacity, Mr. Heller is involved in all significant aspects of the Issuer, including the Issuer's business, operations, management, ownership, capital and corporate structure, dividend policy, corporate governance, board composition, incentive programs and transactions as a means of enhancing shareholder value, including share repurchases and strategic and other corporate transactions. Moreover, as a result of their ownership interest in the Issuer, the Reporting Persons exercise significant influence over the Issuer's business practices and strategy and all matters requiring action by the Issuer's shareholders, including the election of the Board of the Issuer and the ability as shareholders to approve or reject strategic or other corporate transactions.\n\nIn connection with strategic or other corporate transactions, Mr. Heller, together with the other Reporting Persons, have in the past engaged and expect to continue to engage in discussions with, and may exchange information with, potential strategic partners, acquirers/co-acquirers, investment professionals and potential financing sources, may participate in any related transaction as principal and/or as a provider of financing and may enter into agreements with respect to the foregoing. Mr. Heller, together with the other Reporting Persons, have in the past considered and may in the future consider a wide variety of matters and plans or proposals that could result in the occurrence of any of the matters set forth in clauses (a)-(j) of Item 4 of Schedule 13D.\n\nThe Reporting Persons review their investment in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position, results of operations, price levels of the Common Shares, conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take or propose to take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, acquiring additional Common Shares or Warrants (or other securities of or interests in the Issuer) and/or the entirety of the Issuer or disposing of all or a portion of the Common Shares or Warrants (or other securities of or interests in the Issuer, including the Secured Exit Notes) beneficially owned by them in the public markets, in privately negotiated transactions or otherwise, and potentially entering into derivative or other transactions that increase or decrease the Reporting Persons' economic interest in or control over the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1456772/000119312526282228/0001193125-26-282228-index.html" }, { "accession_no": "0001171520-26-000160", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1036044, "issuer_name": "Identiv, Inc. (INVE)", "issuer_cusip": "45170X205", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-24", "filed_date": "2026-06-25", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to include the following:\n\nOn June 24, 2026, the Issuer entered into a Stock and Asset Purchase Agreement (the \"Purchase Agreement\") with Trackonomy Systems, Inc., a Delaware corporation (\"Buyer\"), providing for purchase certain equity interests and assets from the Issuer on the terms and subject to the conditions set forth therein (the \"Transaction\").\n\nOn June 24, 2026, Bleichroeder and certain funds and managed accounts managed by Bleichroeder (collectively, the \"Voting Agreement Parties\") entered into a Voting and Support Agreement (a copy of which is attached as Exhibit 4.1 hereto) (the \"Voting Agreement\") with Buyer and the Issuer, pursuant to which the Voting Agreement Parties agreed, among other things, to (a) appear at any meeting of the stockholders of the Issuer or otherwise cause the Shares and shares of Preferred Stock beneficially owned held by the Voting Agreement Parties as of such date (such number of shares, the \"Covered Shares\") to be counted as present thereat for purposes of calculating a quorum and (b) vote (or cause to be voted) all of such Covered Shares (i) in favor of the Transaction; (ii) in favor of the approval to adjourn or postpone any meeting of the stockholders of the Issuer if there are not sufficient votes for adoption of the Purchase Agreement on such date; (iii) against any action or agreement that would reasonably be expected to result in a breach by the Issuer of Purchase Agreement; (iv) against any action, proposal, transaction or agreement that would reasonably be expected to prevent, impede, frustrate, interfere with, postpone, materially delay or adversely affect the consummation of the Transaction or the fulfillment of Buyer's or the Issuer's conditions under the Purchase Agreement and the Transaction Documents; and (v) against any Acquisition Proposal (as such term is defined in the Purchase Agreement), provided that, in each case, the Voting Agreement Parties shall not be required to vote in favor of the Transaction if, and only if, the Purchase Agreement has been amended or modified without the Voting Agreement Parties' consent to reduce the consideration payable to the Issuer or otherwise amend the material terms of the Purchase Agreement in a manner that is materially adverse to the stockholders of the Issuer.\n\nThe Voting Agreement will terminate upon the earlier of (i) the conclusion of the meeting of the stockholders of the Issuer called to vote upon the Transaction at which a vote upon the Transaction has occurred and the Covered Shares have been voted as specified in accordance with the terms of the Voting Agreement, (ii) the termination of the Purchase Agreement in accordance with its terms and (iii) the date on which Buyer and the Voting Agreement Parties agree in writing to terminate the Voting Agreement.\n\nThe foregoing description of the Voting Agreement is not complete and is qualified in its entirety by reference to the Voting Agreement included as Exhibit 4.1 to this Amendment No. 5, which is incorporated herein by reference.\n\nOn June 24, 2026, Bleichroeder entered into a letter agreement (a copy of which is attached as Exhibit 4.2 hereto) (the \"Governance Letter Agreement\") with Issuer pursuant to which the Issuer agreed, among other things, to (a) include in its upcoming proxy statement a proposal seeking stockholder approval of Bleichroeder's ability to convert Series B Preferred Stock in excess of 19.9% of Issuer's outstanding Common Stock and to exceed 19.9% of Issuer's outstanding stock generally; (b) for a three-year period, not to amend or modify its bylaws to prevent, impair or delay the ability of stockholders holding 10% or more of Issuer's outstanding capital stock from calling special meetings of stockholders, and to consult reasonably with Bleichroeder with respect to dividends, distributions, stock repurchases and other transactions providing liquidity to stockholders; (c) provide Bleichroeder with the right to nominate one designee, reasonably acceptable to the then-current board of directors, for election to the board of directors at each annual meeting of stockholders for so long as Bleichroeder holds at least 20% of Issuer's outstanding Common Stock, including for this purpose securities convertible into Common Stock without giving effect to any conversion limitations applicable to the Series B Preferred Stock, and a second such designee if Bleichroeder's ownership increases to 40% or more; (d) use reasonable best efforts to obtain the election of any such Bleichroeder designees and, upon Bleichroeder's request, to appoint any such designees then serving on the board of directors to any committee designated to review or oversee strategic alternatives for Issuer, subject to customary recusal requests in the event of any potential conflict of interest. The Governance Letter Agreement further contains Issuer's acknowledgment that the restrictions on business combinations under Section 203 of the Delaware General Corporation Law are no longer applicable to Bleichroeder, Bleichroeder's acknowledgment and agreement that the Board and its committees must satisfy applicable Nasdaq and SEC independence requirements, and Bleichroeder's agreement that, if it acquires more than 40% of Issuer's voting stock, it shall vote shares held above such threshold in the same proportion as shares voted by Issuer's other stockholders.\n\nThe foregoing description of the Governance Letter Agreement is not complete and is qualified in its entirety by reference to the Governance Letter Agreement included as Exhibit 4.2 to this Amendment No. 5, which is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1036044/000117152026000160/0001171520-26-000160-index.html" }, { "accession_no": "0001104659-26-077544", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 935703, "issuer_name": "Dollar Tree, Inc.", "issuer_cusip": "256746108", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-25", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the addition of the following:\n\nOn June 24, 2026, based on elections made by the limited partners of the Mantle Ridge Funds, Mantle Ridge distributed in kind 10,476,108 shares of Common Stock to those of the Mantle Ridge limited partners of the Mantle Ridge Funds who elected to receive shares of Common Stock, of which 209,944 shares of Common Stock remain controlled by the general partner of the Mantle Ridge Funds. A portion of such shares of Common Stock comprised 602,170 shares of Common Stock obtained through the physical settlement, on June 24, 2026, by certain of the Mantle Ridge Funds of a portion of their Deemed PSF Agreements. Additionally, to facilitate the preference of those limited partners seeking cash, certain of the Mantle Ridge Funds sold, pursuant to Rule 144 under the Securities Act of 1933, as amended, an aggregate 2,230,455 shares of Common Stock at a price per share of $111.31.\n\nSubstantially concurrently with the foregoing, the Mantle Ridge Funds terminated all of their remaining Deemed PSF Agreements, covering 934,341 shares of Common Stock, and their remaining Deemed CSF Agreements, covering 9,655,604 shares of Common Stock, in each case using a reference price per share of $111.31.\n\nFollowing the transactions described above, Paul Hilal will continue serving on the board of directors of the Issuer. Those shares that remain under his voting or dispositive control will remain subject to the disclosure, reporting, and other obligations of the securities laws.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/935703/000110465926077544/0001104659-26-077544-index.html" }, { "accession_no": "0000921895-26-001676", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1365767, "issuer_name": "Allot Ltd.", "issuer_cusip": "M0854Q105", "securities_class_title": "Ordinary Shares, par value ILS 0.10 per share", "date_of_event": "2026-06-18", "filed_date": "2026-06-25", "item3_funds_source": "The Shares purchased by Philotimo were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The Shares purchased by PHLOX were purchased with the funds for the accounts of its customers (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The Shares purchased by KWM on behalf of the Managed Accounts were purchased with the funds for the accounts of its customers (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The aggregate purchase price of the 2,320,000 Shares beneficially owned by Philotimo is approximately $10,956,878, including brokerage commissions. The aggregate purchase price of the 1,200,000 Shares beneficially owned by PHLOX is approximately $4,227,564, including brokerage commissions. The aggregate purchase price of the 1,236,874 Shares held in the Managed Accounts is approximately $7,802,301, including brokerage commissions. The aggregate purchase price of the 36,167 Shares beneficially owned by Mr. Kanen is approximately $210,076, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons recently engaged with the Issuer's management and Board of Directors regarding opportunities for value creation. Following the Issuer's announcement on June 23, 2026 that it has authorized a share repurchase program of up to $40 million of the Shares, the Reporting Persons no longer hold securities of the Issuer with a purpose or effect of changing or influencing control of the Issuer, or in connection with or as a participant in any transaction having that purpose or effect. Accordingly, the Reporting Persons intend to make future filings relating to the Issuer on Schedule 13G pursuant to Rule 13d-1(c) of the Exchange Act in accordance with Rule 13d-1(h) of the Exchange Act.\n\nThe Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nExcept as noted in this Schedule 13D, no Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board of Directors of the Issuer, engaging in discussions with stockholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1365767/000092189526001676/0000921895-26-001676-index.html" }, { "accession_no": "0000921895-26-001674", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1772720, "issuer_name": "SPRUCE POWER HOLDING CORP", "issuer_cusip": "9837FR209", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-23", "filed_date": "2026-06-25", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe aggregate purchase price of the 3,429,380 Shares owned directly by SP Strategic Holdings is approximately $12,152,834, including brokerage commissions. Such Shares were acquired with SP Strategic Holdings' cash on hand. The aggregate purchase price of the 50,000 Shares owned directly by Mr. Howard is approximately $80,010, including brokerage commissions. Such Shares were acquired with Mr. Howard's personal funds.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nAs part of the Issuer's ongoing engagement with stockholders, beginning in February 2026, the Issuer discussed and received feedback regarding its governance and operations with the Reporting Persons. As part of these discussions, the Issuer and the Reporting Persons discussed the composition of its Board of Directors (the \"Board\") and the possibility of redomiciling the Issuer in Texas.\n\nOn June 23, 2026, the Issuer filed a definitive proxy statement with the Securities and Exchange Commission announcing the nomination of Mr. Howard for election to the Board at the 2026 annual meeting of stockholders of the Issuer (the \"Annual Meeting\"), to be elected for a three-year term. Mr. Howard was recommended for nomination to be elected as a director at the Annual Meeting by the Issuer's chief executive officer and after consideration was nominated by the Nominating and Corporate Governance Committee following its review of his background, qualifications and skills, and in consideration of the materials he submitted to the Issuer and the Board in connection with his evaluation as a director candidate.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1772720/000092189526001674/0000921895-26-001674-index.html" }, { "accession_no": "0000921895-26-001671", "submission_type": "SCHEDULE 13D/A", "amendment_no": 16, "issuer_cik": 1318484, "issuer_name": "Citi Trends Inc", "issuer_cusip": "17306X102", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-25", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares purchased by the Reporting Person were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 1,823,486 Shares beneficially owned by the Reporting Person is approximately $43,543,205, including brokerage commissions.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nThe sales of Shares reported herein were undertaken as part of a portfolio rebalancing. The Reporting Person continues to express confidence in the Issuer's leadership and strategic direction, and its long-term value.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1318484/000092189526001671/0000921895-26-001671-index.html" }, { "accession_no": "0000919574-26-004098", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1456772, "issuer_name": "Office Properties Income Trust", "issuer_cusip": "67623C307", "securities_class_title": "Common Shares of Beneficial Interest", "date_of_event": "2026-06-17", "filed_date": "2026-06-25", "item3_funds_source": "On October 30, 2025, the Issuer and certain of its subsidiaries, filed voluntary petitions for relief under Chapter 11 of the United States Bankruptcy Code in the United States Bankruptcy Court for the Southern District of Texas (the \"Bankruptcy Court\"). On April 22, 2026, the Bankruptcy Court entered an order confirming the Fourth Amended Joint Chapter 11 Plan of Reorganization of Office Properties Income Trust and Its Debtor Affiliates (the \"Plan\"). At the time of the confirmation of the Plan, the Redwood Funds held (i) certain of the Issuer's 9.00% senior secured notes due September 2029 (the \"September 2029 Notes\") and (ii) certain debtor-in-possession financing claims against the Issuer (the \"DIP Claims\").\n\nPursuant to the Plan, and as a result of being holders of the September 2029 Notes and the DIP Claims, on June 17, 2026, the effective date of the Plan (the \"Effective Date\"), the Redwood Funds received, in the aggregate, a combination of consideration consisting of: (i) $71,902,000 aggregate principal amount of the Issuer's 10.000% senior secured notes due 2031 (the \"Secured Exit Notes\"), representing their pro rata share of the Secured Exit Notes, (ii) $10,912,000 aggregate principal amount of the Secured Exit Notes, representing their additional portion of the Secured Exit Notes, and (iii) 4,324,000 Common Shares.", "item4_transaction_purpose": "The response to Item 3 of this Schedule 13D is incorporated by reference herein.\n\nThe Reporting Persons acquired the Secured Exit Notes and the Common Shares in connection with the Issuer's emergence from bankruptcy on the Effective Date.\n\nOn the Effective Date, the Issuer adopted its Fourth Amended and Restated Bylaws, which provides that the Board of Trustees (the \"Board\") of the Issuer shall include up to two Trustees who are initially designated for appointment to the Board by Redwood Capital, with such designation right consisting of (a) up to two Trustees so long as Redwood Capital and its affiliates beneficially own 10% or more of the outstanding Common Shares of the Issuer and (b) up to one Trustee so long as Redwood Capital and its affiliates beneficially own 5% or more of the outstanding Common Shares of the Issuer. Pursuant to the Fourth Amended and Restated Bylaws, Jonathan Kolatch was appointed to the Board, effective as of the Effective Date, as designated by Redwood Capital. Redwood Capital did not initially designate a second Trustee for appointment as of the Effective Date.\n\nIn addition, as of the Effective Date, the Issuer entered into a board observation rights agreement with Redwood Capital (the \"Board Observation Rights Agreement\"), which provides that Redwood Capital is entitled to appoint one non-voting Board Observer so long as Redwood Capital beneficially owns 15% or more of the outstanding Common Shares of the Issuer. Redwood Capital did not initially appoint a Board Observer as of the Effective Date. The foregoing description of the Board Observation Rights Agreement is qualified in its entirety by reference to the full text of the Board Observation Rights Agreement, which is attached hereto as Exhibit 99.2 and incorporated herein by reference.\n\nIn connection with strategic or other corporate transactions, the Reporting Persons have in the past engaged and expect to continue to engage in discussions with, and may exchange information with, potential strategic partners, acquirers/co-acquirers, investment professionals and potential financing sources, may participate in any related transaction as principal and/or as a provider of financing and may enter into agreements with respect to the foregoing. The Reporting Persons have in the past considered and may in the future consider a wide variety of matters and plans or proposals that could result in the occurrence of any of the matters set forth in clauses (a)-(j) of Item 4 of Schedule 13D. As a result of their ownership interest in the Issuer, the Reporting Persons exercise significant influence over the Issuer's business practices and strategy and all matters requiring action by the Issuer's shareholders, including the election of the Board of the Issuer and the ability as shareholders to approve or reject strategic or other corporate transactions.\n\nThe Reporting Persons review their investment in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position, results of operations, price levels of the Common Shares, conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take or propose to take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, acquiring additional Common Shares (or other securities of or interests in the Issuer) and/or the entirety of the Issuer or disposing of all or a portion of the Common Shares (or other securities of or interests in the Issuer, including the Secured Exit Notes) beneficially owned by them in the public markets, in privately negotiated transactions or otherwise, and potentially entering into derivative or other transactions that increase or decrease the Reporting Persons' economic interest in or control over the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1456772/000091957426004098/0000919574-26-004098-index.html" }, { "accession_no": "0001683168-26-005083", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1977837, "issuer_name": "Made in USA Inc.", "issuer_cusip": "01642X208", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2025-08-26", "filed_date": "2026-06-24", "item3_funds_source": "The Reporting Person acquired beneficial ownership of 9,370,600 shares of Common Stock as\nfollows:\n\n(i) 1,370,600 shares were acquired on August 26, 2025, at $1.67 per share for aggregate\nconsideration of $2,285,475.50 from the working capital of the Reporting Person.\n\n(ii) 8,000,000 shares issued on October 7, 2025, as founder/sponsor shares for nominal\nconsideration of $200 in the aggregate.", "item4_transaction_purpose": "The Reporting Person acquired the securities for investment purposes as a founder and\nsignificant shareholder of the Issuer. The Reporting Person may, from time to time, acquire\nadditional securities of the Issuer or dispose of some or all the securities it holds, depending on\nmarket conditions, the Issuer's performance, and other factors. The Reporting Person anticipates\nthat the Issuer may pursue acquisitions, mergers, or financing transactions in furtherance of its\nbusiness plan. Except as set forth above, the Reporting Person has no present plans or proposals\nthat relate to or would result in any of the actions described in subparagraphs (a) through (j) of\nItem 4 of Schedule 13D. The Reporting Person reserves the right to change its plans and\nintentions at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1977837/000168316826005083/0001683168-26-005083-index.html" }, { "accession_no": "0001493152-26-029872", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1701478, "issuer_name": "Azitra, Inc.", "issuer_cusip": "05479L302", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-24", "item3_funds_source": "The Reporting Person received 22,241 Incentive Stock Options to purchase shares of the Issuer's Common Stock as compensation for serving as Chief Executive Officer of the Company.\n\nThe Reporting Person acquired shares of Preferred Stock that automatically converted into 4,064,050 shares of the Issuer's Common Stock on June 16, 2026. The Reporting Person also holds warrants to purchase up to 8,128,100 shares of the Issuer's Common Stock, of which 1,334,748 warrants may be exercised in the 60 days following the date hereof, and the remainder are subject to a beneficial ownership limitation contained in the warrants.\n\nThe Preferred Stock that converted into shares of the Issuer's Common Stock and the warrants were purchased with personal funds. No borrowed funds were used to acquire the securities reported.", "item4_transaction_purpose": "The Reporting Person acquired the securities for investment purposes and currently intends to hold the securities for investment. The Reporting Person may from time to time acquire additional securities of the Issuer or dispose of securities of the Issuer depending on market conditions, the Issuer's business and prospects, and other relevant factors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1701478/000149315226029872/0001493152-26-029872-index.html" }, { "accession_no": "0001346824-26-000183", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1707502, "issuer_name": "SOLID BIOSCIENCES INC.", "issuer_cusip": "83422E204", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nOn June 18, 2026, the Fund purchased 338,100 shares of common stock at prices ranging from $8.25 to $8.35 and a weighted-average price of $8.30 per share through open market purchases.\n\nOn June 22, 2026, the Fund purchased 2,358,048 shares of common stock in an at-the-market offering by the Issuer (the \"ATM Offering\") at a price of $8.20 per share.\n\nAll purchases of the securities described herein were for cash and were funded by working capital of the Fund.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1707502/000134682426000183/0001346824-26-000183-index.html" }, { "accession_no": "0001213900-26-071508", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 2049733, "issuer_name": "Blackstone Private Real Estate Credit & Income Fund", "issuer_cusip": "000000000", "securities_class_title": "Common Shares of Beneficial Interest", "date_of_event": "2026-06-23", "filed_date": "2026-06-24", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to add the following:\n\nOn June 1, 2026, BMACX subscribed for 765,110.941 Common Shares. The aggregate purchase price for BMACX's investment was $20,000,000. BMACX was deemed to acquire the securities on June 23, 2026, when the net asset value of the Common Shares was determined. The source of funds for the purchase of the Common Shares by BMACX was from working capital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2049733/000121390026071508/0001213900-26-071508-index.html" }, { "accession_no": "0001193125-26-281378", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1876581, "issuer_name": "Imperial Petroleum Inc.", "issuer_cusip": "Y3894J187", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": "Item 3 of the Statement is hereby amended by adding the following paragraphs to the end of Item 3:\n\nThis Amendment No. 11 is being filed by the Reporting Persons to update number of shares of Common Stock of the Issuer beneficially owned by the Reporting Persons to reflect (1) that between December 11, 2025 and December 12, 2025, Arethusa acquired an aggregate of 241,225 shares of Common Stock for $1,039,977.71 (including commissions) in open market purchases using its working capital, (2) 33,627 shares of Common Stock transferred by Mr. Vafias's father, Nikolaos Vafias, to Mr. Vafias without consideration on June 22, 2026 and (3) 440,000 shares of restricted common stock, 50% of which vest on June 22, 2027 and 50% of which vest on June 22, 2028, subject to satisfaction of time-based vesting, acquired by Harry Vafias as compensatory awards on June 22, 2026. On June 22, 2026, Mr. Vafias also acquired, as compensatory awards, options exercisable to acquire 299,000 shares of Common Stock at an exercise price per share of $4.95, the closing price of the Common Stock on June 22, 2026, and an option expiration date of June 22, 2036, 50% of which options vest on June 22, 2027 and 50% of which options vest on June 22, 2028, subject to satisfaction of the time-based vesting terms, which underlying shares are excluded from the number of shares beneficially owned by Mr. Vafias.\n\nThis Amendment No. 11 also updates the number of shares of Common Stock beneficially owned by Mr. Vafias to reflect that previously awarded stock options to acquire 50,000 shares of Common Stock at a price of $3.60 per share and 117,188 shares of Common Stock at a price of $3.20 per share have vested and previously awarded stock options to acquire 149,502 shares of Common Stock at a price of $3.01 per share are scheduled to vest within 60 days of the date of this report, on August 8, 2026.\n\nThis Amendment No. 11 also updates the percentage of shares of Common Stock of the Issuer beneficially owned by the Reporting Persons to reflect shares of Common Stock repurchased by the Issuer reducing the total number of shares of Common Stock outstanding and shares issued upon the exercise of pre-funded warrants increasing the number of shares of Common Stock outstanding.", "item4_transaction_purpose": "The Reporting Persons acquired the securities described in this Schedule 13D for investment purposes and intend to review their investment in the Issuer on a continuing basis. Any Reporting Person may from time to time acquire additional securities of the Issuer, or retain or sell all or a portion of the shares then held by the Reporting Persons, in the open market, block trades, underwritten public offerings or privately negotiated transactions. Any actions any Reporting Person might undertake with respect to its investment in the Issuer may be made at any time and from time to time and will be dependent upon such Reporting Person's review of numerous factors, including, but not limited to: ongoing evaluation of the Issuer's business, financial condition, operations, prospects and strategic alternatives; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; tax considerations; liquidity of the Issuer's securities; and other factors and future developments.\n\nMr. Vafias serves as the Chairman and Chief Executive Officer of the Issuer and therefore regularly engages in discussions with management of the Issuer, the board of directors of the Issuer, other shareholders of the Issuer and other relevant parties, which discussions may include matters ranging from the operations and conduct of the Issuer's business to considering or exploring extraordinary corporate transactions including the events listed in Items 4(a) through 4(j) of Schedule 13D. In connection with these discussions, the Reporting Persons may, either directly or through one or more affiliates, determine to take any available course of action or to take no course of action and may at any time and from time to time take steps to further or implement such course of action, including any of the events listed in Items 4(a) through 4(j) of Schedule 13D. Any action or actions the Reporting Persons may undertake with respect to their investment in the Issuer or the operations and conduct of the Issuer's business will be dependent upon the Reporting Persons' review of numerous factors, including those listed above, and the Reporting Persons specifically reserve the right to change their intentions, or to formulate plans and proposals, with respect to any or all of the matters described in this paragraph, subject to applicable law and regulations.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1876581/000119312526281378/0001193125-26-281378-index.html" }, { "accession_no": "0001193125-26-281303", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1504678, "issuer_name": "Loop Industries, Inc.", "issuer_cusip": "543518104", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": "All of the shares of Common Stock to which this Statement relates were purchased on behalf of the Reporting Persons using the investment capital of the Reporting Persons. Such shares of Common Stock are or may be held from time to time in margin accounts established with their respective brokers or banks, and a portion of the purchase price for the Common Stock may have been obtained through margin borrowing. Common Stock positions held in margin accounts may be pledged as collateral security for the repayment of debit balances in the margin accounts. The aggregate purchase price of the 3,335,429 shares of Common Stock acquired was approximately $5,531,129.60 (excluding commissions).", "item4_transaction_purpose": "The Reporting Persons purchased the shares of Common Stock for investment purposes, and such purchases have been made in the ordinary course of business of the Reporting Persons.\n\nIn pursuing such investment purposes, the Reporting Persons may further purchase, hold, vote, trade, dispose, or otherwise deal in the Common Stock at times, and in such manner, as they deem advisable to benefit from, among other things, (1) changes in the market prices of the shares of Common Stock; (2) changes in the Issuer's operations, business strategy, or prospects; or (3) from the sale or merger of the Issuer. To evaluate such alternatives, the Reporting Persons will closely monitor the Issuer's operations, prospects, business development, management, competitive and strategic matters, capital structure, and prevailing market conditions, as well as other economic, securities markets, and investment considerations. Consistent with their investment research methods and evaluation criteria, the Reporting Persons have in the past discussed, and may in the future discuss, such matters with the management or Board of Directors of the Issuer (the \"Board\"), other stockholders, industry analysts, existing or potential strategic partners or competitors, investment and financing professionals, sources of credit, and other investors. Such evaluations and discussions may materially affect, and result in, among other things, the Reporting Persons (1) modifying their ownership of the Common Stock; (2) exchanging information with the Issuer pursuant to appropriate confidentiality or similar agreements; (3) proposing changes in the Issuer's operations, governance, or capitalization; or (4) pursuing one or more of the other actions described in subsections (a) through (j) of Item 4 of Schedule 13D.\n\nIn addition to the information disclosed in this Statement, the Reporting Persons reserve the right to (1) formulate other plans and proposals; (2) take any actions with respect to their investment in the Issuer, including any or all of the actions set forth in subsections (a) through (j) of Item 4 of Schedule 13D; and (3) acquire additional shares of Common Stock or dispose of some or all of the shares of Common Stock beneficially owned by them, in each case in the open market, through privately negotiated transactions, or otherwise.\n\nOn June 16, 2026, the Issuer appointed Mr. Jeffrey Geygan to its Board of Directors, effective June 22, 2026. There is no investor rights agreement, nomination agreement, or other arrangement between the the Issuer, GVIC, Mr. Jeffrey Geygan, or any other person pursuant to which Mr. Jeffrey Geygan was selected as a director by the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1504678/000119312526281303/0001193125-26-281303-index.html" }, { "accession_no": "0001193125-26-281134", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1799448, "issuer_name": "Aligos Therapeutics, Inc.", "issuer_cusip": "01626L204", "securities_class_title": "Common Stock, par value, $0.0001 per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-24", "item3_funds_source": "The Reporting Person acquired (approximately on a post-split basis) (i) 10,922 shares of Common Stock acquired indirectly by certain entities in connection with the conversion of preferred stock on October 20, 2020, in connection with the Issuer's initial public offering, and (ii) 24,411 shares of Common Stock and warrants exercisable for 12,206 shares of Common Stock for cash consideration of $499,999.95 in a private placement from the Issuer on October 25, 2023. The remaining shares of Common Stock were acquired by the Reporting Person as compensation by the Issuer in consideration for services rendered to the Issuer.", "item4_transaction_purpose": "General\n\nThe Reporting Person intends to review his investments in the Issuer on a continuing basis. Any actions the Reporting Person might undertake will be dependent upon the Reporting Person's review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nThe Reporting Person may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. The Reporting Person may also enter into financial instruments or other agreements with institutional or other counterparties that would increase or decrease the Reporting Person's economic exposure with respect to their investment in the Issuer, which instruments or agreements may or may not affect the Reporting Person's beneficial ownership in securities of the Issuer. In addition, the Reporting Person, in his positions as President, Chief Executive Officer and a director of the Issuer, may engage in discussions with management, the Issuer's board of directors (the \"Board\"), other securityholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or take-private transaction that could result in the de-listing or de-registration of the Common Stock; security offerings and/or stock repurchases by the Issuer; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nTo facilitate their consideration of such matters, the Reporting Person may retain consultants and advisors and may enter into discussions with potential sources of capital and other third parties. The Reporting Person may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements. The Reporting Person will likely take some or all of the foregoing steps at preliminary stages in their consideration of various possible courses of action before forming any intention to pursue any particular plan or direction.\n\nOther than as described above, the Reporting Person does not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Person may change his purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1799448/000119312526281134/0001193125-26-281134-index.html" }, { "accession_no": "0001193125-26-281039", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1951067, "issuer_name": "C3is Inc.", "issuer_cusip": "Y18284300", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": "Item 3 of the statement is hereby amended by adding the following paragraphs to the end of Item 3:\n\nThis Amendment No. 11 updates the number of shares of Common Stock beneficially owned by Imperial Petroleum as a result of changes in the conversion price of the 5.0% Series A Cumulative Convertible Perpetual Preferred Stock, par value $0.01 per share (the \"Series A Convertible Preferred Stock\"), of the Issuer. The conversion price has been adjusted to $2.0916 pursuant to the terms of the Series A Convertible Preferred Stock as a result of the adjustment of the exercise price of the Class D Warrants of the Issuer during the adjustment period applicable to such warrants, which ended June 22, 2026.\n\nThis Amendment No. 11 is also being filed to update the percentage of shares of Common Stock of the Issuer beneficially owned by Imperial Petroleum to reflect dilution in percentage ownership based on the revised total number of outstanding shares of Common Stock, including to reflect the issuance of shares by the Company under its at-the-market sales program.\n\nHarry N. Vafias, the Chairman, Chief Executive Officer and President of Imperial Petroleum, is the Non-Executive Chairman of the Issuer and is the beneficial owner of 718 shares of Common Stock, including through Arethusa Properties LTD and Flawless Management, Inc., as of the date hereof. John Kostoyannis and George Xiradakis, each a director of Imperial Petroleum, are each a director of the Issuer and own nil and nil shares of Common Stock, respectively, as of the date hereof.", "item4_transaction_purpose": "The Reporting Person involved in the securities described in this Schedule 13D in connection with the Spin-Off Distribution, and intends to review its investment in the Issuer on a continuing basis. The Reporting Person may from time to time acquire additional securities of the Issuer, or retain or sell all or portion of the shares then held by the Reporting Person, in the open market, block trades, underwritten public offerings or privately negotiated transactions. Any actions the Reporting Person might undertake with respect to its investment in the Issuer may be made at any time and from time to time and will be dependent upon the Reporting Person's review of numerous factors, including, but not limited to: ongoing evaluation of the Issuer's business, financial condition, operations, prospects and strategic alternatives; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; tax considerations; liquidity of the Issuer's securities; and other factors and future developments.\n\nMr. Vafias serves as the Non-Executive Chairman of the Issuer and John Kostoyannis and George Xiradakis each serve as a director of the Issuer, other shareholders of the Issuer and other relevant parties, which discussions may include matters ranging from the operations and conduct of the Issuer's business to considering or exploring extraordinary corporate transactions including the events listed in Item 4(a) through 4(j) of Schedue 13D. In connection with these discussions, the Reporting Person may, either directly or through one or more affiliates, determine to take any available course of action or to take no course of action and may at any time and from time to time take steps to further or implement such course of action, including any of the events listed in Item 4(a) through 4(j) of Schedule 13D. Any action or actions the Reporting Person may undertake with respect to its investment in the Issuer or the operations and conduct of the Issuer's business will be dependent upon the Reporting Person's review of numerous factors, including those listed above, and the Reporting Person specifically reserves the right to change its intentions, or to formulate plans and proposals, with respect to any or all of the matters described in this paragraph, subject to applicable law and regulations.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1951067/000119312526281039/0001193125-26-281039-index.html" }, { "accession_no": "0001193125-26-280387", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1742692, "issuer_name": "InMode Ltd.- Form 13D", "issuer_cusip": "M5425M103", "securities_class_title": "Ordinary Shares, par value NIS 0.01 per ordinary share", "date_of_event": "2026-06-15", "filed_date": "2026-06-24", "item3_funds_source": "The Reporting Person has formed a \"group\" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the \"Act\"), with the following persons (as further detailed in a Schedule 13D to be filed subsequently upon all M.N. Business Strategy Affiliates receiving EDGAR Codes to enable a filing; all information which will be needed in such subsequent filing is set forth herein):\n(i) M.N. Business Strategy, Ltd., an Israeli private company (\"M.N. Business Strategy\");\n(ii) Meir Shamir Management 1977 Ltd., an Israeli private company (\"Shamir Management\");\n(iii) Meir Shamir, a citizen of Israel (\"Mr. Shamir\");\n(iv) QYP ALEF Ltd., an Israeli private company (\"QYP\");\n(v) Jeffrey Royer, a citizen of Canada (\"Mr. Royer\");\n(vi) Bedo Eghiayan, a citizen of the United Kingdom (\"Mr. Eghiayan\"); and\n(vii) Michael Avedissian, a citizen of the United Kingdom (\"Mr. Avedissian\").\nEach of the foregoing, including the Reporting Person, is referred to as a \"M.N. Business Strategy Affiliate\" and collectively as the \"M.N. Business Strategy Affiliates.\"\nThe M.N. Business Strategy Affiliates intend to fund the acquisition of the Issuer through a combination of (i) equity from internal sources, including capital contributions from the M.N. Business Strategy's stakeholders, including the Reporting Person and the other M.N. Business Strategy Affiliates, and (ii) without derogating from the foregoing clause, debt from third-party sources. The M.N. Business Strategy Affiliates have obtained a preliminary, non-binding summary of terms for debt financing from Bank Leumi le-Israel B.M. to be in the amount of $200M for 4 years with an interest rate of SOFR plus 3.25%.\nThe Reporting Person acquired his Shares in the Issuer using personal funds.", "item4_transaction_purpose": "The information set forth in \"Item 3. Source and Amount of Funds or Other Consideration\" is hereby incorporated by reference in this Item 4.\nOn June 15, 2026, M.N. Business Strategy delivered a letter (the \"Letter\") to the Board of Directors of the Issuer (the \"Board\") setting forth a non-binding offer to acquire all of the issued and outstanding Ordinary Shares not already owned by the M.N. Business Strategy Affiliates for $16.20 per share in cash (the \"Proposal\"), on the terms and subject to the conditions set forth in the Letter. The Proposal is not subject to any financing conditions, but it remains subject to M.N. Business Strategy's negotiation and execution of definitive documentation. Accordingly, the terms and conditions set forth in the Proposal are subject to change. The Proposal is a non-binding expression of interest only, and it does not constitute an offer capable of acceptance or a legally binding obligation. M.N. Business Strategy reserves the right to withdraw or modify the Proposal at any time. The Letter and the Proposal (1) are intended solely for the consideration of the Board and not for the consideration of the Issuer's shareholders or any other person or entity, and (2) are not, and are not intended to be, a solicitation of a proxy or vote with respect to any securities of the Issuer or any other securities, or an offer to purchase or a solicitation of an offer to sell any securities of the Issuer or any other securities.\nAs of the date of this Schedule 13D, the Board has not responded to the Proposal. The M.N. Business Strategy Affiliates intend to respond to inquiries from, and, if invited, engage in discussions and negotiations concerning the Proposal with the Board and the Issuer and its officers, advisors, and other representatives. There can be no certainty or guarantee as to whether any such discussions or negotiations will occur, or, if they occur, the outcome thereof. The M.N. Business Strategy Affiliates may enter into confidentiality or similar agreements with the Issuer to facilitate such discussions and negotiations.\nThe M.N. Business Strategy Affiliates intend to review their investment in the Issuer on a continuing basis and may, at any time and from time to time, take such actions with respect to the investment as they deem appropriate, depending on various factors, including, without limitation:\n(1) the outcome of any discussions or negotiations referenced in this Schedule 13D;\n(2) the outcome of any negotiations between the Issuer and any other potential acquirer of the Issuer;\n(3) the Issuer's financial position and strategic direction;\n(4) actions taken by or at the direction of the Board;\n(5) market prices for the Issuer's securities;\n(6) other investment opportunities available to the M.N. Business Strategy Affiliates;\n(7) general securities market and financing market conditions; and\n(8) general economic and industry conditions.\nSuch actions may involve:\n(1) acquiring additional Ordinary Shares or other equity, debt, notes, securities or instruments, or derivative or other instruments that are based upon or relate to the value of securities or instruments, of the Issuer (collectively, \"Securities\"), in the open market or otherwise;\n(2) disposing of any or all of their Securities, in the open market or otherwise;\n(3) engaging in hedging or similar transactions with respect to the Securities; or\n(4) proposing, planning, or considering one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D.\nIf entered into and consummated, the transactions contemplated by the Letter and the Proposal, or any other similar transaction, would, among other things:\n(1) result in the M.N. Business Strategy Affiliates' acquisition of additional securities of the Issuer;\n(2) effectuate a merger of the Issuer;\n(3) effectuate a change of control of the Issuer;\n(4) result in changes to the Issuer's organizational documents;\n(5) result in changes to the board of directors or management of the Issuer;\n(6) lead to the delisting of the Ordinary Shares from The Nasdaq Stock Market LLC; and\n(7) lead to the deregistration of the Ordinary Shares under the Act.\nThe foregoing descriptions of the Letter and the Proposal, and the transactions contemplated thereby, are qualified in their entirety by reference to the full text of the Letter, a copy of which is included as Exhibit 99.1 to this Schedule 13D and is incorporated by reference in its entirety.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1742692/000119312526280387/0001193125-26-280387-index.html" }, { "accession_no": "0001104659-26-077438", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1674168, "issuer_name": "Hilton Grand Vacations Inc.", "issuer_cusip": "43283X105", "securities_class_title": "Common stock, par value $0.01 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1674168/000110465926077438/0001104659-26-077438-index.html" }, { "accession_no": "0001104659-26-077403", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1368622, "issuer_name": "AeroVironment Inc", "issuer_cusip": "008073108", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-06-17", "filed_date": "2026-06-24", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to include the following:\n\nOn June 16, 2026, each of David Wodlinger and Henry Albers provided separate notices informing the Company of their resignation from the Company's board of directors (the \"Board\") effective June 17, 2026. Both Mr. Wodlinger and Mr. Albers noted in their separate letters that their decision to resign from the Board is not the result of any disagreement with management on any matter relating to the Company's operations, policies, or practices.\n\nAs previously disclosed, on May 1, 2025, Mr. Wodlinger and Mr. Albers were appointed to the Board after being named designees of ACP V and ACP VI (collectively, the \"Shareholder\"), in accordance with the terms of the Shareholder's Agreement, which was previously filed as Exhibit 99.3 to the Schedule 13D.\n\nFollowing the resignations of Messrs. Wodlinger and Albers, the Shareholder retains the right to designate two successor directors to fill the vacancies created by the resignations. As of the date of this report, the Shareholder has not designated any successor directors. Following these resignations, the Board consists of eight directors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1368622/000110465926077403/0001104659-26-077403-index.html" }, { "accession_no": "0001104659-26-077369", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 6207, "issuer_name": "AMREP Corp.", "issuer_cusip": "032159105", "securities_class_title": "Common Stock, par value $0.10 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": "The Reporting Persons may be deemed to beneficially own 998,729 Shares, in aggregate. The amount and source of the funds for the transactions pursuant to which the Reporting Persons may be deemed to beneficially own such Shares were approximately $14,257,162.21 in aggregate purchase price for 998,729 Shares, derived from: (i) in the case of James H. Dahl, personal funds of James H. Dahl and funds from the following trusts for which James H. Dahl serves as trustee: IRA FBO James H. Dahl Pershing LLC as Custodian ROTH Conversion Account, IRA FBO James H. Dahl Pershing LLC as Custodian and Dahl Family Foundation, Inc.; and (ii) in the case of Rainey E. Lancaster, personal funds of Rainey E. Lancaster.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/6207/000110465926077369/0001104659-26-077369-index.html" }, { "accession_no": "0001104659-26-077307", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1175535, "issuer_name": "Whitestone REIT", "issuer_cusip": "966084204", "securities_class_title": "Common Shares of Beneficial Interest, $0.001 par value per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following:\n\nThe Reporting Persons are filing this Amendment No. 5 to report the disposition of Common Shares of the Issuer, which has reduced the number of Common Shares that the Reporting Persons may be deemed to beneficially own to less than five percent (5%) of the outstanding Common Shares of the Issuer. As a result of such disposition, each of the Reporting Persons has ceased to be the beneficial owner of more than five percent (5%) of the outstanding Common Shares and is no longer required to report changes in beneficial ownership under Section 13(d) of the Exchange Act. Accordingly, this Amendment No. 5 constitutes a final amendment to the Schedule 13D and serves as an exit filing for each of the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1175535/000110465926077307/0001104659-26-077307-index.html" }, { "accession_no": "0001104659-26-077298", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1962746, "issuer_name": "Lotus Technology Inc.", "issuer_cusip": "54572F101", "securities_class_title": "Ordinary Shares, par value US$0.00001 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-24", "item3_funds_source": "On January 31, 2023, the Issuer entered into a put option agreement with each of Geely International (Hong Kong) Limited (\"Geely HK\") and Etika (the \"Put Option Agreements\"), pursuant to which each of Geely HK and Etika is granted the right to require the Issuer to purchase all of the equity interests held by each of Geely HK and Etika in Lotus Advance Technologies Sdn. Bhd. On April 14, 2025, Geely HK exercised its put option, requiring the Issuer to purchase 51% of the equity interests in Lotus Advance Technologies Sdn. Bhd. On June 30, 2025, Etika also exercised its put option, requiring the Issuer to purchase 49% of the equity interests in Lotus Advance Technologies Sdn. Bhd. In connection with the closing of the transactions contemplated by the Put Option Agreements and upon the final settlement of such put options, Geely HK received 24,477,676 Ordinary Shares of the Issuer and Etika received 23,517,767 Ordinary Shares of the Issuer on June 10, 2026, in each case from Lotus Group International Limited (\"LGIL\").\n\nLGIL is wholly owned by Lotus Advance Technologies Sdn. Bhd, which is in turn 51% owned by Geely HK and 49% owned by Etika. On June 10, 2026, Geely HK received 24,477,676 Ordinary Shares and Etika received 23,517,767 Ordinary Shares, in each case from LGIL, following which, LGIL ceases to beneficially own more than 5% of the outstanding shares of the Issuer.", "item4_transaction_purpose": "The information set forth in Item 3 is hereby incorporated by reference in its entirety. Except as set forth herein, the Reporting Person does not have any present plans or proposals which relate to or would result in any of the transactions of this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1962746/000110465926077298/0001104659-26-077298-index.html" }, { "accession_no": "0001104659-26-077206", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1939965, "issuer_name": "BRERA HOLDINGS PLC", "issuer_cusip": "G13311108", "securities_class_title": "Class B Ordinary Shares, $0.05 nominal value per share", "date_of_event": "2026-06-24", "filed_date": "2026-06-24", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is supplemented as follows:\n\nOn June 22, 2026, the Reporting Person filed a complaint against the Issuer in the Supreme Court of the State of New York, County of New York (the \"Complaint\"). The Complaint asserts four causes of action: (1) breach of fiduciary duty, (2) oppression under Section 212 of the Irish Companies Act 2014, (3) declaratory judgment, and (4) injunction -- all arising from a pattern of alleged self-dealing by the Issuers current board. A copy of the Complaint is attached hereto as Exhibit 99.1 and is incorporated herein by reference.\n\nThe Reporting Persons continue to expect to evaluate on a continuing basis RBCH Ltd.'s goals and objectives and other business opportunities, and may change plans or proposals in the future. In determining from time to time whether to sell the securities reported as beneficially owned in this Schedule 13D (and in what amounts) or to retain such securities, the Reporting Persons will take into consideration such factors as they deem relevant, including the business and prospects of the Issuer, anticipated future developments concerning the Issuer, existing and anticipated market conditions from time to time, general economic conditions, regulatory matters, and other opportunities available to the Reporting Persons. In addition, the Reporting Persons may, from time to time, transfer shares beneficially owned by them for tax, estate or other economic planning purposes. The Reporting Persons may engage in discussions with management, the Board of Directors, other shareholders, and other relevant parties concerning the Issuer's governance, operations, strategy, capital allocation, performance and alternatives to enhance shareholder value. The Reporting Persons reserve the right to exercise the Common Warrants, dispose of securities of the Issuer or acquire additional securities of the Issuer in the open market, in privately negotiated transactions (which may be with the Issuer or with third parties) or otherwise, to dispose of all or a portion of its holdings of securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1939965/000110465926077206/0001104659-26-077206-index.html" }, { "accession_no": "0000947871-26-000651", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1672619, "issuer_name": "Enliven Therapeutics, Inc.", "issuer_cusip": "29337E102", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": "The Reporting Persons from time to time intend to review their investment in the Issuer on the basis of various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's Shares in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time. If the Reporting Persons believe that further investment in the Issuer is attractive, whether because of the market price of Shares or otherwise, they may acquire Shares or other securities of the Issuer either in the open market or in privately negotiated transactions. Similarly, depending on market and other factors, the Reporting Persons may determine to dispose of some or all of the Shares currently owned by the Reporting Persons or otherwise acquired by the Reporting Persons either in the open market or in privately negotiated transactions.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons have not formulated any plans or proposals which relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) a sale or transfer of a material amount of the assets of the Issuer or any of its subsidiaries, (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the Issuer's capitalization or dividend policy of the Issuer, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's charter or bylaws or other instrument corresponding thereto or other action which may impede the acquisition of control of the Issuer by any person, (h) causing a class of the Issuer's securities to be deregistered or delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1672619/000094787126000651/0000947871-26-000651-index.html" }, { "accession_no": "0000937797-26-000011", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1712184, "issuer_name": "Liberty Latin America Ltd.", "issuer_cusip": "G9001E102", "securities_class_title": "Class A common shares, par value $0.01 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": "The information contained in Item 3 of the Original Statement is hereby amended and supplemented to include the following information:\n\nOn June 22, 2026, the Reporting Person purchased 1,095,072 Class A common shares for an average price of $4.979 per share in cash. He also purchased an additional 400,000 Class A common shares on June 23, 2026 for an average price of $5.9202 per share in cash. The Reporting Person used cash on hand for the acquisition.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1712184/000093779726000011/0000937797-26-000011-index.html" }, { "accession_no": "0000921895-26-001667", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1482541, "issuer_name": "CEA Industries Inc.", "issuer_cusip": "86887P309", "securities_class_title": "Common Stock, par value $0.00001 per share", "date_of_event": "2026-06-23", "filed_date": "2026-06-24", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby supplemented to add the following:\n\nOn June 23, 2026 (the \"Effective Date\"), YZi Labs entered into a cooperation agreement (the \"Cooperation Agreement\") with the Issuer, pursuant to which, among other things, the Issuer agreed, immediately following the execution and delivery of the Cooperation Agreement by the parties, to increase the size of the Board of Directors of the Issuer (the \"Board\") to six directors and appoint Ling \"Ella\" Zhang, Alex Odagiu and Matthew Roszak (collectively, the \"YZi Labs Directors\") to the Board, in each case to serve until the Issuer's 2026 Special Meeting in lieu of Annual Meetings (the \"2026 Annual Meeting\") and until his or her successor is duly elected and qualified. In addition, so long as YZi Labs beneficially owns at least 4.99% of the then-outstanding shares of the Issuer's common stock, subject to the terms of the Cooperation Agreement, YZi Labs shall have customary replacement rights with respect to the YZi Labs Directors.\n\nPursuant to the Cooperation Agreement, YZi Labs agreed to, within one business day of the Effective Date, take all actions necessary or appropriate to terminate its consent solicitation with respect to the Issuer, withdraw certain legal materials submitted relating thereto and make all necessary filings with the SEC with respect to the foregoing.\n\nPursuant to the Cooperation Agreement, following the appointment of the YZi Labs Directors, the members of the Board and YZi Labs shall promptly engage in discussions about the Board's composition and, as promptly as practicable following such discussions, but in any event by no later than ninety (90) days after the Effective Date (subject to extension as set forth in the Cooperation Agreement), the Board shall increase the size of the Board by one director and appoint a new independent director who shall be mutually agreeable to the Continuing Directors (as defined in the Cooperation Agreement) and YZi Labs (the \"Mutual Director\" and together with the YZi Labs Directors, the \"New Directors\") to the Board.\n\nUnder the terms of the Cooperation Agreement, the Issuer has further agreed that, within three (3) business days after the Effective Date, the Board shall take all action necessary to form a Chief Executive Officer Search Committee (the \"CEO Search Committee\") for the purpose of conducting a search to identify candidates, and otherwise assisting the Board in selecting, the Issuer's next chief executive officer (the \"New CEO\") as promptly as practicable and in any event by the earlier of (i) the 2026 Annual Meeting and (ii) August 31, 2026. The CEO Search Committee shall consist of (x) the Mutual Director (upon his or her appointment), (y) two of the YZi Labs Directors, and (z) two Continuing Directors, with the Mutual Director serving as chair and a YZi Labs Director serving as interim chair prior to the Mutual Director's appointment. In addition to the approval of a majority of the then-serving members of the Board, the appointment of the New CEO shall require the approval of at least one YZi Labs Director and at least one Continuing Director, subject to certain exceptions set forth in the Cooperation Agreement.\n\nThe Cooperation Agreement also provides that, during the period from the Effective Date until at least the appointment of the New CEO, Mr. Odagiu shall serve as Interim President of the Issuer, reporting directly to the Board, with responsibilities to be determined by the Board following the execution and delivery of the Cooperation Agreement and as previously approved by YZi Labs.\n\nUntil the Termination Date (as defined below), the number of directors shall not exceed seven (7) directors; however, if the New CEO is not already a director, the Board may increase its size to nine (9) directors in order to appoint the New CEO and an additional candidate recommended by YZi Labs who is reasonably acceptable to the Continuing Directors.\n\nThe Issuer also agreed to include the New Directors in the Issuer's slate of director nominees for each meeting of stockholders at which director candidates are to be elected during the term of the Cooperation Agreement (and to include the Continuing Directors in the slate for the 2026 Annual Meeting) and to solicit proxies in favor of the election of, and otherwise support the election of, such directors on the same basis as the Issuer's other nominees for election at such meeting. During the term of the Cooperation Agreement, YZi Labs and certain restricted persons will be subject to customary standstill restrictions relating to, among other things, acquisitions of the Issuer's common stock, director nominations, proxy contests, other activist campaigns, unsolicited takeover bids and related matters. During the term of the Cooperation Agreement, YZi Labs has agreed to vote all voting securities that it and its affiliates have the right to vote at any annual or special meeting of stockholders (and in any action by written consent) in accordance with the Board's recommendations, subject to certain exceptions. Pursuant to the Cooperation Agreement, each of the parties agreed to customary mutual non-disparagement provisions prohibiting public or private statements that would disparage or otherwise reflect detrimentally on the other party and certain representatives, subject to certain exceptions, including as required by law.\n\nPursuant to the terms of the Cooperation Agreement, each of the parties have also agreed to a mutual release of claims arising out of events occurring prior to the Effective Date, and until the Termination Date, each of the parties agreed not to encourage, pursue or assist in any litigation against the other party or its affiliates, associates or certain representatives, subject to certain exceptions, including for enforcement of the Cooperation Agreement and claims of fraud.\n\nThe Cooperation Agreement will terminate upon the earlier of (i) the date that is one month before the last day upon which nominations of candidates for election as a director to the Board may be made pursuant to the Issuer's bylaws (the \"Nomination Deadline\") with respect to the Issuer's 2029 annual meeting of stockholders and (ii) 120 days prior to the third anniversary of the 2026 Annual Meeting; provided that the Cooperation Agreement will terminate (a) one month before the Nomination Deadline with respect to the Issuer's 2027 annual meeting of stockholders if the Issuer has not notified YZi Labs that a majority of the members of the Board other than the YZi Labs Directors have irrevocably offered to renominate each of the then-serving YZi Labs Directors for election at the Issuer's 2027 annual meeting of stockholders and (b) one month before the Nomination Deadline with respect to the Issuer's 2028 annual meeting of stockholders unless (x) the Issuer has notified YZi Labs that a majority of the members of the Board other than the YZi Labs Directors have irrevocably offered to renominate each of the then-serving YZi Labs Directors for election at the Issuer's 2028 annual meeting of stockholders and (y) a majority of such YZi Labs Directors consent to such renomination (such effective date of termination, the \"Termination Date\").\n\nThe foregoing description of the Cooperation Agreement does not purport to be complete and is qualified in its entirety by reference to the Cooperation Agreement, which is attached as Exhibit 99.1 hereto and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1482541/000092189526001667/0000921895-26-001667-index.html" }, { "accession_no": "0000908834-26-000312", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1847903, "issuer_name": "Centessa Pharmaceuticals plc", "issuer_cusip": "152309100", "securities_class_title": "Ordinary Shares, nominal value GBP 0.002 per share (the \"Ordinary Shares\")", "date_of_event": "2026-06-16", "filed_date": "2026-06-24", "item3_funds_source": "The approximate net investment cost for the Ordinary Shares, represented by ADSs, held by the Farallon Funds is $325,995,909.", "item4_transaction_purpose": "The disclosure set forth in Items 5 and 6 below is hereby incorporated by reference in this Item 4.\n\nThe Reporting Persons believe the securities of the Issuer represent an attractive investment opportunity.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending upon various factors, including, without limitation, the Issuer's financial position and strategic direction, overall market conditions, general economic and industry conditions, other investment opportunities available to the Reporting Persons, the liquidity requirements of the Reporting Persons, price levels of the Ordinary Shares and the ADSs, and any contractual provisions to which the Reporting Persons may then be subject, the Reporting Persons in the future may take actions with respect to their investment position in the Issuer as they deem appropriate, including, without limitation, purchasing additional Ordinary Shares or ADSs, other securities of the Issuer or other instruments that are based upon or relate to the value of any of the foregoing; selling, exchanging, converting, pledging or financing some or all of the securities reported herein, other securities of the Issuer or other instruments that are based upon or relate to the value of any of the foregoing; engaging in hedging or similar transactions with respect to Ordinary Shares or ADSs, other securities of the Issuer or other instruments that are based upon or relate to the value of any of the foregoing; and taking any other action to maximize the value of the Reporting Persons' investment position in the Issuer.\n\nExcept to the extent the foregoing may be deemed a plan or proposal, none of the Reporting Persons has any plans or proposals which relate to, or could result in, any of the matters referred to in subparagraphs (a) - (j) of Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, (i) review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto and (ii) consider or propose one or more of the actions described in subparagraphs (a) - (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1847903/000090883426000312/0000908834-26-000312-index.html" }, { "accession_no": "0000902664-26-002882", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 845982, "issuer_name": "SMITH & NEPHEW PLC", "issuer_cusip": "83175M205", "securities_class_title": "Ordinary shares, par value $0.20 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-24", "item3_funds_source": "As of the date hereof, the Reporting Person has purchased for the account of the Cevian Funds an aggregate of 110,804,501 Ordinary Shares for an aggregate consideration (including brokerage commission) of approximately USD $1,533,290,892. The Cevian Funds funded these purchases out of their general working capital. The Ordinary Shares were purchased using British Pounds. For the purposes of this Schedule 13D, a conversion rate of USD $1.32015 for each GBP 1.00 was used.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/845982/000090266426002882/0000902664-26-002882-index.html" }, { "accession_no": "0002140177-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1879403, "issuer_name": "La Rosa Holdings Corp.", "issuer_cusip": "50172T400", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-18", "filed_date": "2026-06-23", "item3_funds_source": "The Shares reported herein were purchased using the Reporting Person's personal funds. The aggregate amount of funds used to acquire the Shares reported in this Schedule 13D was approximately $83,610.25 (excluding brokerage commissions). All purchases were effected through the Reporting Person's personal brokerage account.", "item4_transaction_purpose": "The Reporting Person acquired the Shares for investment purposes.\n\nThe Reporting Person is the founder and Chief Executive Officer of Modern Spaces LLC, a leading real estate brokerage with offices in New York, New Jersey, and Miami, Florida, with over $10 billion in cumulative transaction volume, and is the Principal of Benaim X Partners, a private investment holding company. The Reporting Person has extensive expertise in residential and commercial real estate brokerage, agent recruitment and retention, and real estate technology platforms.\n\nThe Reporting Person does not currently intend to seek to acquire control of the Issuer. The Reporting Person may, however, engage in discussions with the Issuer's management, Board of Directors, other shareholders and other interested parties regarding a broad range of strategic, operational, governance, capital allocation, financing, business combination and other matters relating to the Issuer and the enhancement of shareholder value.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1879403/000214017726000001/0002140177-26-000001-index.html" }, { "accession_no": "0001753926-26-001042", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1896212, "issuer_name": "CDT Equity Inc.", "issuer_cusip": "20678X502", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-18", "filed_date": "2026-06-23", "item3_funds_source": "\"Item 3. Source and Amount of Funds or Other Consideration\" of the Schedule 13D is hereby amended to add the following: On June 18, 2026, Prospect Capital sold 5,000 and 1,464,711 shares of the Common Stock in the open market at a sales price per share of $0.7052 and $1.44, respectively. On June 18, 2026, Prospect Finance sold 5,000 shares of the Common Stock in the open market at a sales price per share of $0.751 and 593,289 shares of the Common Stock in the open market at sales prices ranging from $1.25 to $1.67,as further described on Schedule I attached hereto.", "item4_transaction_purpose": "The information contained in \"Item 4. Purpose of Transaction\" of the Schedule 13D is not being amended by this Amendment No. 1.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1896212/000175392626001042/0001753926-26-001042-index.html" }, { "accession_no": "0001493152-26-029689", "submission_type": "SCHEDULE 13D/A", "amendment_no": 18, "issuer_cik": 1780312, "issuer_name": "AST SpaceMobile, Inc.", "issuer_cusip": "00217D100", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-06-22", "filed_date": "2026-06-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to include the following:\n\nOn June 22, 2026, AA Gables 2, LLC (\"AA Gables 2\"), a Delaware limited liability company of which the Reporting Person is the sole member and managing member, entered into a variable prepaid forward transaction with an unaffiliated dealer covering up to a maximum of 2,500,000 shares of Class A Common Stock. The Reporting Person entered into the transaction for personal financial planning purposes, including to provide liquidity for taxes and other general purposes, while retaining voting rights in the pledged securities during the term of the transaction, as described in Item 6.\n\nThe information set forth in Item 6 of this Amendment No. 18, including, without limitation, information as to the rights and obligations of the Reporting Person pursuant to the terms of the agreements, instruments and other matters described therein, is hereby incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1780312/000149315226029689/0001493152-26-029689-index.html" }, { "accession_no": "0001213900-26-071268", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1845123, "issuer_name": "AleAnna", "issuer_cusip": "01444V103", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-06-23", "filed_date": "2026-06-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented by adding the following:\n\nOn June 23, 2026, the John and Susan Wilder Foundation gifted 453,451 shares of Class A Common Stock to a church as permitted by Rule 144.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1845123/000121390026071268/0001213900-26-071268-index.html" }, { "accession_no": "0001213900-26-071073", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 2022416, "issuer_name": "Silexion Therapeutics Corp", "issuer_cusip": "G1281K130", "securities_class_title": "Ordinary Shares, par value $0.0135 per share", "date_of_event": "2026-06-14", "filed_date": "2026-06-23", "item3_funds_source": "On September 15, 2025, Silexion Therapeutics Corp, a Cayman Islands exempted company (\"Silexion\" or the \"Issuer\") issued 45,000 ordinary shares, par value $0.0135 per share, of Silexion, to Moringa Sponsor, LP (the \"Sponsor\") upon conversion by Silexion of an aggregate of $1.8 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, in an original principal amount of $3.4 million, issued by Silexion to the Sponsor. Moringa Sponsor, LP expressly disputes the validity of the issuance of the 45,000 ordinary shares reported herein and does not concede beneficial ownership of such shares. On May 14, 2026, Silexion issued 92,500 ordinary shares, par value $0.0135 per share, of Silexion to the Sponsor upon conversion by Silexion of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, in an original principal amount of $3.4 million, issued by Silexion to the Sponsor. Moringa Sponsor, LP expressly disputes the validity of the issuance of the 92,500 ordinary shares reported herein and does not concede beneficial ownership of such shares. On June 14, 2026, Silexion issued 60,819 ordinary shares, par value $0.0135 per share, of Silexion to the Sponsor upon conversion by Silexion of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, in an original principal amount of $3.4 million, issued by Silexion to the Sponsor. Moringa Sponsor, LP expressly disputes the validity of the issuance of the 60,819 ordinary shares reported herein and does not concede beneficial ownership of such shares.", "item4_transaction_purpose": "The information contained in Item 3 is incorporated by reference in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2022416/000121390026071073/0001213900-26-071073-index.html" }, { "accession_no": "0001193125-26-278613", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1566243, "issuer_name": "Arax Holdings Corp.", "issuer_cusip": "038747101", "securities_class_title": "Common Stock", "date_of_event": "2026-06-23", "filed_date": "2026-06-23", "item3_funds_source": "Funds used for this investment came from my personal checking, savings, and investment accounts.", "item4_transaction_purpose": "Investment in Arax Holdings Corp.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1566243/000119312526278613/0001193125-26-278613-index.html" }, { "accession_no": "0001185185-26-002614", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 744825, "issuer_name": "American Shared Hospital Services", "issuer_cusip": "029595105", "securities_class_title": "Common Stock, No Par Value", "date_of_event": "2026-06-22", "filed_date": "2026-06-23", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/744825/000118518526002614/0001185185-26-002614-index.html" }, { "accession_no": "0001140361-26-026121", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1422183, "issuer_name": "FS KKR Capital Corp.", "issuer_cusip": "302635206", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-15", "filed_date": "2026-06-23", "item3_funds_source": "The information set forth in Item 6 of this Schedule 13D is hereby incorporated by reference into this Item 3.\n\nOn May 12, 2026, KKR Alternative Assets L.P. filed a Schedule TO offering to purchase up to $150,000,000.00 in aggregate amount of shares of Common Stock at a price equal to $11.00 per share (the \"Offer\"). On June 15, 2026, the Offer closed and KKR Alternative Assets L.P. purchased 13,636,363 shares of Common Stock for an aggregate purchase price of $149,999,993.00. The shares were purchased using available cash.", "item4_transaction_purpose": "The information set forth in Items 3 and 6 of this Schedule 13D is hereby incorporated by reference into this Item 4.\n\nThe Reporting Persons acquired the securities reported herein for investment purposes and intend to review their investments in the Issuer on a continuing basis. Subject to various factors, including but not limited to the Issuer's financial position and strategic direction, price levels of the Common Stock, conditions in the securities markets, various laws and regulations applicable to the Issuer and companies in its industry and the Reporting Persons' ownership in the Issuer, and general economic and industry conditions, the Reporting Persons may in the future take actions with respect to their investment in the Issuer as they deem appropriate, including changing their current intentions, with respect to any or all matters required to be disclosed in this Schedule 13D. Without limiting the foregoing, the Reporting Persons may, from time to time, acquire or cause affiliates to acquire additional shares of Common Stock or other securities of the Issuer (including any combination or derivative thereof); dispose, or cause affiliates to dispose, of shares of Common Stock or other securities of the Issuer from time to time, and may continue to hold, or cause affiliates to hold, shares of Common Stock or other securities of the Issuer.\n\nFS/KKR Advisor, LLC (the \"Adviser\") is the Issuer's external manager and is responsible for, among other things, overseeing the management of the Issuer's operations and for making investment decisions with respect to the Issuers portfolio, subject to oversight by the Issuer's Board of Directors (the \"Board\"). The Adviser is jointly operated by an affiliate of the Reporting Persons and an affiliate of Franklin Square Holdings L.P. Certain of the Issuer's officers and directors, other than the Issuer's independent directors, are employees of KKR & Co. Inc. or one of its affiliates. In such capacities, these individuals may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as set forth above, or as would occur upon completion of any of the matters discussed herein, the Reporting Persons and, to the best knowledge of the Reporting Persons, each of the other individuals named in Item 2 above, have no present plans, proposals or intentions which would result in or relate to any of the transactions described in clauses (a) through (j) of Item 4 of Schedule 13D. Although the foregoing reflects activities presently contemplated by the Reporting Persons and, to the best knowledge of the Reporting Persons, each of the other individuals named in Item 2 above with respect to the Issuer, the foregoing is subject to change at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1422183/000114036126026121/0001140361-26-026121-index.html" }, { "accession_no": "0001140361-26-026091", "submission_type": "SCHEDULE 13D/A", "amendment_no": 23, "issuer_cik": 1655891, "issuer_name": "TORM plc", "issuer_cusip": "G89479102", "securities_class_title": "Class A common shares, par value $0.01 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-23", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1655891/000114036126026091/0001140361-26-026091-index.html" }, { "accession_no": "0001104659-26-076961", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1636282, "issuer_name": "SPYRE THERAPEUTICS, INC.", "issuer_cusip": "00773J202", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-06-23", "filed_date": "2026-06-23", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn June 23, 2026, Fund II delivered to the Company a notice of conversion pursuant to Section 6.2 of the Certificate of Designation of Preferences, Rights and Limitations of Series B Non-Voting Convertible Preferred Stock (the \"Certificate of Designation\") to convert 16,667 shares of Series B Preferred Stock into 666,680 shares of Common Stock, in accordance with the terms of the Certificate of Designation. The conversion was effected for no cash consideration pursuant to the Certificate of Designation.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nResignation of Peter Harwin\n\nOn May 27, 2026, Peter Harwin resigned from the Board of Directors of the Company. Mr. Harwin's resignation was not the result of any disagreement with the Company on any matter relating to the Company's operations, policies or practices.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1636282/000110465926076961/0001104659-26-076961-index.html" }, { "accession_no": "0001104659-26-076853", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1974640, "issuer_name": "Apogee Therapeutics, Inc.", "issuer_cusip": "03770N101", "securities_class_title": "Common Stock, $0.00001 par value", "date_of_event": "2026-06-18", "filed_date": "2026-06-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:\n\nMerger Agreement and Voting Agreement\n\nOn June 18, 2026, Andor LLC (\"Parent\"), a Delaware limited liability company and a wholly owned subsidiary of AbbVie Inc. (\"Guarantor\"), Andor Merger Co. (\"Merger Sub\"), a Delaware corporation and a wholly owned subsidiary of Parent, the Company and Guarantor (solely for limited purposes) entered into an Agreement and Plan of Merger (the \"Merger Agreement\"), pursuant to which Merger Sub will merge with and into the Company (the \"Merger\"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, at the effective time of the Merger (the \"Effective Time\"), each share of Common Stock issued and outstanding immediately prior to the effective time of the Merger (other than certain excluded shares) will be cancelled and converted into the right to receive $135.11 per Share in cash, without interest (the \"Merger Consideration\"). The consummation of the Merger is subject to customary conditions, including (a) the affirmative vote of the holders of a majority of the outstanding shares of Common Stock, par value $0.00001 per share the (\"Required Company Voting Stockholder Approval\"), and (b) for so long as at least 6,061,821 shares of Non-Voting Common Stock, par value $0.00001 per share remain issued and outstanding, the affirmative vote or written consent of the holders of a majority of the outstanding shares of Non-Voting Common Stock, (the \"Required Non-Voting Stockholder Approval\", together with the Required Company Voting Stockholder Approval, the \"Required Company Stockholder Approvals\").\n\nConcurrently with the execution of the Merger Agreement, on June 18, 2026, Fund II entered into a Voting Agreement (the \"Voting Agreement\") with Guarantor, Parent and Merger Sub. Pursuant to the Voting Agreement, Fund II agreed, among other things, to:\n\n(a) vote (or cause to be voted) all of its Subject Shares (as defined in the Voting Agreement) (i) in favor of (A) the adoption of the Merger Agreement and approval of the Merger, (B) any proposal to adjourn or postpone any meeting of stockholders at which the Merger Agreement is submitted for approval, (C) any other proposal necessary for consummation of the Merger, and (ii) against (A) any alternative acquisition transaction, (B) any action that would result in a breach of the Company's obligations under the Merger Agreement, (C) any change in the membership of the Company's board of directors not recommended by the Company's board, and (D) any other action intended or expected to impede the Merger;\n\n(b) grant an irrevocable proxy to Parent as attorney-in-fact in the event Fund II fails to deliver a proxy card at least two (2) business days prior to the applicable meeting of stockholders;\n\n(c) not Transfer (as defined in the Voting Agreement) any Subject Shares, create any encumbrances on the Subject Shares, enter into any derivative arrangement with respect to the Subject Shares, grant any proxy or power-of-attorney with respect to the Subject Shares, deposit the Subject Shares into a voting trust, or take any other action that would reasonably be expected to prevent Fund II from performing its obligations under the Voting Agreement, subject to limited exceptions for Transfers to controlled Affiliates (provided such transferees execute a counterpart of the Voting Agreement);\n\n(d) not take any actions the Company is prohibited from taking under Section 5.3(a) of the Merger Agreement (relating to non-solicitation of alternative transactions); and\n\n(e) waive any appraisal or dissenters' rights (including under Section 262 of the DGCL) with respect to the Subject Shares in connection with the Merger.\n\nThe Voting Agreement terminates automatically upon the first to occur of: (a) the valid termination of the Merger Agreement in accordance with its terms; (b) the Effective Time; (c) receipt of the Required Company Stockholder Approvals; (d) the End Date (as defined in the Voting Agreement); (e) any modification or amendment to the Merger Agreement that reduces the amount, changes the form or otherwise adversely affects the Merger Consideration; or (f) the mutual written consent of all parties thereto.\n\nIn addition, concurrently with the execution of the Merger Agreement, Fund II delivered a written consent (the \"Written Consent\") approving the Merger for purposes of Section 4.2(b) of the Company's Certificate of Incorporation, which requires approval from the holders of a majority of the outstanding Non-Voting Common Stock for certain fundamental transactions.\n\nThe foregoing descriptions of the Merger Agreement and the Voting Agreement do not purport to be complete and are qualified in their entirety by reference to the full text of the Merger Agreement and the Voting Agreement. The Voting Agreement is filed as Exhibit 99.2 to this Amendment No. 6 and is incorporated herein by reference. On June 22, 2026, the Company filed the Merger Agreement as an exhibit to a Current Report on Form 8-K.\n\nResignation of Peter Harwin\n\nOn May 11, 2026, Peter Harwin resigned from the Board of Directors of the Company. Mr. Harwin's resignation was not the result of any disagreement with the Company on any matter relating to the Company's operations, policies or practices.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1974640/000110465926076853/0001104659-26-076853-index.html" }, { "accession_no": "0001104659-26-076832", "submission_type": "SCHEDULE 13D/A", "amendment_no": 28, "issuer_cik": 912958, "issuer_name": "MILLICOM INTERNATIONAL CELLULAR SA", "issuer_cusip": "L6388F110", "securities_class_title": "Common Shares", "date_of_event": "2026-06-18", "filed_date": "2026-06-23", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe New Equity Derivative Transaction, as amended by the Amendment Agreement (both as defined in Item 4 below), is expected to be funded either with the proceeds to be drawn further to a future amendment with a view to upsizing the equity financing transaction with unaffiliated third party financial institutions, as disclosed in Amendment No. 27 to the Schedule 13D, or by funds borrowed from one of the affiliates of Atlas Investissement.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn June 18, 2026, Atlas Investissement amended the New Equity Derivative Transaction (as defined and described in Amendment No. 27 to the Schedule 13D) through the entry into an amendment agreement (the \"Amendment Agreement\") relating to the Amended Equity Derivative Transaction Agreements (as defined and described in Amendment No. 27 to the Schedule 13D) with an unaffiliated third party financial institution (the \"Bank\"). Under the New Equity Derivative Transaction as amended by the Amendment Agreement, Atlas Investissement expects to purchase up to an additional 1,250,000 Common Shares on June 29, 2026. The actual timing and the number of Common Shares to be purchased under such transaction will be determined based on the hedging position of the Bank in accordance with certain parameters of the Amended Equity Derivative Transaction Agreements. The Amendment Agreement also increased the applicable maximum equity notional amount under the Amended Equity Derivative Transaction Agreements, which is intended to help Atlas Investissement purchase the maximum number of Common Shares under the Original Equity Derivative Transaction (as defined and described in Amendment No. 27 to the Schedule 13D) and the New Equity Derivative Transaction as planned. In addition, the Amendment Agreement amended the final maturity date under the Amended Equity Derivative Transaction Agreements to June 29, 2026.\n\nExcept as described in this Item 4, the material terms of the Amended Equity Derivative Transaction Agreements governing the Original Equity Derivative Transaction and the New Equity Derivative Transaction remain the same as previously disclosed in Amendment Nos. 26 and 27 to the Schedule 13D.\n\nThe foregoing description of the Amendment Agreement is qualified in its entirety by reference to the text of the Amendment Agreement, a copy of which is filed as exhibit to this Amendment No. 28 and incorporated herein by reference.\n\nSeparately from the above, on June 23, 2026, Atlas Investissement has irrevocably elected cash settlement for the three European-style call spread option transactions contemplated under each of the respective Letter Agreements on Share Option Transaction (as defined and described in Amendment No. 20 to the Schedule 13D).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/912958/000110465926076832/0001104659-26-076832-index.html" }, { "accession_no": "0001104659-26-076580", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1752828, "issuer_name": "Celularity Inc.", "issuer_cusip": "151190204", "securities_class_title": "Class A Common Stock, Par Value $0.0001 Per Share", "date_of_event": "2026-06-19", "filed_date": "2026-06-23", "item3_funds_source": "On December 19, 2025, the Company and the Trust engaged in two financing transactions (collectively, the \"Financing\") pursuant to which the Company issued to the Trust a senior secured promissory note in the principal amount of $7,000,000 (the \"Senior Note\") and a convertible secured promissory note in the aggregate principal amount of $3,000,000 (the \"Convertible Note\" and, together with the Senior Note, the \"Notes\") and, in connection with the issuance of the Notes, issued to the Trust five-year warrants (the \"Warrants\") to purchase an aggregate of 3,707,457 shares of Class A Common Stock which became exercisable beginning on June 19, 2026 and have an exercise price of $2.00 per share, subject to adjustment as set forth therein.\n\nPursuant to the Convertible Note Purchase Agreement dated as of December 19, 2025 by and between the Company and the Trust under the terms of which the Company issued the Convertible Note to the Trust (the \"Convertible Note Purchase Agreement\"), the Trust also had the right to purchase additional Convertible Notes in up to two tranches of $1,000,000 each (the \"Additional Convertible Notes\"), containing terms identical to and issuable upon the same terms and conditions as the Convertible Note, in connection with which the Trust would receive from the Company Warrants to purchase up to an additional 839,160 shares of Class A Common Stock. This Trust's right to obtain such Additional Convertible Notes and accompanying Warrants the expired on June 19, 2026.\n\nThe number of shares of Class A Common Stock reported as beneficially owned herein represents (i) 1,807,229 shares of Class A Common Stock issuable upon conversion of $3,000,000 in the aggregate principal amount of the Convertible Note at the conversion price of $1.66 per share and (ii) 3,707,457 shares of Class A Common Stock issuable upon exercise of the Warrants issued on December 19, 2025, which became exercisable on June 19, 2026, for a total of 5,414,686 shares of Class A Common Stock.\n\nThe source of funds for the Trust to purchase the Notes in the aggregate principal amount of $10,000,000 was cash held by the Trust at the time of the Financing. No additional consideration will be paid upon any conversion of the Convertible Notes into shares of Class A Common Stock. If the Trust exercises any Warrants, the source of funds for the Trust to exercise such Warrants will be cash held by the Trust at the time of such purchase.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1752828/000110465926076580/0001104659-26-076580-index.html" }, { "accession_no": "0001099910-26-000220", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 878932, "issuer_name": "Equus Total Return, Inc.", "issuer_cusip": "294766100", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-19", "filed_date": "2026-06-23", "item3_funds_source": "The aggregate purchase price of the Shares being reported herein was approximately $1,596,790. The source of funds to purchase the Shares came from working capital of the Entities. The Reporting Person is the sole beneficial owner of the Shares held by each of the Entities. As referenced in this Schedule 13D, the \"Entities\" mean Horberg Enterprises LP and Howard Todd Horberg Rollover IRA.", "item4_transaction_purpose": "On June 23, 2026, the Reporting Person issued a letter expressing his views concerning the Issuer and certain matters relating to the Issuer (the \"Letter\"). A copy of the Letter is attached hereto as Exhibit 99.1 and is incorporated herein by reference.\n\nIn addition, the Reporting Person may from time to time communicate with the Issuer and other interested parties regarding a variety of matters relating to the Issuer, including corporate governance, capital allocation, management, board composition, strategic alternatives, business combinations, acquisitions, mergers, sales of assets, recapitalizations, financings, operational matters and other transactions or alternatives that could affect the Issuer and its stockholders.\n\nThe Reporting Person intends to review his investments in the Issuer on a continuing basis and may, depending on various factors, including market conditions, the Issuer's performance and prospects, and other investment considerations, acquire additional Shares, dispose of some or all of his Shares, engage in transactions involving the Shares, or formulate plans or proposals regarding the Issuer, subject to restrictions under applicable laws.\n\nExcept as set forth herein, the Reporting Person has no present plan or proposal that relates to or would result in any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Person reserves the right to formulate such plans or proposals in the future and to take such actions as he may deem appropriate with respect to his investment in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/878932/000109991026000220/0001099910-26-000220-index.html" }, { "accession_no": "0001012975-26-000554", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1803914, "issuer_name": "Playboy, Inc.", "issuer_cusip": "72814P109", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-18", "filed_date": "2026-06-23", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended and supplemented with the following:\n\nThe information set forth in Item 6 hereof is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1803914/000101297526000554/0001012975-26-000554-index.html" }, { "accession_no": "0000950103-26-009395", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1693736, "issuer_name": "EquipmentShare.com Inc", "issuer_cusip": "29445S100", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-06-15", "filed_date": "2026-06-23", "item3_funds_source": "The responses to Items 4 and 6 of this Statement are incorporated herein by reference. The Reporting Persons each acquired the Class A common stock and Class B common stock beneficially owned by each of them respectively using personal funds and/or as compensation for serving as an executive officer and member of Board of the Issuer, including the vesting of various equity compensation awards in connection with each of their respective service as an executive officer and director of the Issuer. In addition, each of the Reporting Persons may be deemed to have acquired beneficial ownership over each other's shares of common stock pursuant to the Voting Agreement described further in Item 6 below.", "item4_transaction_purpose": "The information set forth in Items 3 and 6 of this Statement is hereby incorporated by reference into this Item 4. The Reporting Persons acquired all of their securities for investment purposes and are being held as a long-term investment. The Reporting Persons intend to continuously review their investment in the Issuer and may in the future determine to acquire additional securities of the Issuer or dispose of the securities of the Issuer owned by them or take any other available course of action, including surrendering or selling shares back to the Issuer for tax withholding obligations. Any actions the Reporting Persons might each undertake may be made at any time and from time to time without prior notice and will be dependent upon each of their respective review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nAny transactions in common stock of the Issuer by either of the Reporting Persons pursuant to the Voting Agreement with respect to shares of Class A common stock and Class B common stock that they each hold may be taken at any time. The Reporting Persons, subject to certain provisions of the law, may each acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. In addition, each of Jabbok Schlacks, including in his positions as Chief Executive Officer and member of the Board, and William J. Schlacks IV, including in his positions as President, member of the Board and Board Secretary, may engage in discussions with other members of management, the Board, and stockholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or take-private transaction that could result in the de-listing or de-registration of the Class A Common Stock; security offerings and/or stock repurchases by the Issuer; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nOther than as described above, each of the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change each of their respective purpose or formulate different plans or proposals with respect thereto at any time. Jabbok Schlacks, including in his positions as Chief Executive Officer, member of the Board, and William J. Schlacks IV, including in his positions as President, member of the Board and Board Secretary, each participate in deliberations of the Issuer's senior management in the normal course of the Issuer's business that could involve any of the matters set forth in Items 4(a)-(j) of Schedule 13D from time to time, and, in keeping with each of their respective fiduciary duties as an officer and director, may make proposals or recommendations to the Board that could involve such matters from time to time. In addition, as members of the Issuer's senior management, each of the Reporting Persons participates in Issuer compensatory plans, including plans pursuant to which awards of equity securities are made (including to each of the Reporting Persons), in the ordinary course of business. As a result of the Voting Agreement, the Reporting Persons may be deemed a group for purposes of Section 13(d)(3) of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1693736/000095010326009395/0000950103-26-009395-index.html" }, { "accession_no": "0000921895-26-001654", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1979332, "issuer_name": "Central Plains Bancshares, Inc.", "issuer_cusip": "15486W100", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-23", "item3_funds_source": "Since we last reported purchases of Common Stock, Stilwell Partners has not expended any monies to acquire shares of Common Stock.\n\nSince we last reported purchases of Common Stock, Stilwell Activist Fund has not expended any monies to acquire shares of Common Stock.\n\nSince we last reported purchases of Common Stock, Stilwell Activist Investments has expended $732,281.06 to acquire 39,973 shares of Common Stock. Such funds were provided from Stilwell Activist Investments' working capital and may, from time to time, be provided in part by margin account loans from subsidiaries of Morgan Stanley or Interactive Brokers extended in the ordinary course of business.\n\nAll purchases of shares of Common Stock made by the Group using funds borrowed from subsidiaries of Morgan Stanley, J.P. Morgan or Interactive Brokers, if any, were made in margin transactions on their usual terms and conditions. All or part of the shares of Common Stock owned by members of the Group may from time to time be pledged with one or more banking institutions or brokerage firms as collateral for loans made by such entities to members of the Group. Such loans generally bear interest at a rate based on the broker's call rate from time to time in effect. Such indebtedness, if any, may be refinanced with other banks or broker-dealers.", "item4_transaction_purpose": "We are filing this Third Amendment to report that a member of the Group has purchased shares of Common Stock.\n\nOn May 20, 2026, we served our notice of intent to nominate Francis \"Frank\" E. Younes for election as a director at the Issuer's upcoming 2026 annual meeting of shareholders (the \"2026 Annual Meeting\"), with Mark E. Novotny as our alternate nominee. Additionally, we submitted a non-binding proposal (the \"Share Repurchase Proposal\") seeking stockholder approval of a request that the Board of Directors shall take all necessary and permissible actions to repurchase no less than 10% of the Issuer's outstanding Common Stock each and every year in which the Common Stock trades below book value per share, which further entails that the Issuer have the proper trading plan(s) in place to account for blackout periods.\n\nOur purpose in acquiring shares of Common Stock of the Issuer is to profit from the appreciation in the market price of the shares of Common Stock through asserting shareholder rights. We do not believe the value of the Issuer's assets is adequately reflected in the current market price of the Issuer's Common Stock.\n\nMembers of the Group may seek to make additional purchases or sales of shares of Common Stock. Except as described in this filing, no member of the Group has any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of Item 4 of Schedule 13D. Members of the Group may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto.\n\nSince 2000, members or affiliates of the Group have taken an 'activist position' in 79 other publicly-traded companies. In each instance, our purpose has been to profit from the appreciation in the market price of the shares we held by asserting shareholder rights. In addition, we believed that the values of the companies' assets were not adequately reflected in the market prices of their shares.\n\nOur actions with respect to such publicly-traded companies are described in Schedule A, attached hereto and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1979332/000092189526001654/0000921895-26-001654-index.html" }, { "accession_no": "0000921895-26-001650", "submission_type": "SCHEDULE 13D/A", "amendment_no": 17, "issuer_cik": 1643303, "issuer_name": "Nano Dimension Ltd.", "issuer_cusip": "63008G203", "securities_class_title": "Ordinary Shares par value NIS 5.00 per share", "date_of_event": "2026-06-22", "filed_date": "2026-06-23", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares purchased by Nomis Bay were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 6,093,483 Shares beneficially owned by Nomis Bay is approximately $15,650,172, including brokerage commissions. In addition, in connection with the prior ADS conversions, Nomis Bay paid $270,000 in fees to the Bank of New York Mellon, as depositary.\n\nThe Shares purchased by BPY were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 4,049,242 Shares beneficially owned by BPY is approximately $10,415,581, including brokerage commissions. In addition, in connection with the prior ADS conversions, BPY paid $30,000 in fees to the Bank of New York Mellon, as depositary.\n\nThe Shares held in the Managed Positions were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 10,142,725 Shares held in the Managed Positions is approximately $26,065,610, including brokerage commissions. In addition, in connection with the prior ADS conversions, the Managed Positions paid $562,500 in fees to the Bank of New York Mellon, as depositary.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1643303/000092189526001650/0000921895-26-001650-index.html" }, { "accession_no": "0000919574-26-004077", "submission_type": "SCHEDULE 13D/A", "amendment_no": 37, "issuer_cik": 745308, "issuer_name": "ST JOE Co", "issuer_cusip": "790148100", "securities_class_title": "Common Stock", "date_of_event": "2026-06-18", "filed_date": "2026-06-23", "item3_funds_source": "No material changes from the Schedule 13D filed by the Reporting Persons on October 14, 2010.", "item4_transaction_purpose": "No material changes from the Schedule 13D amendment filed by the Reporting Persons on October 23, 2024.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/745308/000091957426004077/0000919574-26-004077-index.html" }, { "accession_no": "0000919574-26-004072", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1564180, "issuer_name": "KNOT Offshore Partners LP", "issuer_cusip": "Y48125101", "securities_class_title": "Common Units Representing Limited Partner Interests", "date_of_event": "2026-06-18", "filed_date": "2026-06-23", "item3_funds_source": "The funds used for the acquisition of the Common Units beneficially owned by the Reporting Persons came from the working capital of private funds and managed account clients advised by Astaris Capital Management LLP. No borrowed funds were used to purchase the Common Units of the Issuer other than any borrowed funds used for working capital purposes in the ordinary course of business.", "item4_transaction_purpose": "This Schedule 13D Amendment No. 3 is being filed to report an increase of over 1% in beneficial ownership of the Common Units of the Issuer.\n\nThe Reporting Persons acquired the securities reported herein for investment purposes and intend to review their investments in the Issuer on a continuing basis. Subject to various factors, including but not limited to the Issuer's financial position and strategic direction, price levels of the Common Units, conditions in the securities markets, various laws and regulations applicable to the Issuer and companies in its industry and the Reporting Persons' ownership in the Issuer, and general economic and industry conditions, the Reporting Persons may in the future take actions with respect to their investment in the Issuer as they deem appropriate, including changing their current intentions, with respect to any or all matters required to be disclosed in this Schedule 13D. The Reporting Persons may, from time to time, acquire, or cause affiliates to acquire, additional Common Units or other securities of the Issuer (including any combination or derivative thereof), dispose, or cause affiliates to dispose, of some or all of their Common Units or other securities of the Issuer or continue to hold, or cause affiliates to hold, Common Units or other securities of the Issuer (or any combination or derivative thereof). In addition, on October 31, 2025, Knutsen NYK Offshore Tankers AS, a Norway limited company (\"KNOT\"), delivered a non-binding offer (the \"Offer Letter\") to the board of directors of the Issuer (the \"Board\"), to acquire all of the issued and outstanding Common Units that are not already beneficially owned by KNOT in exchange for cash. The Reporting Persons have discussed and/or may discuss from time to time, with management, the Board and any of its committees, other shareholders of the Issuer and/or other third parties about the Offer Letter or any subsequent proposed or negotiated transaction, and the proposed terms contained therein, and the Issuer's business, operations, strategy (including with respect to capital allocation policies and procedures), plans and prospects and governance matters generally and in relation to the Reporting Persons' investment in the Issuer and requesting information from the Issuer related thereto.\n\nExcept as described in this Schedule 13D, none of the Reporting Persons has any present plans or proposals that relate to or would result in any of the actions described in Item 4 of this Schedule 13D, although, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or purpose and/or develop such plans and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1564180/000091957426004072/0000919574-26-004072-index.html" }, { "accession_no": "0002111050-26-000008", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1326706, "issuer_name": "ENvue Medical, Inc.", "issuer_cusip": "29416M103", "securities_class_title": "Common Stock", "date_of_event": "2026-06-22", "filed_date": "2026-06-22", "item3_funds_source": "Item 3 is hereby amended and supplemented by adding the following:\nNot applicable. The transactions reported herein involve the disposition (sale) of securities of the Issuer, and no funds were expended by the Reporting Person", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by adding the following:\nThis Amendment No. 2 is being filed to report that the Reporting Person has fully liquidated his investment position in the Issuer. On June 22, 2026, the Reporting Person disposed of all remaining shares of Common Stock of the Issuer held by him. Except as a result of the transactions described in Item 5, the Reporting Person has no current plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1326706/000211105026000008/0002111050-26-000008-index.html" }, { "accession_no": "0002107788-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1726711, "issuer_name": "Aditxt, Inc.", "issuer_cusip": "007025869", "securities_class_title": "common", "date_of_event": "2026-06-12", "filed_date": "2026-06-22", "item3_funds_source": "Shares of Common Stock reported herein were purchased with working capital of the Reporting Person. The aggregate purchase price was approximately $50,000, excluding commissions and other transaction costs.", "item4_transaction_purpose": "Reporting Person acquired the shares of Common Stock for investment purposes and does not have any plans or proposals currently in place to change or influence control of the Issuer.\n\nThe Reporting Person may review its investment and acquire more shares, dispose of some or all of its shares, or communicate with the Issuer, its management, board of directors, representatives, stockholders, or other persons, depending on the market conditions, the Issuer's business and financial condition, liquidity needs, other investment opportunities, and other relevant factors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1726711/000210778826000001/0002107788-26-000001-index.html" }, { "accession_no": "0002106572-26-000002", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2019793, "issuer_name": "XCF Global, Inc.", "issuer_cusip": "98400U103", "securities_class_title": "Class A Common Stock", "date_of_event": "2025-10-06", "filed_date": "2026-06-22", "item3_funds_source": "The shares acquired by the Reporting Persons were acquired by converting promissory notes in the principal amount of $8,400,000 into shares of XCF stock, outright purchases of XCF stock, and payment of an advisory fee. The amounts paid to XCF for the promissory notes and outright purchases of XCF stock were obtained from loans by investors to EEME.", "item4_transaction_purpose": "EEME is the 100% shareholder of Southern Energy Renewables Inc., a Louisiana corporation (\"Southern Energy\"). XCF has agreed to purchase Southern Energy from EEME in exchange for a number of shares equal to 35% of XCF's fully diluted stock as of the date of closing of the transaction. As part of the transaction. Southern Energy is entitled to appoint [2] directors to the board of XCF.\n\nThe Reporting Persons may purchase and sell common stock of XCF in their sole discretion and at such times as they deem convenient, subject to applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2019793/000210657226000002/0002106572-26-000002-index.html" }, { "accession_no": "0001879464-26-000011", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1819493, "issuer_name": "Xos, Inc.", "issuer_cusip": "98423B306", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819493/000187946426000011/0001879464-26-000011-index.html" }, { "accession_no": "0001493152-26-029650", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1828972, "issuer_name": "BuzzFeed, Inc.", "issuer_cusip": "12430A300", "securities_class_title": "Class A Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-17", "filed_date": "2026-06-22", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn June 17, 2026, in connection with the closing of the Offering (as defined below), AFD purchased 4,000,000 shares of Class A Common Stock at a purchase price of $1.44 per share of Class A Common Stock, for aggregate consideration of $5.76 million. AFD used working capital to purchase the Class A Common Stock.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nJune 2026 Share Purchase Agreement\n\nOn June 17, 2026, the Issuer entered into a Share Purchase Agreement (the \"June 2026 Share Purchase Agreement\") with AFD, pursuant to which the Issuer agreed to sell to AFD a total of 4,000,000 shares of Class A Common Stock at a purchase price of $1.44 per share of Class A Common Stock (the \"Offering\"). The Offering closed on June 17, 2026.\n\nThe foregoing description of the June 2026 Share Purchase Agreement does not purport to be complete and is qualified in its entirety by reference to such agreement, which is attached as an exhibit to this Schedule 13D and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828972/000149315226029650/0001493152-26-029650-index.html" }, { "accession_no": "0001346824-26-000180", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1785530, "issuer_name": "WEREWOLF THERAPEUTICS, INC.", "issuer_cusip": "95075A107", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-17", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1785530/000134682426000180/0001346824-26-000180-index.html" }, { "accession_no": "0001213900-26-070610", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1953021, "issuer_name": "Mega Matrix Inc", "issuer_cusip": "G6005C108", "securities_class_title": "Class A Ordinary Shares, par value $0.001 per share", "date_of_event": "2026-06-08", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1953021/000121390026070610/0001213900-26-070610-index.html" }, { "accession_no": "0001193125-26-277207", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2054992, "issuer_name": "Lincoln Bain Capital Total Credit Fund", "issuer_cusip": "53287N300", "securities_class_title": "Class I, Class A, Class D and Class IS shares of beneficial interest, no par value per share", "date_of_event": "2026-06-17", "filed_date": "2026-06-22", "item3_funds_source": "Item 3 of the Initial 13D is hereby amended and supplemented as follows:\n\nOn June 05, 2026, the following series of the Trust, for which LFI acts as investment adviser, acquired Class I Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $10.19 in the amounts and for the aggregate purchase price as set forth below:\n Shares acquired Aggregate purchase price\n1: LVIP Global Growth Allocation Managed Risk Fund: 55,779.50 $567,277.50\n2: LVIP Global Moderate Allocation Managed Risk Fund: 47,529.16 $483,371.51\n3: LVIP U.S. Growth Allocation Managed Risk Fund: 19,655.93 $199,900.83\n4: LVIP Global Conservative Allocation Managed Risk Fund: 9,306.44 $94,646.44\n5: LVIP Global Aggressive Growth Allocation Managed Risk Fund: 2,696.69 $27,425.34\n6: LVIP U.S. Aggressive Growth Allocation Managed Risk Fund: 1,943.79 $19,768.33\n\nOn June 05, 2026, LNL acquired Class A Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.78 and for the aggregate purchase price of $65.14.\n\nOn June 05, 2026, LNL acquired Class D Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.79 and for the aggregate purchase price of $68.44.\n\nOn June 05, 2026, LNL acquired Class I Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $10.17 and for the aggregate purchase price of $365,227.50.\n\nOn June 05, 2026, LNL acquired Class IS Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.79 and for the aggregate purchase price of $70.80.\n\nOn June 17, 2026, the following series of the Trust, for which LFI acts as investment adviser, acquired Class I Shares from the working capital of the Issuer at the purchase price per share of $10.19 in the amounts and at the aggregate purchase price as set forth below:\n\n Shares acquired Aggregate purchase price\n1: LVIP Global Growth Allocation Managed Risk Fund: 938,658.10 $9,564,926.01\n2: LVIP Global Moderate Allocation Managed Risk Fund: 926,618.00 $9,442,237.40\n3: LVIP U.S. Growth Allocation Managed Risk Fund: 330,482.95 $3,367,621.27\n4: LVIP Global Conservative Allocation Managed Risk Fund: 257,626.63 $2,625,215.32", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2054992/000119312526277207/0001193125-26-277207-index.html" }, { "accession_no": "0001140361-26-025964", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1820144, "issuer_name": "Grindr Inc.", "issuer_cusip": "39854F119", "securities_class_title": "Common Stock", "date_of_event": "2026-06-17", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of this Schedule 13D is hereby amended and supplemented by adding the following text:\n\nOn June 17, 2026, the Reporting Persons entered into a trading plan (the \"Trading Plan\") with Morgan Stanley Smith Barney LLC that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended, for the sale of up to 6,000,000 shares of Common Stock of the Issuer, subject to the terms and conditions of the Trading Plan. The Trading Plan is expected to commence on September 16, 2026, following the expiration of the applicable cooling-off period required under Rule 10b5-1(c)(1), and is scheduled to expire on March 15, 2027, unless earlier terminated in accordance with its terms. The Trading Plan provides for sales at prevailing market prices, subject to specified parameters. The foregoing summary is qualified in its entirety by reference to the actual language in Trading Plan, which is filed as Exhibit 1 hereto, and which is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1820144/000114036126025964/0001140361-26-025964-index.html" }, { "accession_no": "0001104659-26-076474", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1800227, "issuer_name": "People Inc", "issuer_cusip": "44891N208", "securities_class_title": "COMMON STOCK, PAR VALUE $0.0001 PER SHARE", "date_of_event": "2026-06-22", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1800227/000110465926076474/0001104659-26-076474-index.html" }, { "accession_no": "0001104659-26-076342", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1636422, "issuer_name": "Health Catalyst, Inc.", "issuer_cusip": "42225T107", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-22", "item3_funds_source": "The Reporting Persons expended an aggregate of approximately $11,004,809 (including commissions) to acquire 4,918,866 shares of Common Stock of the Issuer in various open market transactions. The funds used to acquire the shares of Common Stock of the Issuer held by Palogic Value Fund were derived from the general working capital of Palogic Value Fund. The funds used to acquire the shares of Common Stock of the Issuer held by the Managed Accounts were derived from the general working capital or personal funds of the Managed Accounts or their ultimate owners.", "item4_transaction_purpose": "On June 12, 2026, the Reporting Persons' aggregate share ownership crossed the applicable reporting threshold. The Reporting Persons acquired shares of Common Stock of the Issuer in the ordinary course of business for investment purposes.\n\nOn June 22, 2026, the Palogic Value Management sent a letter (the \"Letter\") to the Issuer expressing support for the recent appointment of Ben Albert as Chief Executive Officer and as a member of the Board of Directors of the Issuer, and the Issuer's announced divestiture of VitalWare. The foregoing description of the Letter does not purport to be complete and is qualified in its entirety by the full text of the Letter, which is attached hereto as Exhibit 99.3 and incorporated herein by reference.\n\nThe Reporting Persons have in the past, and may in the future, engage in discussions with the Issuer's management, board of directors, and/or other shareholders covering a broad range of subjects, including relative to performance, strategic direction, capital allocation, shareholder value, composition of the board of directors, and governance of the Issuer.\n\nDepending upon each factor discussed above and any other factor (which may be unknown at this time) that is, or may become relevant, the Reporting Persons may consider, among other things: (a) the acquisition by the Reporting Persons of additional securities of the Issuer, the disposition of securities of the Issuer, the exercise of convertible securities of the Issuer, or engaging in short selling of or any hedging or similar transaction with respect to the shares of Common Stock of the Issuer, including swaps and other derivative transactions; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) changes in the present board of directors or management of the Issuer; (e) a material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's articles of incorporation, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing any class of the Issuer's securities to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; (j) any action similar to those enumerated above.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis taking into consideration various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for shares of Common Stock of the Issuer in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time, which may include further acquisitions of shares of Common Stock of the Issuer or disposal of some or all of the shares of Common Stock of the Issuer owned by the Reporting Persons or otherwise acquired by the Reporting Persons, either in the open market or in privately negotiated transactions.\n\nAny open market or privately negotiated purchases or sales, acquisition recommendations or proposals or other transactions concerning the Issuer may be made at any time without prior notice. Any alternative may depend upon a variety of factors, including, without limitation, current and anticipated future trading prices of the securities, the financial condition, results of operations and prospects of the Issuer and general industry conditions, the availability, form and terms of financing, other investment and business opportunities, general stock market and economic conditions, tax considerations and other factors.\n\nExcept to the extent that the foregoing may be deemed to be a plan or proposal, none of the Reporting Persons currently has any plans or proposals that relate to or would result in any of the actions specified in clause (a) through (j) of Item 4 of Schedule 13D. Depending upon the foregoing factors and to the extent deemed advisable in light of their general investment policies, or other factors, the Reporting Persons may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer or shares of Common Stock of the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in paragraphs (a) through (j) of Item 4 of Schedule 13D. The foregoing is subject to change at any time, and there can be no assurance that any of the Reporting Persons will take any of the actions set forth above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1636422/000110465926076342/0001104659-26-076342-index.html" }, { "accession_no": "0001104659-26-076287", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1830081, "issuer_name": "RUM Group Inc.", "issuer_cusip": "78137L105", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-17", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": "See the Schedule 13D, as amended, for historical information. Item 4 is amended and supplemented as follows:\n\nThe Support Closing occurred on June 17, 2026. Pursuant to the terms of the Support Agreement, TINV sold, and the Issuer purchased, all of the ND Shares owned by TINV at the Support Closing (43,512,526 ND Shares) in exchange for an aggregate of 36,703,354 new shares of Class A Common Stock and Pre-Funded Warrants exercisable for an aggregate of 51,544,399 shares of Class A Common Stock.\n\nOn June 17, 2026, TINV purchased from the Issuer Pre-Funded Warrants exercisable for 4,599,365 shares of Class A Common Stock for an aggregate purchase price of $36,242,538. The Pre-Funded Warrants were issued pursuant to a draw down notice delivered by the Issuer upon the terms of the Issuer Equity Commitment Agreement.\n\nOn June 18, 2026, pursuant to the terms of the Sale and Transfer and Amendment and Restatement Agreement and as consideration for the transfer of the receivable under the Existing Node Loan, Irish Holdco (as defined below) (i) exchanged 50% of the value of the Existing Node Loan (or approximately EUR 317.5 million) for Pre-Funded Warrants exercisable for 46,719,910 shares of shares of Class A Common Stock and (ii) entered into the Credit Agreement (as defined below) with a starting principal amount of approximately EUR 317.5 million.\n\nEach Pre-Funded Warrant entitles TINV to purchase, on a cash or cashless basis as provided in the Pre-Funded Warrant, up to the specified number of shares of Class A Common Stock, in each case at an exercise price of $0.0001 per share. The foregoing description of the Pre-Funded Warrants does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the Form of Pre-Funded Warrant, which is filed as Exhibit 4.1 to the Issuer's Current Report on Form 8-K filed with the SEC on June 17, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1830081/000110465926076287/0001104659-26-076287-index.html" }, { "accession_no": "0001094891-26-000242", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2022308, "issuer_name": "KIDZ AI Inc.", "issuer_cusip": "182744300", "securities_class_title": "Class B Common Stock", "date_of_event": "2026-06-18", "filed_date": "2026-06-22", "item3_funds_source": "Item 3 of the Schedule 13D is not amended by this Amendment No. 1.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is not amended by this Amendment No. 1.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2022308/000109489126000242/0001094891-26-000242-index.html" }, { "accession_no": "0001013594-26-000680", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1748824, "issuer_name": "Acadian Asset Management Inc.", "issuer_cusip": "10948W103", "securities_class_title": "Common Stock, par value $0.001 per share (the \"Common Stock\")", "date_of_event": "2026-06-17", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1748824/000101359426000680/0001013594-26-000680-index.html" }, { "accession_no": "0000950142-26-001841", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1712189, "issuer_name": "Target Hospitality Corp.", "issuer_cusip": "87615L107", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-18", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1712189/000095014226001841/0000950142-26-001841-index.html" }, { "accession_no": "0000921895-26-001644", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1985337, "issuer_name": "YY Group Holding Ltd.", "issuer_cusip": "G9888Q103", "securities_class_title": "Class A Ordinary Shares, each with no par value", "date_of_event": "2026-06-18", "filed_date": "2026-06-22", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 2,250,000 Shares beneficially owned by Alpha Fund that were purchased directly by Alpha Fund with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $384,024, including brokerage commissions.\n\nThe aggregate purchase price of the 5,028,000 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $366,411, including brokerage commissions.\n\nThe aggregate purchase price of the 70,000 Shares beneficially owned by Mr. Ault that were purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $7,484, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985337/000092189526001644/0000921895-26-001644-index.html" }, { "accession_no": "0000921895-26-001643", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1690334, "issuer_name": "SEACOR Marine Holdings Inc.", "issuer_cusip": "78413P101", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-06-22", "filed_date": "2026-06-22", "item3_funds_source": "The 1,946,963 Shares held by Mr. Chernett were acquired through private transactions using personal funds in the amount of $12,717,562.", "item4_transaction_purpose": "The Reporting Person purchased the Shares based on the Reporting Person's belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Person, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Person may endeavor to further increase or decrease his position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Person may deem advisable.\n\nThe Reporting Person does not have any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Person intends to review his investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Person may in the future take such actions with respect to his investment in the Issuer as he deems appropriate including, without limitation, engaging in additional communications with management and the Issuer's Board of Directors, engaging in discussions with stockholders of the Issuer or other third parties about the Issuer and the Reporting Person's investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional Shares, selling some or all of his Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative instruments, or changing his intention with respect to any and all matters referred to in Item 4\n\nOn June 22, 2026, the Reporting Person delivered a letter (the \"Letter\") to the Board of Directors of the Issuer (the \"Board\") urging the Board to explore strategic alternatives, including an outright sale of the Company or a structured monetization of its assets, to address the significant discount between the Company's current stock price and the estimated net asset value of its fleet. A copy of the Letter is filed as Exhibit 1 to this Schedule 13D and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1690334/000092189526001643/0000921895-26-001643-index.html" }, { "accession_no": "0000070858-26-000346", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1083839, "issuer_name": "Nuveen Quality Municipal Income Fund", "issuer_cusip": "67066V796", "securities_class_title": "PREFERRED SHARES", "date_of_event": "2026-06-17", "filed_date": "2026-06-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1083839/000007085826000346/0000070858-26-000346-index.html" }, { "accession_no": "0002052595-26-000076", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 895574, "issuer_name": "abrdn National Municipal Income Fund", "issuer_cusip": "24610T108", "securities_class_title": "Muni-MultiMode Preferred Shares", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended by adding the following paragraph at the end thereof:\n\n\"The MMP Shares were redeemed by the Issuer on June 16, 2026 (the \"Redemption\") and as a result of the Redemption, the Reporting Persons no longer own any MMP Shares of the Issuer.\"", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended by adding the following paragraph at the end thereof:\n\n\"As a result of the Redemption, the Reporting Persons no longer own any MMP Shares of the Issuer.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/895574/000205259526000076/0002052595-26-000076-index.html" }, { "accession_no": "0001829126-26-006681", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1822523, "issuer_name": "Advanced Flower Capital Inc.", "issuer_cusip": "00109K105", "securities_class_title": "Common Stock", "date_of_event": "2026-06-17", "filed_date": "2026-06-18", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by the addition of the following information:\n\nSince March 24, 2026, the Reporting Person purchased shares of Common Stock in multiple open market transactions using personal funds, as listed on Schedule A, attached hereto, and incorporated herein.\n\nIn addition, this Amendment No. 7 is being filed to reflect increases in the percentage of outstanding Common Stock of the Issuer beneficially owned by the Reporting Person as a result of repurchases of shares of Common Stock made by the Issuer in the open market in the period from May 11, 2026 to June 17, 2026, under the Issuer's share repurchase program authorized by the Board of Directors of the Issuer.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1822523/000182912626006681/0001829126-26-006681-index.html" }, { "accession_no": "0001828791-26-000063", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1828791, "issuer_name": "Viant Technology Inc.", "issuer_cusip": "92557A101", "securities_class_title": "Class A common stock, par value $0.001 per share", "date_of_event": "2026-06-15", "filed_date": "2026-06-18", "item3_funds_source": "Since Amendment No. 6, the Reporting Person acquired an aggregate of 23,489 shares of Class A Common Stock underlying stock options and 44,511 shares of Class A Common Stock underlying RSUs. The stock options and RSUs were awarded to the Reporting Person by the Issuer in consideration for services rendered to the Issuer.", "item4_transaction_purpose": "10b5-1 Trading Plan - June 2026\n\nOn June 17, 2026, the Reporting Person entered into a new trading plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the \"June 2026 10b5-1 Trading Plan\"). Pursuant to the June 2026 10b5-1 Trading Plan, the Broker agreed to make periodic sales of up to an aggregate of 144,978 shares of Class A Common Stock on behalf of the Reporting Person starting on September 16, 2026 through March 31, 2027, less any and all additional shares sold pursuant to the previously disclosed December 2025 10b5-1 Trading Plan. The amount and timing of sales, if any, pursuant to the June 2026 10b5-1 Trading Plan will be determined based on the terms of the June 2026 10b5-1 Trading Plan, market conditions, share price and other factors.\n\nThis description of the June 2026 10b5-1 Trading Plan does not purport to be complete and is qualified in its entirety by the text of the June 2026 10b5-1 Trading Plan, which is attached as an exhibit to this Schedule 13D and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828791/000182879126000063/0001828791-26-000063-index.html" }, { "accession_no": "0001493152-26-029375", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1881472, "issuer_name": "Magic Empire Global Ltd", "issuer_cusip": "G5865E121", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-06-11", "filed_date": "2026-06-18", "item3_funds_source": "On May 22, 2026, the Reporting Persons entered into a share purchase agreement (the \"Share Purchase Agreement\") pursuant to which the Report Person purchased an aggregate of 1,638,250 class A ordinary shares with no par value and 1,000,000 Class B ordinary shares with no par value of the Issuer. The Closing of the Share Purchase Agreement was on June 11, 2026. The foregoing descriptions of the Share Purchase Agreement do not purport to be complete and are qualified in their entirety by reference to the Share Purchase Agreement, which is attached as Exhibit 99.1 hereto, and is incorporated herein by reference.", "item4_transaction_purpose": "On May 22, 2026, the Reporting Persons entered into a share purchase agreement (the \"Share Purchase Agreement\") pursuant to which the Report Person purchased an aggregate of 1,638,250 class A ordinary shares with no par value and 1,000,000 Class B ordinary shares with no par value of the Issuer. The Closing of the Share Purchase Agreement was on June 11, 2026. The foregoing descriptions of the Share Purchase Agreement do not purport to be complete and are qualified in their entirety by reference to the Share Purchase Agreement, which is attached as Exhibit 99.1 hereto, and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1881472/000149315226029375/0001493152-26-029375-index.html" }, { "accession_no": "0001493152-26-029250", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1650101, "issuer_name": "ADDENTAX GROUP CORP.", "issuer_cusip": "00653L400", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-15", "filed_date": "2026-06-18", "item3_funds_source": "The reporting person previously acquired 66,667 shares of common stock of the issuer pursuant to the issuer's equity incentive plan, which is registered under Form S-8, in connection with the reporting person's services to the issuer. Such shares were granted as equity compensation and were not acquired with cash consideration.\n\nOn June 15, 2026, the issuer issued 33,500 shares of common stock to the reporting person as consideration in connection with the Share Swap pursuant to the Share Exchange Agreement, dated May 15, 2026, by and among the issuer, Yingxi Industrial Chain Investment Co., Ltd., Riches Family Office Limited, Riches FO Holdings Limited and Wu Rui. The additional securities were not acquired with cash consideration by the reporting person. Accordingly, no funds were used by the reporting person in acquiring the securities reported herein.", "item4_transaction_purpose": "The 66,667 shares previously reported were acquired by the reporting person pursuant to the issuer's equity incentive plan as compensation for services rendered to the issuer.\n\nThe 33,500 additional shares reported in this Amendment No. 1 were issued to the reporting person on June 15, 2026 as consideration in connection with the Share Swap pursuant to the Share Exchange Agreement, dated May 15, 2026, by and among the issuer, Yingxi Industrial Chain Investment Co., Ltd., Riches Family Office Limited, Riches FO Holdings Limited and Wu Rui.\n\nExcept as set forth herein, the reporting person does not currently have any plans or proposals that relate to or would result in any of the actions described in Items 4(a) through 4(j) of Schedule 13D.\n\nThe reporting person, in his capacity as an officer of the issuer, may from time to time engage in discussions with management regarding the issuer's business and operations and may acquire or dispose of securities of the issuer, subject to applicable laws.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1650101/000149315226029250/0001493152-26-029250-index.html" }, { "accession_no": "0001493152-26-029221", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1534708, "issuer_name": "BEELINE HOLDINGS, INC.", "issuer_cusip": "277802500", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-06-17", "filed_date": "2026-06-18", "item3_funds_source": "This amendment amends the Schedule 13D filed with the Securities and Exchange Commission on March 20, 2025 as amended from time-to-time. This amendment is being filed to update the percentage of outstanding common stock beneficially owned based on the shares of common stock outstanding and underlying derivative securities held by the Reporting Person as of a more recent date and to reflect recent transactions as disclosed in the Statements of Changes in Beneficial Ownership of Securities on Form 4 reported on May 18, 2026 and May 19, 2026 and gifts reported on June 18, 2026. The Reporting Person purchased the 51,525 shares of common stock common reported on the May 19, 2026 Form 4 with personal funds. The shares of common stock underlying the Warrants are subject to price protection adjustment provisions set forth in such securities and may be subject to adjustments based on lower priced sales of common stock or common stock equivalents by the Company or if the Company obtains waivers to such adjustment provisions from the holders of these securities.", "item4_transaction_purpose": "The Reporting Person is the Chief Executive Officer and a director of the Issuer. He acquired all of his securities with the purpose of exercising control.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1534708/000149315226029221/0001493152-26-029221-index.html" }, { "accession_no": "0001477932-26-003934", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1437925, "issuer_name": "Meridian Holdings Inc./NV", "issuer_cusip": "381098409", "securities_class_title": "Common Stock, $0.00001 par value per share", "date_of_event": "2025-11-24", "filed_date": "2026-06-18", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows: \r \r This Amendment reports the transactions described below, as well as: the sale by the Reporting Persons in open market transactions from June 30, 2025, through June 12, 2026, of 210,730 shares of Common Stock of the Issuer as described on Schedule A.\r \r On November 25, 2025, the Issuer entered into a Severance and Release Agreement (the \"Severance Agreement\") with Mr. Goodman, pursuant to which (i) the Issuer and Mr. Goodman mutually agreed to terminate Mr. Goodman's employment with the Issuer effective as of December 12, 2025, unless otherwise agreed between the parties (the \"Termination Date\"), and (ii) the Issuer agreed to pay Mr. Goodman a $951,750 severance payment (representing eighteen months of Mr. Goodman's base salary ($434,500), plus Mr. Goodman's 2025 targeted bonus ($300,000)) and $46,792 in accrued, unused vacation pay.\r \r Pursuant to the Severance Agreement, the Issuer agreed to use commercially reasonable efforts to reasonably assist Mr. Goodman in the conversion of his shares of Series B Preferred Stock into shares of Issuer Common Stock, which have been fully-converted to date. The Issuer also agreed to reimburse Mr. Goodman up to $10,000 in attorney's fees and costs incurred in connection with the Severance Agreement. \r \r All 300,000 unvested restricted stock units (RSUs) previously granted to Mr. Goodman became 100% vested as of the Termination Date and were issued on such date.\r \r On December 12, 2025, Mr. Goodman converted all 1,000 outstanding shares of the Issuer's Series B Voting Preferred Stock which he held into 83,333 shares of the Issuer's Common Stock.\r \r Effective December 12, 2025, Mr. Goodman resigned as President, Chief Executive Officer, Principal Executive Officer, Secretary, Treasurer, and as a member of the Board of Directors of the Issuer and each of its subsidiaries.", "item4_transaction_purpose": "Item 4 is hereby amended and restated in its entirety to read as follows: The information set forth in Item 3 is hereby incorporated by reference into this Item 4. The Reporting Persons acquired the securities pursuant to the transactions described in Item 3 above. In the future, depending on general market and economic conditions affecting the Issuer and other relevant factors, the Reporting Persons may purchase or acquire additional securities of the Issuer or dispose of some or all of the securities they currently own from time to time in open market transactions, private transactions or otherwise. Except as may occur in the ordinary course of business of the Company, the Reporting Persons do not currently have any plans or proposals which relate to or would result in the following described: (a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) Any material change in the present capitalization or dividend policy of the Issuer; (f) Any other material change in the Issuer's business or corporate structure, including but not limited to, if the Issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940; (g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to section 12(g)(4) of the Act; or (j) Any action similar to any of those enumerated above. The Reporting Persons retain the right to change their investment intent, and may, from time to time, acquire additional shares of Common Stock or other securities of the Company, or sell or otherwise dispose of (or enter into a plan or arrangements to sell or otherwise dispose of), all or part of the shares of Common Stock or other securities of the Company, if any, beneficially owned by them, in any manner permitted by law. \r \r On March 28, 2025, Mr. Goodman entered into a Rule 10b5-1 Sales Plan with Oppenheimer & Co. Inc. (the \"10b5-1 Plan\") pursuant to Rule 10b5-1 of the Exchange Act, for the purpose of selling shares of Common Stock in open market transactions. The description of the 10b5-1 Plan set forth in Item 6 below is incorporated herein by reference in its entirety. On September 5, 2025, the 10b5-1 Plan was terminated pursuant to its terms.\r \r The Reporting Persons have no current plans or proposals that relate to or would result in any of the changes or transactions enumerated in subsections (a) - (j) of Item 4 of the General Instructions for Complying with Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time. The Reporting Persons, however, will take such actions with respect to the Reporting Persons' investments in the Issuer as deemed appropriate in light of existing circumstances from time to time and reserve the right to acquire or dispose of securities of the Issuer, to enter into hedging relationships with respect to such securities, or to formulate other purposes, plans, or proposals in the future depending on market conditions and/or other factors. The Reporting Persons acquired, and presently hold, the securities reported herein for investment purposes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1437925/000147793226003934/0001477932-26-003934-index.html" }, { "accession_no": "0001437749-26-021169", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1099590, "issuer_name": "MERCADOLIBRE INC", "issuer_cusip": "587733R102", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-17", "filed_date": "2026-06-18", "item3_funds_source": "As a result of the Distribution, Meliga No. 1 Corp. acquired 3,400,136 shares of Common Stock. Galperin Trust /SD, as the sole shareholder of Meliga No. 1 Corp. and Corpag Trust South Dakota Inc., as the trustee of Galperin Trust /SD, each have shared beneficial ownership of 3,400,136 shares of Common Stock. No pecuniary or other consideration was exchanged in connection with the transfer.", "item4_transaction_purpose": "The purpose of the Distribution was to transfer certain assets from Meliga No. 1 LP to its parent entities for no consideration, as part of an ongoing estate-planning restructuring process. As a result of this transaction, all shares of Common Stock previously held by Meliga No. 1 LP were fully distributed to Meliga No. 1 Corp.\n\nExcept as set forth herein, the Reporting Persons have no current intention, plan or proposal with respect to items 4(a) through (j) of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1099590/000143774926021169/0001437749-26-021169-index.html" }, { "accession_no": "0001346824-26-000178", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1657677, "issuer_name": "Parabilis Medicines, Inc.", "issuer_cusip": "698955101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-18", "item3_funds_source": "Prior to the Issuer's initial public offering (the \"IPO\"), (i) the Fund purchased 642,250 shares of Series E preferred stock of the Issuer and 9,445,363 shares of Series F preferred stock of the Issuer; and (ii) the Nexus Fund III purchased 160,562 shares of Series E preferred stock of the Issuer and 1,666,829 shares of Series F preferred stock of the Issuer. The aggregate purchase price of the foregoing securities was $73,499,989.\n\nIn connection with the closing of the IPO on June 11, 2026, the Series E preferred stock and Series F preferred stock automatically converted into shares of voting common stock on a 1-to-0.6524 and 1-to-0.6498 basis, respectively. The Fund and the Nexus Fund III also purchased 19,728,353 and 1,460,397 shares of voting common stock, respectively, from the underwriters of the IPO at the IPO price of $20.00 per share, for an aggregate purchase price of $423,775,000.\n\nAll purchases of the securities described herein were for cash and were funded by working capital of the Fund and the Nexus Fund III, as applicable.", "item4_transaction_purpose": "The Reporting Persons acquired the voting common stock reported herein for investment purposes and not with an intent, purpose or effect of changing control of the Issuer. The Reporting Persons may, from time to time, acquire additional equity securities or debt securities of the Issuer, which debt securities may be convertible or non-convertible, secured or unsecured, and could involve the monetization of potential revenue streams deriving from development-stage or commercial programs of the Issuer, or dispose of Issuer securities they beneficially own, on the open market or in private transactions or otherwise (including by means of 10b5-1 programs), consistent with their investment purposes and in amounts, on such terms and at such times as to be determined by the Reporting Persons based upon a number of factors, including, without limitation, their ongoing assessment of the Issuer's business prospects, the availability of Issuer securities at prices that would make the purchase or sale of such securities desirable, prevailing market conditions, the availability of other investment opportunities, and/or other considerations.\n\nIn addition, consistent with their investment purpose, the Reporting Persons may engage in communications with persons associated with the Issuer, including stockholders of the Issuer, officers of the Issuer, members of the board of directors of the Issuer, and/or or other third parties, to discuss matters regarding the Issuer, including but not limited to its operations, strategic direction, governance or capitalization, and potential business combinations or dispositions involving the Issuer or certain of its businesses. Dr. Jake Simson, a Partner of RA Capital, currently serves as a director of the Issuer and therefore will engage in regular discussions with the Issuer's board of directors and management as part of his duties as a director.\n\nNeither Dr. Simson (other than in his capacity as a director) nor the Reporting Persons have any present plans or proposals that relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D.\n\nDepending on various factors including, without limitation, the Issuer's financial position, results and strategic direction, actions taken by the Issuer's management and Board, other investment opportunities available to RA Capital, the price levels of the Issuer securities, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may change their purpose and formulate and implement plans or proposals with respect to the Issuer at any time and from time to time. Any such action may be made by the Reporting Persons alone or in conjunction with other stockholders, potential acquirers, financing sources and/or other third parties and could include one or more purposes, plans or proposals that relate to or would result in actions required to be reported herein in accordance with Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1657677/000134682426000178/0001346824-26-000178-index.html" }, { "accession_no": "0001213900-26-070190", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2087965, "issuer_name": "Cantor Equity Partners VII, Inc.", "issuer_cusip": "G1828W100", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-06-18", "filed_date": "2026-06-18", "item3_funds_source": "The aggregate purchase price for the Ordinary Shares currently beneficially owned by the Reporting Persons was $6,025,000. The source of these funds was the working capital of Cantor.", "item4_transaction_purpose": "In May 2021, the Sponsor purchased an aggregate of 14,375,000 Class B Ordinary Shares for an aggregate purchase price of $25,000. On August 25, 2025, the Sponsor surrendered, for no consideration, 7,187,500 Class B Ordinary Shares, which the Issuer cancelled, resulting in the Sponsor owning 7,187,500 Class B Ordinary Shares. On June 18, 2026, the Sponsor surrendered, for no consideration, 937,500 Class B Ordinary Shares, which the Issuer cancelled, resulting in the Sponsor owning 6,250,000 Class B Ordinary Shares. On June 18, 2026, simultaneously with the consummation of the Issuer's initial public offering (the \"IPO\"), the Sponsor purchased 600,000 Class A Ordinary Shares (the \"Placement Shares\"), at $10.00 per Placement Share, pursuant to a Private Placement Shares Purchase Agreement, dated June 18, 2026, by and between the Issuer and the Sponsor (the \"Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference. The Ordinary Shares owned by the Sponsor have been acquired for investment purposes. The Sponsor, Cantor, CFGM and Mr. Lutnick may make further acquisitions of the Ordinary Shares from time to time and, subject to certain restrictions, may dispose of any or all of the Ordinary Shares owned by the Sponsor at any time depending on an ongoing evaluation of the investment in such Ordinary Shares, prevailing market conditions, other investment opportunities and other factors. However, such Ordinary Shares are subject to certain lock-up restrictions as further described in Item 6 below. In order to finance transaction costs in connection with an intended initial business combination, the Sponsor has committed to provide up to $1,750,000 to the Issuer to fund the Issuer's expenses relating to investigating and selecting a target business and other working capital requirements prior to the Issuer's initial business combination. Other than as described in this Item 4, none of the Reporting Persons has any current plans or proposals that relate to or that would result in any of the transactions or other matters specified in clauses (a) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company incorporated as a Cayman Islands exempted company for the purpose of effecting a merger, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Sponsor as further described in Item 6 below, the Sponsor has agreed (i) to vote its shares in favor of any proposed initial business combination (except that any public shares such parties may purchase in compliance with the requirements of Rule 14e-5 under the Securities Exchange Act of 1934 (the \"Exchange Act\") would not be voted in favor of approving the business combination transaction) and (ii) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2087965/000121390026070190/0001213900-26-070190-index.html" }, { "accession_no": "0001193125-26-276322", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1957892, "issuer_name": "StepStone Private Infrastructure Fund", "issuer_cusip": "85914R304", "securities_class_title": "Class D and Class U Common Shares of Beneficial Interest", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1957892/000119312526276322/0001193125-26-276322-index.html" }, { "accession_no": "0001193125-26-276273", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1830043, "issuer_name": "Bumble Inc.", "issuer_cusip": "12047B105", "securities_class_title": "Class A Common Stock, par value $0.01 per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by the following:\n\nOn June 16, 2026, the hedging period related to the second quarterly calculation period for the Forward Transactions ended, and the sales price for such quarterly calculation period was determined to be $3.7751 per share. On June 18, 2026, the shares pledged by the Stockholders in respect of such quarterly calculation period were released from the pledge and delivered to Dealer in settlement of such quarterly calculation period.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1830043/000119312526276273/0001193125-26-276273-index.html" }, { "accession_no": "0001193125-26-276271", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1300514, "issuer_name": "LAS VEGAS SANDS CORP.", "issuer_cusip": "517834107", "securities_class_title": "Common Stock, Par Value $0.001 Per Share", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended by adding the text below to the end of Item 3 of the Schedule 13D.\n\nOn June 16, 2026, the Remainder Trust and the Friends and Family Trust distributed 87,718,919 and 87,718,918 shares of the Issuer's Common Stock, respectively, for no consideration in substantially equal proportions to ESBT S-II Trust, ESBT Y-II Trust, QSST A-II Trust and QSST M-II Trust. As a result of the distributions, as of the date of this Amendment, the Remainder Trust and the Friends and Family Trust no longer beneficially own any share of the Issuer's Common Stock, and ESBT S-II Trust, ESBT Y-II Trust, QSST A-II Trust and QSST M-II Trust beneficially own 43,859,460, 43,859,459, 43,859,459 and 43,859,459 shares of the Issuer's Common Stock, respectively.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended by adding the text below to the end of Item 4 of the Schedule 13D.\n\nThe Issuer has historically maintained a share repurchase program for the repurchase of shares of its Common Stock from time to time. As a result of repurchases under this program, the number of shares of outstanding Common Stock has decreased, and consequently, the percentages of shares of Common Stock beneficially owned by certain of the Reporting Persons have passively increased.\n\nESBT S-II Trust, ESBT Y-II Trust, QSST A-II Trust and QSST M-II Trust adopt the disclosure made by the other Reporting Persons in Item 4 of the Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1300514/000119312526276271/0001193125-26-276271-index.html" }, { "accession_no": "0001193125-26-275971", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2110029, "issuer_name": "ERock, Inc.", "issuer_cusip": "296013105", "securities_class_title": "Class A common stock, $0.01 par value per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-18", "item3_funds_source": "Each of FT-B and Flagship were pre-Offering owners of Enchanted Rock Holdings, LLC. FT-B was formed in February 2017 for the principal purpose of indirectly holding equity interests in Enchanted Rock Holdings, LLC and, for a time, other entities. Flagship was formed in April 2025 for the principal purpose of directly holding equity interests in Enchanted Rock Holdings, LLC.\n\nOn December 27, 2024, pursuant to the 2024 Note Purchase Agreement (as defined in the Prospectus), certain of the Reporting Persons purchased the $10.0 million December 2024 Convertible Note (as defined in the Prospectus).\n\nIn January and February 2025, pursuant to the 2024 Note Purchase Agreement, certain of the Reporting Persons purchased an aggregate of $10.0 million in Additional 2024 Convertible Notes (as defined in the Prospectus).\n\nIn April 2025, in connection with the A&R Note Purchase Agreement (as defined in the Prospectus), each of the December 2024 Convertible Note and the Additional 2024 Convertible Notes were amended, and certain of the Reporting Persons purchased an additional $15.3 million in 2025 Convertible Notes (as defined in the Prospectus, together with the December 2024 Convertible Note, the Additional 2024 Convertible Notes, the \"Notes\").\n\nOn May 13, 2026, portions of the Notes were converted into common units and the remaining Notes were redeemed in cash. As a result, the Notes are no longer outstanding as of the date of this Statement.\n\nOn June 11, 2026, connection with the Offering, EIF ER Blocker LLC merged with and into the Issuer pursuant to the Blocker Mergers (as defined in the Prospectus). As a result of the merger, 20,751,551 Class A Units held by EIF ER Blocker were cancelled, and, as consideration pursuant to the Blocker Mergers, FT-B received 19,350,897 shares of Class A common stock of the Issuer and approximately $27.8 million in cash from the net proceeds from the closing of the Offering. The Issuer also used approximately $119.9 million of the net proceeds from the closing of the Offering to purchase 6,041,206 Class B Units from Flagship. An equal number of shares of the Issuer's Class B common stock were cancelled in connection with the repurchase of the Class B Units. Following the Offering and the repurchases described in this paragraph, each Reporting Person beneficially owned such number of shares of Common Stock set forth in Item 11 of their respective Cover Pages.\n\nAll shares of the capital stock of the Issuer held by FT-B and Flagship have been purchased using investment funds provided to FT-B and Flagship by their investors. Unless noted above, no part of the purchase price was borrowed by any Reporting Person for the purpose of acquiring any securities discussed in this Item 3.", "item4_transaction_purpose": "The information set forth in Item 3 of this Statement is incorporated herein by reference. The Reporting Persons hold the securities of the Issuer for general investment purposes. The Reporting Persons may, from time to time, depending on prevailing market, economic and other conditions, acquire additional shares of Class A common stock or other securities of the Issuer, dispose of any such securities, or engage in discussions with the Issuer concerning such acquisitions or dispositions or further investments in the Issuer. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price and availability of shares of Class A common stock or other securities of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations and other factors considered relevant, may decide at any time to increase or to decrease the size of their investment in the Issuer in the open market, in privately negotiated transactions, pursuant to 10b5-1 trading plans or otherwise.\n\nExcept as set forth above, the Reporting Persons have no present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2110029/000119312526275971/0001193125-26-275971-index.html" }, { "accession_no": "0001185185-26-002573", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2059654, "issuer_name": "Blue Acquisition Corp/Cayman", "issuer_cusip": "G1331A108", "securities_class_title": "Class A Ordinary Shares, par value $0.0001", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": "The aggregate purchase price for the Founder Shares (as defined below) was $25,000. The aggregate purchase price of the Placement Units (as defined below) was $3,910,000. The source of these funds was the working capital of Sponsor.", "item4_transaction_purpose": "Founder Shares On February 20, 2025, the Sponsor acquired an aggregate of 6,049,925 Class B ordinary shares, for $25,000, or approximately $0.004 per share. In May 2025, the Issuer issued an additional 1,009,988 Class B ordinary shares to the Sponsor in a share capitalization resulting in the Sponsor holding a total of 7,069,913 Class B ordinary shares (the \"Founder Shares\"), of which up to 922,163 Class B ordinary shares were subject to forfeiture to the extent the underwriter did not exercise its over-allotment option in connection with the Issuer's initial public offering (the \"IPO\") in full. At the closing of the IPO, the underwriter exercised the over-allotment option in full and as a result, no Founder Shares were forfeited. The Founder Shares will automatically convert into shares of Class A ordinary shares at the time of the Issuer's initial business combination (the \"Business Combination\") on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights. The Sponsor assigned 300,000 Founder Shares to Albert Pontonio, a registered broker-dealer associated with Roberts & Ryan, Inc., co- manager of the IPO. The description of the Founder Share Purchase Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.8 to the Registration Statement on Form S-1 initially filed by the Issuer with the SEC on May 14, 2025 (and is incorporated by reference herein as Exhibit 10.1). Placement Units On June 16, 2025, as part of a Private Placement Units Purchase Agreement dated June 12, 2025 (the \"Unit Purchase Agreement\"), Sponsor purchased 391,000 placement units (the \"Placement Units\") from the Issuer for an aggregate purchase price of $3,910,000. Each Placement Unit consists of one Class A ordinary share (\"Placement Share\") and one right to receive one tenth (1/10) of a Class A ordinary share upon the consummation of the Business Combination (\"Placement Share Right\"). The foregoing description of the Unit Purchase Agreement does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the agreement, which is attached as an exhibit hereto and incorporated herein by reference. Letter Agreement Sponsor and the Issuer entered into a letter agreement (the \"Letter Agreement\") with other parties named thereunder on June 12, 2025, pursuant to which Sponsor agreed to (i) waive its redemption rights with respect to its Founder Shares, Placement Shares and any Class A ordinary shares purchased during or after the IPO (the \"public shares\") in connection with the completion of the Business Combination, (ii) waive its redemption rights with respect to its Founder Shares, Placement Shares, and any public shares in connection with the completion of the Business Combination in connection with a shareholder vote to approve an amendment to the Issuer's amended and restated memorandum and articles of association (A) to modify the substance or timing of the Issuer's obligation to allow redemption in connection with the Issuer's Business Combination or certain amendments to the Issuer's amended and restated memorandum and articles of association prior thereto or to redeem 100% of the Issuer's public shares if the Issuer does not complete the Business Combination within 24 months from the closing of the IPO (the \"Combination Period\") or (B) with respect to any other provision relating to shareholders' rights or pre-Business Combination activity and (iii) waive its rights to liquidating distributions from the trust account with respect to its Founder Shares and the Placement Shares if the Issuer fails to complete the Business Combination within the Combination Period, although Sponsor will be entitled to liquidating distributions from the trust account with respect to any public shares it holds if the Issuer fails to complete the Business Combination within the Combination Period. Pursuant to the Letter Agreement, Sponsor agreed to vote any Founder Shares, Placement Shares and any public shares purchased during or after the IPO (including in open market and privately negotiated transactions) in favor of the Business Combination. If the Issuer submits the Business Combination to its public shareholders for a vote, the Issuer will complete the Business Combination only if a majority of the outstanding ordinary shares voted are voted in favor of the Business Combination. Further pursuant to the Letter Agreement, Sponsor has agreed not to transfer, assign or sell the Founder Shares and any Class A ordinary shares purchased during or after the IPO, as applicable, until the earlier of (i) six months after the date of the consummation of the Business Combination or (ii) the date on which the closing price of the Class A ordinary shares equals or exceeds $12.00 per share (as adjusted for share sub-divisions, share dividends, rights issuances, reorganizations, recapitalizations and the like) for any 20 trading days within any 30-trading day period commencing after the Business Combination or (y) the date on which the Issuer completes a liquidation, merger, share exchange, reorganization or other similar transaction that results in all of the Issuer's public shareholders having the right to exchange their ordinary shares for cash, securities or other property. Pursuant to the Letter Agreement, Sponsor also has agreed that the Placement Units (including the underlying Placement Shares and the Class A ordinary shares issuable upon conversion of the Placement Share Rights) will not be transferable, assignable or salable until 30 days after the completion of the Business Combination, subject to certain exceptions. The description of the Letter Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.5 to the Issuer's Current Report on Form 8-K filed June 17, 2025 (and is incorporated by reference herein as Exhibit 10.3). Registration Rights Agreement In connection with the closing of the IPO, the Issuer entered into a registration rights agreement (the \"Registration Rights Agreement\") with Sponsor and other parties named thereunder on June 12, 2025. Pursuant to the Registration Rights Agreement, holders of Founder Shares, Representative Shares (defined in Item 5 below), Placement Units (including securities underlying such Placement Units), any shares of Class A ordinary shares issuable upon conversion of the Founder Shares, and any units that may be issued in connection with working capital loans, in the Registration Rights Agreement are entitled to make up to three demands that the Issuer offer such securities in an underwritten offering. These holders also have certain \"piggy-back\" registration rights with respect to certain underwritten offerings the Issuer may conduct. The holders of the Private Units (including the underlying securities) and the Class A ordinary shares issued to the Underwriters also will be entitled to registration rights. These registration rights are limited to one demand and unlimited \"piggy-back\" rights for periods of five and seven years, respectively, from the commencement of sales of the IPO. The description of the Letter Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.2 to the Issuer's Current Report on Form 8-K filed June 17, 2025 (and is incorporated by reference herein as Exhibit 10.4). General The Reporting Persons acquired the securities described in this Schedule 13D for investment purposes and intend to review their investments in the Issuer on a continuing basis. Subject to the terms of the Letter Agreement, any actions the Reporting Persons might undertake may be made at any time and from time to time without prior notice and will be dependent upon the Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments. Subject to the terms of the Letter Agreement and applicable rules, the Reporting Persons may acquire additional securities of the Issuer or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions, including pursuant to registered transactions pursuant to the Registration Rights Agreement. In addition, the Reporting Persons may engage in discussions with management, the Issuer's board of directors (the \"Board\"), and securityholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or other transaction that could result in the de-listing or de-registration of the Class A ordinary shares; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board. There can be no assurance, however, that any Reporting Person will propose such a transaction or that any such transaction would be successfully implemented. Other than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2059654/000118518526002573/0001185185-26-002573-index.html" }, { "accession_no": "0001104659-26-075893", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1839608, "issuer_name": "Getaround, Inc", "issuer_cusip": "37427G101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": "The information set forth in Item 4 of this Amendment No. 12 is incorporated by reference into this Item 3.", "item4_transaction_purpose": "Consistent with the Letter Agreement previously disclosed by the Reporting Persons in Item 6 of Amendment No. 11, and by the Issuer in its filings with the SEC, MCM converted Convertible Notes for 100,000,000 shares of Common Stock for $0.25 per share in accordance with the terms of the convertible note subscription agreement dated May 11, 2022, as amended, and the notes indenture. The Reporting Persons intend to support the Issuer's proposal to dissolve and wind down operations in accordance with the DGCL at the Issuer's upcoming Special Meeting of Stockholders as disclosed in the Issuer's filings with the SEC. It is expected that following such special meeting, the Issuer will dissolve, cease to conduct its business and wind down its affairs in accordance with the DGCL.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1839608/000110465926075893/0001104659-26-075893-index.html" }, { "accession_no": "0001104659-26-075797", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2070534, "issuer_name": "SL Science Holding Ltd", "issuer_cusip": "G8191L116", "securities_class_title": "Ordinary shares, par value $0.00001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-18", "item3_funds_source": "The information set forth in Items 4 and 5 of this Schedule 13D are hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "On June 12, 2026, SL Bio and HSPT completed a business combination pursuant to the business combination agreement, dated May 9, 2025 (the \"Business Combination Agreement\"), by and among the Issuer, HSPT, CW Mega Limited, a Cayman Islands exempted company limited by shares and a wholly-owned subsidiary of the Issuer (\"Merger Sub I\"), WW Century Limited, a Cayman Islands exempted company limited by shares and a wholly-owned subsidiary of the Issuer (\"Merger Sub II\"), and SL Bio, under which, among other things, (i) Merger Sub I will merge with and into HSPT, with HSPT as the surviving entity and a wholly-owned subsidiary of the Issuer (the \"First Merger\"), and (ii) following the First Merger, Merger Sub II will merge with and into SL Bio, with SL Bio as the surviving entity and a wholly-owned subsidiary of the Issuer (the \"Second Merger,\" and together with the First Merger and the other transactions contemplated by the Business Combination Agreement, the \"Business Combination\"). Upon the consummation of the Business Combination, each of HSPT and SL Bio became a subsidiary of the Issuer, and HSPT's shareholders and SL Bio's shareholders received Ordinary Shares of the Issuer. The Reporting Persons, as shareholders of SL Bio, received approximately an aggregate of 333,832,129 Ordinary Shares as a result of the completion of the Business Combination. Depending on prevailing market, economic and other conditions, the Reporting Persons may from time to time acquire additional Ordinary Shares or engage in discussions with the Issuer concerning future acquisitions of its shares. Such acquisitions may be made by means of open-market purchases, privately negotiated transactions, direct acquisitions from the Issuer or otherwise. Except as set forth in this Item 4, the Reporting Persons have no plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors of the Issuer (the \"Board\") or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action similar to any of those enumerated above. The Reporting Persons may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in clauses (a) through (j) of this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2070534/000110465926075797/0001104659-26-075797-index.html" }, { "accession_no": "0001104659-26-075751", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1860543, "issuer_name": "CADRE HOLDINGS, INC.", "issuer_cusip": "12763L105", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1860543/000110465926075751/0001104659-26-075751-index.html" }, { "accession_no": "0000930413-26-001914", "submission_type": "SCHEDULE 13D/A", "amendment_no": 18, "issuer_cik": 1274173, "issuer_name": "JANUS HENDERSON GROUP PLC", "issuer_cusip": "G4474Y214", "securities_class_title": "Ordinary Shares, $1.50 per share par value", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn June 16, 2026, the Issuer, Parent and Merger Sub entered into a side letter agreement (the \"Side Letter\"), which further supplements and amends limited terms of the Amended Merger Agreement (as further amended and supplemented by the Side Letter, the \"Merger Agreement\"). Among other things, the Side Letter provides that (i) the closing of the Merger will occur on June 30, 2026, subject to the satisfaction or waiver of all conditions to closing as set forth in the Merger Agreement (ii) conditions related to those regulatory approvals received in connection with the Merger as of the date of the Side Letter are satisfied as of the date of the Side Letter; and (iii) the date after which the Merger Agreement may be terminated if the Merger has not occurred on or prior to such date (referred to in the Merger Agreement as the Termination Date), shall be September 20, 2026. Importantly, while the Side Letter reflects an intention of the parties to effectuate closing of the Merger on June 30, 2026, it is noted that the closing remains subject to the satisfaction of all closing conditions in the Merger Agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1274173/000093041326001914/0000930413-26-001914-index.html" }, { "accession_no": "0000921895-26-001631", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1505952, "issuer_name": "DOMO, INC.", "issuer_cusip": "257554105", "securities_class_title": "Class B Common Stock, par value $0.001 per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe Shares beneficially owned by RPD Fund were purchased with working capital of RPD Fund (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 262,963 Shares beneficially owned by RPD Fund is approximately $24,933,991, excluding brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1505952/000092189526001631/0000921895-26-001631-index.html" }, { "accession_no": "0000921895-26-001629", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1704711, "issuer_name": "Funko, Inc.", "issuer_cusip": "361008105", "securities_class_title": "Class A Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-18", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares beneficially owned by the Reporting Person were purchased with working capital of the Funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 5,257,086 Shares beneficially owned by the Reporting Person is approximately $41,723,700 including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1704711/000092189526001629/0000921895-26-001629-index.html" }, { "accession_no": "0000905148-26-002996", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 2119322, "issuer_name": "Digimarc Corp", "issuer_cusip": "25382K100", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by the following:\n\nOn May 15, 2026, pursuant to the Reorganization Agreement, Old Digimarc became a wholly-owned subsidiary of New Digimarc, a newly formed Oregon corporation, and Old Digimarc converted into an Oregon limited liability company. In connection therewith, each outstanding share of common stock and each outstanding share of preferred stock of Old Digimarc was exchanged for one share of common stock and one share of preferred stock, respectively, of New Digimarc, with substantially equivalent rights, powers, and economic ownership over New Digimarc as over Old Digimarc.\n\nOn May 19, 2026, Mr. McCormack purchased 5,103 common units (\"Common Units\") of Digimarc LLC, of which the Issuer is the Managing Member and majority owner, for an aggregate purchase price of $50,009.40, using his personal funds. These Common Units are generally redeemable for an equal number of shares of Common Stock or at the election of the Issuer as Managing Member, cash equal to the fair market value of such shares.\n\nAlso on May 19, 2026, (i) 1,050,000 long-term incentive plan units (\"LTIP Units\") of Digimarc LLC were granted to Mr. McCormack, pursuant to the LTIP Unit Award Agreement (as defined and described in Item 6 of this Amendment No. 3), and (ii) an option to purchase up to 1,500 Common Units (the \"Common Unit Option\") was granted to Mr. McCormack, with an exercise price per Common Unit payable in cash equal to the closing price of one share of Common Stock on the date immediately preceding the exercise date. The Common Unit Option is exercisable in three equal tranches from the grant date through May 19, 2036.\n\nOn May 21, 2026, Mr. McCormack exercised one tranche of the Common Unit Option for 500 Common Units at an exercise price of $12.05, using his personal funds. These Common Units are generally redeemable for an equal number of shares of Common Stock or at the election of the Issuer as Managing Member, cash equal to the fair market value of such shares.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by the following:\n\nThe responses to Item 1 Comment, Item 3, Item 5(c) and Item 6 of this Amendment No. 3 are hereby incorporated by reference herein.\n\nOn June 16, 2026, TCM Partners made an in-kind distribution of an aggregate 2,275,737 shares of Common Stock to its limited partners and its general partner, proportionately based on their respective limited partnership interests, for no consideration, including 3,512 shares of Common Stock that were distributed to TCM GP, whose sole manager is Mr. McCormack. Also on June 16, 2026, TCM Partners transferred an additional 79,356 shares of Common Stock to its investment manager, TCM Strategic L.P., which is wholly-owned by Mr. McCormack.\n\nEffective July 5, 2026, Mr. McCormack's service as President and Chief Executive Officer of the Company will conclude. In connection with this transition, and pursuant to the terms of his existing agreements, Mr. McCormack will be entitled to severance benefits, including certain accelerated equity vesting and health benefit stipends. Mr. McCormack will remain on the Company's Board of Directors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2119322/000090514826002996/0000905148-26-002996-index.html" }, { "accession_no": "0000905148-26-002994", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1408100, "issuer_name": "Kennedy-Wilson Holdings, Inc.", "issuer_cusip": "489398107", "securities_class_title": "Common Stock, $0.0001 Par Value", "date_of_event": "2026-06-16", "filed_date": "2026-06-18", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nPursuant to the Agreement and Plan of Merger, dated February 16, 2026, as amended by that certain Amendment to Agreement and Plan of Merger, dated March 15, 2026 (the \"Merger Agreement\"), by and among the Issuer, Kona Bidco, LLC, a Delaware limited liability company (\"Parent\"), and Kona Merger Subsidiary, Inc., a Delaware corporation and wholly owned subsidiary of Parent (\"Merger Sub\"), on June 16, 2026, Merger Sub merged with and into the Issuer (the \"Merger\"), and the Issuer continued as the surviving corporation, collectively owned, directly or indirectly, by Parent and certain Rollover Stockholders (as defined in the Merger Agreement).\n\nAt the effective time of the Merger (the \"Effective Time\"), each Share outstanding immediately prior to the Effective Time, with limited exceptions, ceased to exist and was converted automatically into the right to receive $10.90 in cash per Share, without interest (the \"Merger Consideration\"). Also at the Effective Time, each RSU subject to service-based vesting conditions granted pursuant to the Issuer's Second Amended and Restated 2009 Equity Participation Plan that was outstanding as of immediately prior to the Effective Time, with limited exceptions, automatically vested in full, to the extent unvested, and was cancelled and converted into the right to receive the Merger Consideration for each RSU, plus any accrued unpaid dividend equivalents thereon. Mr. Boehly received the Merger Consideration in exchange for the 61,532 Shares and 18,568 RSUs that he held immediately prior to the Effective Time.\n\nIn addition, each share of Series A Preferred Stock held by Dust Bowl and Security Benefit Life immediately prior to the Effective Time was redeemed by the Issuer immediately prior to the closing of the Merger, at a redemption price of $1,000 per share of Series A Preferred Stock, plus accrued and unpaid dividends, in accordance with the Certificate of Designations (the \"Redemption Price\"). Dust Bowl received the Redemption Price in exchange for 260,000 shares of Series A Preferred Stock, and Security Benefit Life received the Redemption Price in exchange for 40,000 shares of Series A Preferred Stock, held immediately prior to the closing of the Merger.\n\nImmediately prior to the Effective Time, each member of the Issuer's board of directors, including Mr. Boehly, resigned from and ceased serving on the Issuer's board of directors.\n\nAs a result of the Merger, the Shares will no longer be listed on The New York Stock Exchange and will be deregistered under Section 12(b) of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1408100/000090514826002994/0000905148-26-002994-index.html" }, { "accession_no": "0000038777-26-000175", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-06-17", "filed_date": "2026-06-18", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000175/0000038777-26-000175-index.html" }, { "accession_no": "0001929980-26-000292", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2032950, "issuer_name": "Horizon Space Acquisition II Corp.", "issuer_cusip": "G4627B103", "securities_class_title": "Ordinary Share, par value $0.0001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-17", "item3_funds_source": "The information set forth in Items 4 and 5 of this Schedule 13D are hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended and supplemented as follows: \r \r Consummation of the Business Combination\r \r On June 12, 2026, HSPT consummated the previously announced business combination pursuant to the Business Combination Agreement, dated as of May 9, 2025 ( the \"Business Combination Agreement\"), with SL Science Holding Limited, a Cayman Islands exempted company (\"PubCo\"), CW Mega Limited, a Cayman Islands exempted company and a wholly-owned subsidiary of PubCo (\"Merger Sub I\"), WW Century Limited, a Cayman Islands exempted company and a wholly-owned subsidiary of PubCo (\"Merger Sub II\"), and SL Bio Ltd., a Cayman Islands exempted company limited by shares (\"SL Bio\"). \r \r Pursuant to the Business Combination Agreement, (i) Merger Sub I merged with and into HSPT, with HSPT as the surviving entity and a wholly-owned subsidiary of PubCo (the \"First Merger\"), and (ii) following the First Merger, Merger Sub II merged with and into SL Bio, with SL Bio as the surviving entity and a wholly-owned subsidiary of PubCo (the \"Second Merger,\" and together with the First Merger and the other transactions contemplated by the Business Combination Agreement, the \"Business Combination\"). Upon the consummation of the Business Combination, each of HSPT and SL Bio became a subsidiary of PubCo, and the shareholders of HSPT and SL Bio received ordinary shares of PubCo, par value $0.0001 per share (\"PubCo Ordinary Shares\"), as consideration and become shareholders of PubCo.\r \r Immediately prior to the First Merger Effective Time (as defined in the Business Combination Agreement), each HSPT Unit issued and outstanding was automatically detached, and the holder thereof was deemed to hold one (1) HSPT Ordinary Share and one (1) HSPT Right in accordance with the terms of the applicable unit (the \"Unit Separation\"). Each HSPT Right issued and outstanding was then automatically converted into one-tenth (1/10) of one HSPT Ordinary Share (the \"Right Conversion\"). Immediately following the Unit Separation and Right Conversion, each HSPT Ordinary Share (including those resulting from the Unit Separation and Right Conversion) issued and outstanding immediately prior to the First Merger Effective Time was automatically cancelled and ceased to exist in exchange for the right to receive one (1) newly issued PubCo Ordinary Share.\r \r Upon the consummation of the Business Combination on June 12, 2026, the Reporting Persons no longer beneficially owned any securities of HSPT, including any Ordinary Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2032950/000192998026000292/0001929980-26-000292-index.html" }, { "accession_no": "0001892613-26-000006", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 744452, "issuer_name": "BNB PLUS CORP.", "issuer_cusip": "03815U607", "securities_class_title": "Common Stock", "date_of_event": "2026-06-12", "filed_date": "2026-06-17", "item3_funds_source": "Item 3 of the Schedule 13 D is hereby amended and restated in its entirety as follows:\n\nComstock has (i) exercised for cash a certain percentage of its common stock purchase warrants obtained as part of the private placements that BNB Plus Corp. (the \"Issuer\") closed on October 3, 2025 and October 23, 2025 (collectively the \"2025 PIPE\"); and (ii) exchanged pre-funded warrants, held by Comstock from the 2025 PIPE, in each case to receive convertible preferred stock and other securities, as described in greater detail in Item 5.\n\nThe source of funds for the cash portion of the consideration is Comstock's available investment capital. No borrowed funds were used to finance the acquisition of the new securities.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following:\n\nComstock has acquired the new securities for the purpose of investment and to restructure a portion of its existing holdings of the Issuer's securities into the convertible Preferred Stock on the terms agreed with the Issuer. In addition, an affiliate of the Reporting Persons has been retained by the Issuer's board of directors to conduct a strategic review of the Issuer's businesses, including its biotech business and its digital asset treasury business, with a view to consummating a restructuring or one or more strategic transactions to realize shareholder value. Such strategic review may involve recommendations of combinations, partnerships, investments or other similar transactions, including transactions that may involve such affiliate as a principal party.\n\nThe Reporting Persons may change their intentions with respect to any and all matters referred to in this Item 4. They may also take steps to explore and prepare for various plans and actions, and propose transactions, before forming an intention to engage in such plans or actions or proceed with such transactions.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis and depending upon various factors, including without limitation, the Issuer's financial position and strategic direction, the outcome of any discussions referenced above, overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of securities of the Issuer at prices that would make the purchase or sale of such securities desirable, the Reporting Persons may endeavor (i) to increase or decrease their position in the Issuer through, among other things, the purchase or sale of securities of the Issuer, including through transactions involving the Common Stock or other equity, debt, notes, other securities, or derivative or other instruments that are based upon or relate to the value of securities of the Issuer in the open market or in private transactions, including through a trading plan created under Rule 10b5-1(c) or otherwise, on such terms and at such times as the Reporting Persons may deem advisable or (ii) to enter into transactions that increase or hedge their economic exposure to the Common Stock without affecting their beneficial ownership of the Common Stock. In addition, the Reporting Persons may, at any time and from time to time, (x) review or reconsider their position or change its purpose or formulate plans or proposals with respect thereto and (y) consider or propose one or more of the actions described in subparagraphs (a) - (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/744452/000189261326000006/0001892613-26-000006-index.html" }, { "accession_no": "0001880171-26-000013", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1819404, "issuer_name": "Nerdy Inc.", "issuer_cusip": "64081V109", "securities_class_title": "Class A Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-17", "item3_funds_source": "The securities reported herein were received as consideration in connection with a Business Combination (as defined below), or were purchased with personal funds thereafter in various open market or privately negotiated purchases. The securities beneficially owned by Ms. Cohn were transferred to Ms. Cohn without consideration.\n\nOn September 20, 2021 (the \"Closing Date\"), the Company, consummated the business combination (the \"Closing\") pursuant to that certain Business Combination Agreement, dated as of January 28, 2021 (as amended on March 19, 2021, on July 14, 2021, on August 11, 2021 and on August 18, 2021, the \"Business Combination Agreement\") by and among the Company, TPG Pace Tech Merger Sub LLC, a Delaware limited liability company (\"TPG Pace Merger Sub\"), Live Learning Technologies LLC, a Delaware limited liability company (\"Nerdy LLC\"), the Reporting Person and the other signatories party thereto. The transactions contemplated by the Business Combination Agreement are collectively referred to herein as the \"Business Combination.\"\n\nPursuant to the Business Combination Agreement and in connection therewith, TPG Pace Merger Sub merged with and into Nerdy LLC (the \"Merger\"), with Nerdy LLC (\"OpCo\") surviving such merger, pursuant to which the Reporting Person exchanged their Nerdy LLC common units for a blended consideration consisting of cash, limited liability company units in Nerdy LLC (the \"OpCo Units\"), shares of the Company's Class B common stock, par value $0.0001 per share (\"Class B Common Stock\") in an equivalent number to the OpCo Units received, Earnout Shares (which were to vest upon the satisfaction of certain share price vesting conditions and which are no longer outstanding) of the Company's Class B Common Stock, and warrants to purchase OpCo Units (\"OpCo Warrants\") (the exercise of which would result in the issuance of one corresponding share of Class B Stock and which are no longer outstanding).\n\nThe Business Combination was accomplished through an Up-C structure, and the mix of consideration received reflects the implementation of such structure. The Reporting Person is also entitled to receive additional future consideration with respect to the Business Combination in the form of amounts payable under the Tax Receivable Agreement as described in Item 6 below.\n\nThe foregoing summary does not purport to be complete and is qualified in its entirety by reference to the Business Combination Agreement and the Amendments thereto, included with this Statement as Exhibits 2 through 5 and are incorporated herein by reference.", "item4_transaction_purpose": "The Reporting Persons acquired the Common Stock for investment purposes. Depending on the factors discussed herein, the Reporting Persons may, from time to time, investigate, evaluate, discuss, negotiate or agree to acquire additional shares of Common Stock in the open market, in connection with issuances by the Company or sales by other stockholders in transactions registered under the Securities Act of 1933, as amended (the \"Securities Act\"), in privately negotiated transactions or otherwise and/or investigate, evaluate, discuss, negotiate or agree to retain and/or sell or otherwise dispose of all or a portion of shares of Common Stock in the open market, through transactions registered under the Securities Act, through privately negotiated transactions to the Company or third parties or through distributions to their respective partners, or otherwise. Any actions the Reporting Persons might undertake will be dependent upon the Reporting Persons' review of numerous factors, including, among other things, the price levels of the Common Stock; general market and economic conditions; ongoing evaluation of the Company's business, financial condition, operating results and prospects; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nExcept as set forth herein, the Reporting Person has no present plans or proposals that relate to or which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819404/000188017126000013/0001880171-26-000013-index.html" }, { "accession_no": "0001605484-26-000052", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2049662, "issuer_name": "Factorial Energy Inc.", "issuer_cusip": "30347G103", "securities_class_title": "Series A Common Stock, $0.00001 par value per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-17", "item3_funds_source": "The shares of Series A Common Stock reported herein as beneficially owned by the Reporting Persons were acquired in connection with a business combination (the \"Business Combination\") pursuant to the Business Combination Agreement, dated December 17, 2025, by and among the Issuer, Fenway MS, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Factorial Inc., a Delaware corporation (\"Factorial\") (as amended by Amendment No.1 to Business Combination Agreement, dated as of March 26, 2026, and Amendment No. 2 to Business Combination Agreement, dated as of May 18, 2026, the \"Business Combination Agreement\").\n\nIn December 2021, Factorial issued and sold to Stellantis Europe (i) 2,205, 032 shares of Series D redeemable preferred stock of Factorial, and (ii) warrants exercisable for 137,814 shares of common stock of Factorial. In August 2025, concurrent with Factorial and FCA US LLC, an affiliate of the Reporting Persons, entering into the Collaboration Agreement files as Exhibit 2 hereto, Factorial issued and sold to Stellantis Ventures a secured convertible promissory note in the aggregate principal amount of $2,000,000. On June 5, 2026 (the \"Closing Date\"), as a result of the completion of the Business Combination, the Factorial securities (including accrued and unpaid interest, in the case of the promissory note) directly held by Stellantis Europe and Stellantis Ventures were converted into an aggregate of 8,669,995 shares of Series A Common Stock.", "item4_transaction_purpose": "The Reporting Persons acquired the securities disclosed herein based on the belief that the securities, when acquired, represented an attractive investment opportunity. In connection with the completion of the Business Combination, Jon Nelson, Chief Executive of Stellantis Financial Services, was elected to the board of directors of the Issuer (the \"Board\").\n\nExcept as otherwise disclosed in this Item 4, the Reporting Persons do not have any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a)-(j) of Item 4 of Schedule 13D. The Reporting Persons may from time to time engage in discussions with management and the Board and other shareholders and potential shareholders of the Issuer and other parties concerning, among other things, the business, operations and future plans of the Issuer. Depending on various factors including without limitation, the Issuer's financial position and business strategy and the execution of that strategy by management, the price levels of the securities of the Issuer, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their respective investments in the Issuer as they deem appropriate including, without limitation, purchasing additional securities of the Issuer, selling some or all of its securities of the Issuer, or changing its intention with respect to any and all matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2049662/000160548426000052/0001605484-26-000052-index.html" }, { "accession_no": "0001437749-26-021023", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1389545, "issuer_name": "Stablecoin Development Corp", "issuer_cusip": "66987P508", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1389545/000143774926021023/0001437749-26-021023-index.html" }, { "accession_no": "0001437749-26-021022", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1389545, "issuer_name": "Stablecoin Development Corp", "issuer_cusip": "66987P508", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1389545/000143774926021022/0001437749-26-021022-index.html" }, { "accession_no": "0001213900-26-069783", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1643303, "issuer_name": "Nano Dimension Ltd.", "issuer_cusip": "63008G203", "securities_class_title": "Ordinary Shares, par value NIS 5.00 per share", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\n\"In open market purchases from May 13, 2026, to June 15, 2026, the Reporting Person expended an aggregate of approximately $8,701,339 (excluding commissions) to acquire an aggregate of 6,336,565 Ordinary Shares in various open market transactions.\n\nIn addition, in open market purchases on May 14, 2026, and June 15, 2026, the Reporting Person expended an aggregate of approximately $230,000 (excluding commissions) to purchase call options referencing an aggregate of 4,200,000 Ordinary Shares, as well as an aggregate of approximately $1,552,020 (excluding commissions) to purchase put options referencing an aggregate of 8,700,000 Ordinary Shares. The funds used for the purchase of the securities reported in this Schedule 13D were derived from the general working capital of the Reporting Person.\"", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\n\"On June 15, 2026, the Issuer issued a press release announcing the signing of a term sheet with Infinite Epigenetics to form a publicly traded, AI-powered preventive health and diagnostics company (the \"Proposed Transaction\"). While the Reporting Person is evaluating all options available to it with respect to the Proposed Transaction, as an initial matter, the Reporting Person believes the Proposed Transaction is not in the best interests of the Issuer's shareholders and is strongly opposed to it.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1643303/000121390026069783/0001213900-26-069783-index.html" }, { "accession_no": "0001213900-26-069446", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1043509, "issuer_name": "SONIC AUTOMOTIVE INC", "issuer_cusip": "83545G102", "securities_class_title": "Class A Common Stock, par value $0.01 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-17", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe Reporting Persons filed an initial Schedule 13D on November 19, 1997. The Schedule 13D was amended from time to time to reflect, among other things, additional purchases and sales of Shares over time. The Reporting Persons presently believe that the Shares are undervalued at current market prices and represent an attractive investment opportunity. As a result, the Reporting Persons are filing this Amendment to, among other things, report their intention to potentially acquire additional Shares from time to time in open market transactions or in privately negotiated transactions with third parties. The Reporting Persons have not decided on an exact number of Shares to acquire, which will depend on market conditions and other factors, and such acquisitions could result in the Reporting Persons acquiring greater than 50% beneficial ownership of the outstanding shares of Class A Common Stock (including as a result of the conversion or exchange of Class B Common Stock by the Reporting Persons).\n\nIn addition, depending on the Reporting Persons continuing assessment of certain factors, including the Issuer's financial condition and market conditions, the Reporting Persons will continue to periodically evaluate, and may in the future determine to pursue, various potential alternatives with respect to their investment in the Issuer, which alternatives could include, among other things, a transaction to take the Issuer private.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis and may, at any time, change or reconsider their position and/or their purpose regarding any or all of the foregoing. There can be no assurance that the Reporting Persons (or any of their affiliates) will take any of the actions described above with respect to the Shares or the Issuer. Moreover, there can be no assurance that the Reporting Persons will or will not develop any alternative plans or proposals with respect to any of the foregoing matters or take any particular action or actions with respect to some or all of their holdings in the Issuer, or as to the timing of any such matters should they be so pursued by the Reporting Persons. The Reporting Persons reserve the right, at any time and in each Reporting Person's sole discretion, to take or refrain from taking any of the actions set forth above and the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including any or all of the actions set forth in paragraphs (a)-(j) of Item 4 of Schedule 13D.\n\nExcept as described in this Item 4, as of the date hereof, the Reporting Persons have no present plan or proposal that relates to or would result in any of the matters set forth in subsections (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1043509/000121390026069446/0001213900-26-069446-index.html" }, { "accession_no": "0001193125-26-274718", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1041514, "issuer_name": "LESAKA Technologies", "issuer_cusip": "64107N206", "securities_class_title": "Common stock, par value $0.001 per share", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\nWe incorporate by reference Item 5(c) below.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1041514/000119312526274718/0001193125-26-274718-index.html" }, { "accession_no": "0001193125-26-274498", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 874396, "issuer_name": "Lifetime Brands, Inc.", "issuer_cusip": "53222Q103", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-06-16", "filed_date": "2026-06-17", "item3_funds_source": "Item 3 of the Schedule 13D shall hereby be amended and restated in its entirety as follows:\n\nThe Reporting Persons have acquired beneficial ownership of an aggregate of 1,063,079 shares of Common Stock for $15,869,235 using working capital from the Fund and the proceeds of margin loans under margin loan facilities maintained in the ordinary course of business by the Fund with a broker on customary terms and conditions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/874396/000119312526274498/0001193125-26-274498-index.html" }, { "accession_no": "0001193125-26-274311", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1978954, "issuer_name": "BBB Foods Inc.", "issuer_cusip": "G0896C103", "securities_class_title": "Class A Common Shares", "date_of_event": "2026-06-06", "filed_date": "2026-06-17", "item3_funds_source": "The information set forth in Items 4 and 5 of this Schedule 13D is hereby incorporated by reference into this Item 3.\n\nEach Reporting Person either purchased or received as compensation (including in the form of grants under the Issuer's equity incentive plans) the Class A Shares beneficially owned by it or him reported in this Schedule 13D, as applicable.", "item4_transaction_purpose": "The information set forth in Items 3 and 6 of this Schedule 13D is incorporated by reference in its entirety into this Item 4.\nThe Reporting Persons own the securities reported herein for investment purposes. The Reporting Persons intend to review on a continuing basis their investment in the Issuer and may from time to time increase or decrease their investment in the Issuer depending upon the price and availability of the Issuer's securities, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations and other factors.\nIn his capacity as Chairman and Chief Executive Officer of the Issuer, Mr. Hatoum may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Additionally, as an officer and director of the Issuer, Mr. Hatoum is entitled to receive compensation from the Issuer, including being granted equity awards with respect to Issuer securities from time to time under the terms of the Issuer's equity incentive plans.\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in Item 4 of this Schedule 13D, although, the Reporting Person, at any time and from time to time, may review, reconsider and change their position and/or purpose and/or develop such plans and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1978954/000119312526274311/0001193125-26-274311-index.html" }, { "accession_no": "0001193125-26-274228", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1806201, "issuer_name": "Open Lending Corporation", "issuer_cusip": "68373J104", "securities_class_title": "Common Stock", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nThe information set forth in or incorporated by reference in Item 6 of this Schedule 13D is hereby incorporated by reference in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1806201/000119312526274228/0001193125-26-274228-index.html" }, { "accession_no": "0001104659-26-075324", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 23197, "issuer_name": "COMTECH TELECOMMUNICATIONS CORP /DE/", "issuer_cusip": "205826209", "securities_class_title": "Common Stock, par value $0.10 per share", "date_of_event": "2026-06-14", "filed_date": "2026-06-17", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nAmended Subordinated Credit Agreement\n\nOn June 14, 2026, Comtech Telecommunications Corp. (\"Comtech\" or the \"Company\") entered into the Amendment No. 3 to Subordinated Credit Agreement (the \"Subordinated Amendment No. 3\") with the guarantors party thereto, the lenders party thereto and U.S. Bank Trust Company, National Association, as agent (the \"Subordinated Agent\"), which amends that certain Subordinated Credit Agreement, dated as of October 17, 2024, among the Company, the guarantors party thereto, the lenders party thereto and the Subordinated Agent (as amended by that certain Waiver and Amendment No. 1 to Subordinated Credit Agreement, dated as of March 3, 2025, and that certain Amendment No. 2 to Subordinated Credit Agreement, dated as of July 21, 2025, the \"Existing Subordinated Credit Agreement\" and, as amended by the Subordinated Amendment No. 3, the \"Amended Subordinated Credit Agreement\").\n\nUnder the Subordinated Amendment No. 3, the Subordinated Agent (a) acknowledges that the form of, and the terms and conditions set forth in, the Securities Purchase Agreement (the \"Purchase Agreement\") and certain ancillary agreements related to the transactions contemplated by that certain Purchase Agreement, by and among Comtech, certain direct or indirect subsidiaries of Comtech named therein and Wavestream Corporation, a Delaware corporation and an affiliate of Gilat Satellite Networks Ltd. (the \"Transactions\") are acceptable to it, and (b) acknowledges and agrees that the Transactions shall not result in a Change of Control (as defined in the Existing Subordinated Credit Agreement). The Subordinated Amendment No. 3 further amends the Existing Subordinated Credit Agreement to, among other things, (i) suspend, until the four-quarter period ending July 31, 2027, testing of the fixed charge coverage ratio, the net leverage ratio and the minimum EBITDA covenants in the Amended Subordinated Credit Agreement, (ii) modify the calculation of the make-whole premium applicable to certain tranches of the subordinated term loans (as described in further detail below), and (iii) clarify that the Advance Payment will not be required to be applied to prepay the applicable obligations in accordance with the terms of the Amended Subordinated Credit Agreement until the consummation of the Transactions.\n\nThe Amended Subordinated Credit Agreement provides that, with respect to the subordinated term loans that are subject to make-whole amounts (which such subordinated term loans have an aggregate outstanding principal amount of $65,000,000), the make-whole amount will be equal to (i) before and on April 1, 2027, the principal repayment amount multiplied by 50.0%, plus, starting on March 3, 2027, interest accrued on the principal amount outstanding at the Make-Whole Interest Rate (as defined below) and calculated as of any such date of determination; and (ii) after April 1, 2027, the principal repayment amount multiplied by 75.0% plus, starting on April 1, 2027, interest accrued on the principal amount outstanding at the Make-Whole Interest Rate (as defined below) and calculated as of any such date of determination. The Make-Whole Interest Rate is a rate equal to 16.0% per annum, which is increased by 2.0% per annum upon the occurrence and during the continuation of an event of default under the Amended Subordinated Credit Agreement.\n\nThe other material terms of the Amended Subordinated Credit Agreement remain unchanged.\n\nTerms used, but not defined, in this Amendment No. 9 have the meanings set forth in the Amended Subordinated Credit Agreement.\n\nLender Warrants and the Registration Rights Agreement Amendment\n\nIn connection with the Subordinated Amendment No. 3, the Company issued, in a transaction exempt from registration under the Securities Act of 1933, as amended, warrants (the \"Lender Warrants\" and together with the Preferred Warrants (as defined below), the \"Warrants\") to certain lenders under the Amended Subordinated Credit Agreement (the \"Warrant Holders\"), which entitles Warrant Holders to purchase from the Company up to 625,000 shares (the \"Warrant Shares\") of the Company's common stock, par value $0.10 per share (the \"Common Stock\"), at any time and from time to time from the Vesting Date (as defined below) and on or prior to the close of business on 5:00 p.m., New York, NY time, on April 17, 2032, at an exercise price of $0.10 per share, subject to certain adjustments, including Lender Warrants entitling the Funds to purchase up to 500,000 Warrant Shares. The Lender Warrants and the Warrant Shares will vest and become exercisable on October 17, 2026 (the \"Vesting Date\"); provided, however, that the Lender Warrants will not vest, and will be automatically and irrevocably forfeited and cancelled for no consideration, if, prior to the Vesting Date, the Closing Date Term Loans (as defined in the Amended Subordinated Credit Agreement) have been repaid in full, including (x) all accrued and unpaid interest on the Closing Date Term Loans and (y) the applicable make-whole amount payable in connection with such payment.\n\nIn connection with the issuance of the Lender Warrants, the Company entered into an amendment (the \"Registration Rights Agreement Amendment\") to that certain Registration Rights Agreement, dated as of March 3, 2025 (the \"Existing Registration Rights Agreement\"), by and among the Company and the investors parties named therein, to grant Warrant Holders certain customary registration rights with respect to the shares of Common Stock issuable upon exercise of the Lender Warrants.\n\nDirector Agreement\n\nIn addition, in connection with the Subordinated Amendment No. 3, the Company entered into a director agreement (the \"Director Agreement\") with Magnetar Financial LLC, as representative of the lenders under the Amended Subordinated Credit Agreement (the \"Representative\"), pursuant to which the Company has agreed to nominate to the Board one individual designated by the Representative on behalf of the Lenders. This Director Agreement, including the obligation to nominate such individual to the Board, will continue until such time as the Investors (as defined below) no longer own, in the aggregate, an amount of Series B-3 Convertible Preferred Stock, or, following the completion of the June 2026 Exchange, Series B-4 Convertible Preferred Stock (each as defined below) with an aggregate liquidation preference of such preferred stock equal to at least $20,000,000 as more specifically set forth in the Director Agreement.\n\nChanges to Convertible Preferred Stock\n\nIn connection with the transactions described above, on June 14, 2026, Comtech and certain affiliates and related funds of Magnetar Capital LLC and White Hat Capital Partners LP (together, the \"Investors\") agreed to, among other things, (i) consent to the Purchase Agreement, certain ancillary agreements related to the Transactions, and the consummation of the Transactions, (ii) waive any rights to repayment or repurchase of shares of Series B-3 Convertible Preferred Stock (as defined below) owned or controlled by such Investor or its related parties in connection with the Transactions, and (iii) change certain terms of the Company's Series B-3 Convertible Preferred Stock, par value $0.10 per share (the \"Series B-3 Convertible Preferred Stock\"). The changes provide that (i) the Investors may not exercise their optional repurchase right until October 31, 2029, except upon consummation of certain qualified asset sales by Comtech or its subsidiaries or upon a Change of Control (as defined in the Certificate of Designations of the Series B-4 Convertible Preferred Stock (as defined below)), and (ii) the Investors may not elect to receive dividends in cash earlier than October 31, 2028. White Hat Capital Partners LP, one of the Investors, is affiliated with Mark Quinlan, a member of the Company's Board of Directors.\n\nTo effect the changes described above, the Company and the Investors entered into an Exchange Agreement (the \"Exchange Agreement\") pursuant to which the Investors will exchange (the \"June 2026 Exchange\"), in a transaction exempt from registration under the Securities Act of 1933, as amended, all of the 178,180.34 shares of Series B-3 Convertible Preferred Stock outstanding for 178,180.34 shares of the Company's newly issued Series B-4 Convertible Preferred Stock, par value $0.10 per share, with an initial liquidation preference equal to the per share liquidation preference of the Series B-3 Convertible Preferred Stock as of the date of issuance (collectively, the \"Series B-4 Convertible Preferred Stock\"). Consummation of the June 2026 Exchange and issuance of shares of Series B-4 Convertible Preferred Stock are conditioned upon the consummation of the Transactions and are expected to occur on the date of the Closing.\n\nVoting Agreements\n\nIn connection with the Exchange Agreement, the Company entered into Voting Agreements, substantially consistent with existing agreements relating to the Series B-3 Convertible Preferred Stock, with each of the Investors (together, the \"Voting Agreements\"), pursuant to which the Investors agreed, among other things, subject to the qualifications and exceptions set forth in the Voting Agreements, to vote their shares of Series B-4 Convertible Preferred Stock or shares issued upon conversion of the Series B-4 Convertible Preferred Stock that exceed, in the case of Magnetar, 16.50% of the Company's outstanding voting power as of January 22, 2024, in the same proportion as the vote of all holders (excluding the Investors) of the Series B-4 Convertible Preferred Stock or the Common Stock, as applicable. The Voting Agreements will automatically take effect as of the Closing, and the existing voting agreements relating to the Series B-3 Convertible Preferred Stock will be automatically terminated.\n\nRegistration Rights Agreement\n\nIn connection with the Exchange Agreement, the Company also entered into a Registration Rights Agreement, substantially consistent with the existing agreement relating to the Series B-3 Convertible Preferred Stock, with the Investors (the \"Registration Rights Agreement\"), pursuant to which the Company granted the Investors certain customary registration rights with respect to the shares of Common Stock issued and issuable upon conversion of Series B-4 Convertible Preferred Stock and upon exercise of Warrants, including the Lender Warrants and the Preferred Warrants (as defined below) issued in substitution for the Series B-4 Convertible Preferred Stock in certain circumstances (described below). The Registration Rights Agreement will become effective automatically as of the Closing and the Existing Registration Rights Agreement will be automatically terminated.\n\nDesignation of Series B-4 Convertible Preferred Stock\n\nExcept for the changes described above, the powers, preferences and rights of the Series B-4 Convertible Preferred Stock are substantially similar as those of the Series B-3 Convertible Preferred Stock, including, without limitation, that the shares of Series B-4 Convertible Preferred Stock are convertible into shares of Common Stock at a conversion price of $7.99 per share of Common Stock (the same as the conversion price of the Series B-3 Convertible Preferred Stock, and subject to the same adjustments).\n\nPreferred Warrants\n\nLike the Series B-3 Convertible Preferred Stock, the Series B-4 Convertible Preferred Stock will provide for repurchase of the Series B-4 Convertible Preferred Stock at the Company's option or the holders' options upon the occurrence of specified asset sales. Upon the occurrence of such repurchases by an Investor or the Company, the Company will issue to each Investor whose shares of Series B-4 Convertible Preferred Stock were repurchased a warrant to purchase Common Stock (each, a \"Preferred Warrant\", collectively, the \"Preferred Warrants\"). A Preferred Warrant will represent the right to acquire Common Stock, as further described in the Exchange Agreement, for a term of five years and six months from the issuance of such Warrant, in the amount of (x) the aggregate Liquidation Preference of shares of Series B-4 Convertible Preferred Stock purchased by the Company divided by (y) the Conversion Price as of such Optional Repurchase Date or the Optional Call Date, subject to adjustments set forth in the Warrant, and with an initial exercise price equal to the Conversion Price as of such Optional Repurchase Date or the Optional Call Date, as applicable, in each case, subject to adjustments substantially similar to the Series B-4 Convertible Preferred Stock. Capitalized terms used but not defined in this paragraph shall have the meanings ascribed to them in the Exchange Agreement.\n\nThe foregoing descriptions of the Certificate of Designations (which is included in the Exchange Agreement that is filed as exhibit), the Lender Warrants, the Preferred Warrants, the Subordinated Amendment No. 3, the Exchange Agreement, the Voting Agreement, the Registration Rights Agreement, the Registration Rights Agreement Amendment and the Director Agreement and are not complete and are qualified in their entirety by reference to the full text of such agreements, which are attached to this Amendment No. 9 as Exhibits 1 through 9, respectively, and are incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/23197/000110465926075324/0001104659-26-075324-index.html" }, { "accession_no": "0001104659-26-075317", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1951667, "issuer_name": "CHEETAH NET SUPPLY CHAIN SERVICE INC.", "issuer_cusip": "16307X301", "securities_class_title": "Class A common stock", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": "PF, $400,000", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated as follows:\n\nPrior to the 2026 Reverse Stock Split, Huan Liu, Chief Executive Officer, Interim Chief Financial Officer, Director, and Chairman of the Board of Directors of the Issuer, beneficially owned 515,625 shares of the Issuer's Class A common stock issuable upon the conversion of 515,625 shares of Class B common stock (reflecting a reverse stock split of the Issuer's common stock at a ratio of 1-for-16 on October 21, 2024) held by FAIRVIEW EASTERN INTERNATIONAL HOLDINGS LIMITED, as he was the sole shareholder of FAIRVIEW EASTERN INTERNATIONAL HOLDINGS LIMITED. FAIRVIEW EASTERN INTERNATIONAL HOLDINGS LIMITED obtained those shares of Class B common stock through pre-IPO acquisitions. On September 15, 2024, the Issuer's compensation committee, through a written consent without a meeting, approved the grant of certain stock awards to certain recipients in recognition of their work and performance under the Plan. Under the grant schedule, Huan Liu was granted RSUs covering the right to receive 45,938 shares of Class A common stock and 31,250 shares of Class B common stock of the Issuer (reflecting a reverse stock split of the Issuer's common stock at a ratio of 1-for-16 on October 21, 2024) (the \"2024 Award\"). On September 30, 2024, the Issuer issued 45,938 shares of Class A common stock and 31,250 shares of Class B common stock to Huan Liu under the 2024 Award. On December 3, 2024, Huan Liu disposed of the 45,938 shares of Class A common stock that he directly held. On October 15, 2025, the Issuer's compensation committee, by written consent without a meeting, effected the grant of a fully vested award of 144,000 RSUs representing shares of the Issuer's Class B common stock to the Reporting Person under the Plan (the \"2025 Award\").\n\nOn October 16, 2025, the Issuer issued 144,000 shares of Class B common stock to Huan Liu under the 2025 Award.\n\nOn April 20, 2026, the Issuer effected a reverse stock split of its issued and outstanding common stock at a ratio of 1-for-200 (the \"2026 Reverse Stock Split\"), pursuant to which every 200 shares of the Issuer's common stock were combined into one share of common stock. Unless otherwise indicated, share amounts set forth below with respect to transactions occurring after the 2026 Reverse Stock Split, including the private placement described below, are presented on a post-2026 Reverse Stock Split basis.\n\nOn June 15, 2026, Huan Liu acquired 200,000 shares of the Issuer's Class B common stock in a private placement transaction pursuant to a securities purchase agreement entered into with the Issuer. The Reporting Person acquired such shares for an aggregate purchase price of US$400,000 at a price of $2.00 per share, using personal funds. The Reporting Person acquired such shares for investment purposes. The information set forth on the cover page of this Amendment is hereby incorporated by reference into this Item 4.\n\nExcept as set forth in this Item 4, the Reporting Person has no plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization, or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company; (g) changes in the Issuer's charter, by-laws, or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1951667/000110465926075317/0001104659-26-075317-index.html" }, { "accession_no": "0001104659-26-075153", "submission_type": "SCHEDULE 13D/A", "amendment_no": 65, "issuer_cik": 1415404, "issuer_name": "EchoStar CORP", "issuer_cusip": "278768106", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\nThe 2026 June GRAT acquired beneficial ownership of 4,300,000 shares of Class B Common Stock when Mr. Ergen contributed such shares of Class B Common Stock to the 2026 June GRAT on June 15, 2026. Mr. Ergen established the 2026 June GRAT for estate planning purposes. Shares of Class B Common Stock may be exchanged for shares of Class A Common Stock on a one-for-one basis at any time.\n\nThe Reporting Persons may from time to time acquire shares of Class A Common Stock for investment purposes. Such Class A Common Stock may be acquired with personal funds or funds borrowed by the Reporting Persons.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nAs described in Item 3 above, Mr. Ergen contributed 4,300,000 shares of Class B Common Stock to the 2026 June GRAT on June 15, 2026. Mr. Ergen established the 2026 June GRAT for estate planning purposes. Under the trust agreement establishing the 2026 June GRAT, Mr. Ergen's spouse, Cantey M. Ergen, serves as trustee of the 2026 June GRAT and holds sole voting and dispositive power over the 4,300,000 shares of Class B Common Stock held by the 2026 June GRAT, except as set forth in Item 6. Mr. Ergen receives an annual annuity amount from the 2026 June GRAT under the trust agreement governing the 2026 June GRAT. Members of Mr. and Mrs. Ergen's family are the beneficiaries of the 2026 June GRAT. The 2026 June GRAT is scheduled to expire on June 15, 2028.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1415404/000110465926075153/0001104659-26-075153-index.html" }, { "accession_no": "0001104659-26-074814", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1221029, "issuer_name": "CEMENTOS PACASMAYO SAA", "issuer_cusip": "15126Q109", "securities_class_title": "Common Shares, par value S/1.00 per share", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended by adding the following sentence to the end of the third paragraph under the heading \"Share Purchase Agreement\":\n\nOn June 15, 2026, Holcim's Executive Committee determined that the Public Tender Offer would be made for any and all of the issued and outstanding Common Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1221029/000110465926074814/0001104659-26-074814-index.html" }, { "accession_no": "0000947871-26-000636", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1672619, "issuer_name": "Enliven Therapeutics, Inc.", "issuer_cusip": "29337E102", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": "The Reporting Persons from time to time intend to review their investment in the Issuer on the basis of various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's Shares in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time. If the Reporting Persons believe that further investment in the Issuer is attractive, whether because of the market price of Shares or otherwise, they may acquire Shares or other securities of the Issuer either in the open market or in privately negotiated transactions. Similarly, depending on market and other factors, the Reporting Persons may determine to dispose of some or all of the Shares currently owned by the Reporting Persons or otherwise acquired by the Reporting Persons either in the open market or in privately negotiated transactions.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons have not formulated any plans or proposals which relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) a sale or transfer of a material amount of the assets of the Issuer or any of its subsidiaries, (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the Issuer's capitalization or dividend policy of the Issuer, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's charter or bylaws or other instrument corresponding thereto or other action which may impede the acquisition of control of the Issuer by any person, (h) causing a class of the Issuer's securities to be deregistered or delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1672619/000094787126000636/0000947871-26-000636-index.html" }, { "accession_no": "0000921895-26-001622", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 816761, "issuer_name": "TERADATA CORP /DE/", "issuer_cusip": "88076W103", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-15", "filed_date": "2026-06-17", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe source of the capital to purchase securities of the Issuer was Lynrock Fund's (as defined below) working capital, consisting of contributions from its general and limited partners (and which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 7,189,401 shares of Common Stock reported herein is approximately $169,604,662, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/816761/000092189526001622/0000921895-26-001622-index.html" }, { "accession_no": "0002134838-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2079109, "issuer_name": "Veraxa Biotech Holding AG", "issuer_cusip": "H9130A111", "securities_class_title": "Ordinary Shares, par value CHF 100/11325 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-16", "item3_funds_source": "The source of the funding for the Common Shares acquired under the Merger Agreement is more fully described in Item 4 below.", "item4_transaction_purpose": "The Reporting Person acquired the PubCo Ordinary Shares reported herein in connection with the closing of the Business Combination as described in Item 3 above.\n\nThe Reporting Person acquired the PubCo Ordinary Shares for investment purposes. Depending upon overall market conditions, other investment opportunities available to the Reporting Person, the Issuer's financial condition, results of operations, share price and other relevant factors, the Reporting Person may from time to time acquire additional PubCo Ordinary Shares, dispose of all or a portion of the PubCo Ordinary Shares beneficially owned by the Reporting Person, or take any other available courses of action (which may include, without limitation, any plans or proposals described in clauses (a)-(j) of Item 4 of Schedule 13D), in any case in one or more transactions.\n\nThe Reporting Person does not have any present plans or proposals which relate to or would result in any of the actions specified in Item 4(a)-(j) of Schedule 13D, except as described below:\n\nAs described in Item 6 below, the Reporting Person is party to that certain Voting, Support and Lock-Up Agreement among SPAC, the Company, and certain shareholders of the Company (the \"Company Shareholder Support Agreement\"), pursuant to which the Reporting Person agreed, among other things, not to transfer certain PubCo Ordinary Shares for a specified period following the Acquisition Closing, subject to certain exceptions.\n\nIn addition, the Company Shareholders have the right to receive an aggregate of up to 5,000,000 additional PubCo Ordinary Shares (the \"Earnout Shares\") during each of the three fiscal years after the Closing Date, in the event that: (i) the volume-weighted average price (\"VWAP\") of the PubCo Ordinary Shares equals or exceeds $11.00 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2026; (ii) the VWAP equals or exceeds $12.50 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2027; and (iii) the VWAP equals or exceeds $14.00 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2028.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2079109/000213483826000001/0002134838-26-000001-index.html" }, { "accession_no": "0002134715-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2079109, "issuer_name": "Veraxa Biotech Holding AG", "issuer_cusip": "H9130A111", "securities_class_title": "Ordinary Shares, par value CHF 100/11325 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-16", "item3_funds_source": "The source of the funding for the Common Shares acquired under the Merger Agreement is more fully described in Item 4 below.", "item4_transaction_purpose": "The Reporting Person acquired the PubCo Ordinary Shares reported herein in connection with the closing of the Business Combination as described in Item 3 above.\n\nThe Reporting Person acquired the PubCo Ordinary Shares for investment purposes. Depending upon overall market conditions, other investment opportunities available to the Reporting Person, the Issuer's financial condition, results of operations, share price and other relevant factors, the Reporting Person may from time to time acquire additional PubCo Ordinary Shares, dispose of all or a portion of the PubCo Ordinary Shares beneficially owned by the Reporting Person, or take any other available courses of action (which may include, without limitation, any plans or proposals described in clauses (a)-(j) of Item 4 of Schedule 13D), in any case in one or more transactions.\n\nThe Reporting Person does not have any present plans or proposals which relate to or would result in any of the actions specified in Item 4(a)-(j) of Schedule 13D, except as described below:\n\nAs described in Item 6 below, the Reporting Person is party to that certain Voting, Support and Lock-Up Agreement among SPAC, the Company, and certain shareholders of the Company (the \"Company Shareholder Support Agreement\"), pursuant to which the Reporting Person agreed, among other things, not to transfer certain PubCo Ordinary Shares for a specified period following the Acquisition Closing, subject to certain exceptions.\n\nIn addition, the Company Shareholders have the right to receive an aggregate of up to 5,000,000 additional PubCo Ordinary Shares (the \"Earnout Shares\") during each of the three fiscal years after the Closing Date, in the event that: (i) the volume-weighted average price (\"VWAP\") of the PubCo Ordinary Shares equals or exceeds $11.00 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2026; (ii) the VWAP equals or exceeds $12.50 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2027; and (iii) the VWAP equals or exceeds $14.00 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2028.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2079109/000213471526000001/0002134715-26-000001-index.html" }, { "accession_no": "0001683168-26-004875", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1750777, "issuer_name": "Hawkeye Systems, Inc.", "issuer_cusip": "420198103", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-16", "item3_funds_source": "The funds used by HH to purchase the warrants were from the working capital of HH.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by adding the following:\n\nOn June 1, 2026, HH converted a $2,767,756 principal amount convertible Note issued by the Issuer into 23,064,634 shares of common stock pursuant to the terms of the note.\n\nOn June 3, 2026, HH purchased a Common Stock Purchase Warrant (the \"Warrant\"), from the Company for an aggregate purchase price of $2,218,786. The Warrant was exercisable to purchase 221,878,595 shares of Company common stock, at a purchase price of $.01 per share.\n\nOn June 11, 2026, pursuant to the terms of the Warrant, HH exercised the Warrant, on a \"cashless\" basis and was assigned 218,952,662 shares of common stock before March 31, 2027, at an exercise price of $0.01 per share.\n\nAs a substantial owner of shares in the Issuer, HH may have influence over the corporate activities of the Issuer that require the vote of the shareholders of the Issuer, including those that may relate to the transactions described in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nTo the extent the actions described herein may be deemed to constitute a \"control purpose\" with respect to the Securities Exchange Act of 1934, as amended, and the regulations thereunder, the Reporting Persons have such a purpose. Except as noted in this Schedule 13D, the Reporting Persons do not have any plans or proposals, which relate to, or would result in, any of the matters referred to in paragraphs (b) through (j), inclusive of Item (4) of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto.\n\nDepending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Common Stock, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board, engaging in discussions with stockholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization of the Issuer, ownership structure, organizational documents, Board structure (including Board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional shares securities of the Issuer, and/or selling some or all of the Reporting Persons' securities in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1750777/000168316826004875/0001683168-26-004875-index.html" }, { "accession_no": "0001213900-26-069232", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2087587, "issuer_name": "CoinShares PLC", "issuer_cusip": "G670AQ104", "securities_class_title": "Ordinary Shares, no par value", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented to add the following:\n\n10b5-1 Plan\n\nOn June 12, 2026 (the \"Adoption Date\"), the Reporting Person entered into a trading plan in accordance with Rule 10b5-1 under the Act (the \"10b5-1 Plan\") with Keefe, Bruyette & Woods, Inc. (the \"Broker\"). Pursuant to the 10b5-1 Plan, the Broker may sell up to 15,782,660 Ordinary Shares on behalf of the Reporting Person, starting on the later of (i) September 11, 2026 or (ii) the expiration of the applicable \"cooling off\" period under Rule 10b5-1(c)(1)(ii)(B)(1) under the Act, provided that, certain Ordinary Shares are also subject to the Lock-Up Agreement, as described further in the third paragraph to this Item 4. The 10b5-1 Plan will terminate on the earlier of (i) December 31, 2027, (ii) the date on which all 15,782,660 Ordinary Shares have been sold under the 10b5-1 Plan, and (iii) the date the 10b5-1 Plan is otherwise terminated pursuant to its terms.\n\nPursuant to the terms of the 10b5-1 Plan, the European-style call options described in the Initial Schedule 13D will automatically be exercised at their Maturity Date and the underlying Ordinary Shares acquired thereby may be sold over the subsequent days. In addition, pursuant to the terms of the 10b5-1 Plan, once the lock-up period under the Lock-Up Agreement expires on October 1, 2026, and through the expiration of the 10b5-1 Plan on December 31, 2027, (i) an additional 1.5 million shares may be sold in monthly tranches of 100,000 shares, and (ii) an additional 11 million shares may be sold, in tranches of 1 million shares at limit prices between $10 and $20, inclusive.\n\nThe 21,610,244 Ordinary Shares beneficially owned by the Reporting Person as of the date hereof are subject to the Lock-Up Agreement described in Item 6 of the Initial Schedule 13D and, accordingly, none of these shares may be sold prior to the expiration of the lock-up period; any Ordinary Shares acquired by the Reporting Person upon automatic exercise of the European-style call options pursuant to the terms of the 10b5-1 Plan are not subject to the Lock-Up Agreement and thus may be sold prior to the expiration of the Lock-Up period.\n\nThe Reporting Person entered into the 10b5-1 Plan for financial planning purposes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2087587/000121390026069232/0001213900-26-069232-index.html" }, { "accession_no": "0001213900-26-069088", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1999261, "issuer_name": "StageWise Strategies Corp.", "issuer_cusip": "85254A101", "securities_class_title": "Common Stock", "date_of_event": "2026-06-05", "filed_date": "2026-06-16", "item3_funds_source": "To the extent required by Item 3, the information contained in Item 4 is incorporated herein by reference.", "item4_transaction_purpose": "On June 5, 2026 (the \"Closing Date\"), the Reporting Person, completed the purchase of 3,000,000 shares of Common Stock of the Issuer (representing approximately 74.2% of the issued and outstanding shares of Common Stock) for an aggregate purchase price of $750,000 of his own personal funds. In connection with the transaction, all of the officers and directors of the Issuer resigned on the Closing Date and they appointed new officers and directors of the Issuer chosen by the Reporting Person.\n\nWhile the Reporting Person may, in the future, either directly or indirectly, cause the Issuer to enter into a transaction involving a future acquisition of a compatible business, which could result in his acquiring, either directly or indirectly, additional shares of the Issuer's common stock, the Reporting Person does not currently have any contracts, arrangements or understandings for the consummation of any such transaction.\n\nExcept as otherwise described in this Schedule 13D, the Reporting Person currently has no plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board except as may be required for the Issuer to comply with exchange listing requirements with respect to the number of independent directors; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) any changes in the Issuer's charter or by-laws or other actions which may impede the acquisition or control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or cease to be authorized to be quoted in an interdealer quotation system of a registered national securities association; (i) causing a class of equity securities of the Issuer to become eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934; or (j) any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1999261/000121390026069088/0001213900-26-069088-index.html" }, { "accession_no": "0001193805-26-000833", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1739174, "issuer_name": "BiomX Inc.", "issuer_cusip": "09090D509", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1739174/000119380526000833/0001193805-26-000833-index.html" }, { "accession_no": "0001193125-26-273135", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1956439, "issuer_name": "Enhanced Group Inc.", "issuer_cusip": "29333R107", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-06-14", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Purchase Agreement\n\nOn June 14, 2026, the Issuer entered into a securities purchase agreement (the \"Purchase Agreement\") with Apeiron pursuant to which the Issuer agreed to issue and sell to Apeiron in a private placement (the \"Private Placement\") (A) 5,141,388 shares of Class A Common Stock and (B) warrants to purchase 5,141,388 shares of Class A Common Stock (the \"Warrants\"). The Class A Common Stock and Warrants will be issued separately. The combined purchase price per share of Class A Common Stock and accompanying Warrant is $3.89.\n\nThe Private Placement is expected to close in two tranches. The first tranche, which will consist of 3,020,565 shares of Class A Common Stock and accompanying Warrants, is expected to close on or about June 22, 2026. The second tranche, which will consist of 2,120,823 shares of Class A Common Stock and accompanying Warrants, will close as soon as practicable after the effectiveness of the Stockholder Consent (as defined in the Purchase Agreement).\n\nJune 2026 Registration Rights Agreement\n\nOn June 14, 2026, the Issuer also entered into a registration rights agreement with Apeiron (the \"June 2026 Registration Rights Agreement\"), pursuant to which the Issuer has agreed to file a registration statement under the Securities Act with the Securities and Exchange Commission (the \"SEC\"), covering the resale of the Class A Common Stock and the shares of Class A Common Stock underlying the Warrants no later than 30 days following the applicable closing date and to use commercially reasonable efforts to have the registration statement declared effective by the SEC at the earliest possible date but no later than the earlier of the 90th calendar day following the initial filing date of the registration statement, if the SEC notifies the Company that it will \"review\" the registration statement, and the fifth business day after the date the Company is notified (orally or in writing, whichever is earlier) by the SEC that the registration statement will not be \"reviewed\" or will not be subject to further review.\n\nThe foregoing description of the Purchase Agreement, the Warrants and the June 2026 Registration Rights Agreement do not purport to be complete and are each qualified in their entirety by the full text of the form of such agreements, which are attached as exhibits to this Schedule 13D and incorporated herein by reference", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1956439/000119312526273135/0001193125-26-273135-index.html" }, { "accession_no": "0001193125-26-273094", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1806201, "issuer_name": "OPEN LENDING CORPORATION", "issuer_cusip": "68373J104", "securities_class_title": "COMMON STOCK, $0.01 PAR VALUE PER SHARE", "date_of_event": "2026-06-15", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nAgreement and Plan of Merger\n\nOn June 15, 2026, Open Lending Corporation, a Delaware corporation (the \"Company\"), entered into an Agreement and Plan of Merger (the \"Merger Agreement\") with ANV Group Holdings Ltd. (\"Parent\"), and Lakers Acquisition Sub, Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent (\"Merger Sub\"). Pursuant to the terms and conditions of the Merger Agreement, Merger Sub will commence a tender offer (as it may be extended, amended or supplemented from time to time, the \"Offer\") to purchase any and all of the issued and outstanding shares (each, a \"Share\" and collectively, the \"Shares\") of common stock, par value $0.01 per share, of the Company (\"Common Stock\"), at a price of $3.15 per Share (the \"Offer Price\"), net to the holder thereof, in cash, without interest thereon and subject to reduction for any applicable tax withholding.\nFollowing the consummation of the Offer and subject to the terms and conditions of the Merger Agreement, Merger Sub will merge with and into the Company (the \"Merger\") in accordance with the Merger Agreement and Section 251(h) of the General Corporation Law of the State of Delaware (the \"DGCL\"), and the Company will survive the Merger as an indirect wholly owned subsidiary of Parent. At the effective time of the Merger (the \"Effective Time\"), each Share that is not tendered and accepted pursuant to the Offer (other than Shares owned by Parent, Merger Sub or the Company, or by any of their respective direct or indirect wholly owned subsidiaries, and Shares held by stockholders of the Company who are entitled to demand and who have properly and validly demanded their statutory rights of appraisal in compliance with Section 262 of the DGCL) will be cancelled and automatically converted into the right to receive the Offer Price, net to the holder thereof, in cash, without interest thereon and subject to reduction for any applicable tax withholding (the \"Per Share Merger Consideration\").\nIn addition, immediately prior to the Effective Time, by virtue of the Merger, automatically and without any action on the part of the Company, Parent or the holder thereof:\n\n Each outstanding and unexercised option to purchase Shares (each, a \"Company Option\") granted pursuant to the Company's 2020 Stock Option and Incentive Plan (the \"Equity Plan\") that is unvested will accelerate and become fully vested and exercisable, and, as of the Effective Time, each Company Option will be cancelled and converted into the right to receive (A) for Company Options with an exercise price per Share that is less than the Per Share Merger Consideration, a cash payment equal to the product of (x) the total number of Shares subject to such Company Option multiplied by (y) the excess of the Per Share Merger Consideration over the applicable exercise price per Share, without interest and subject to applicable tax withholding, or (B) for Company Options with an exercise price per Share that is equal to or greater than the Per Share Merger Consideration, no consideration.\n\n Each outstanding Company time-based restricted stock unit granted pursuant to the Equity Plan (each, a \"Company RSU\") will become fully vested and, as of the Effective Time, will be cancelled and converted into the right to receive a cash payment equal to the product of (x) the aggregate number of Shares underlying the Company RSU multiplied by (y) the Per Share Merger Consideration, without interest and subject to applicable tax withholding.\n\n Each outstanding Company performance-based stock unit granted pursuant to the Equity Plan (each, a \"Company PSU\") will become vested on a one Company PSU for one Share basis and, as of the Effective Time, will be cancelled and converted into the right to receive a cash payment equal to the product of (x) the aggregate number of Shares underlying the vested portion of such Company PSU multiplied by (y) the Per Share Merger Consideration, without interest and subject to applicable tax withholding, and the unvested portion of each Company PSU will be automatically cancelled for no consideration.\n\nThe obligation of Merger Sub to consummate the Offer is subject to customary closing conditions, including, among other things, (i) that at the expiration of the Offer, a number of Shares that, when added to the Shares then owned by Parent and its subsidiaries, represent at least a majority of all of the issued and outstanding Shares, be validly tendered and not withdrawn in accordance with the terms of the Offer (the \"Minimum Condition\"), (ii) the expiration or termination of any applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the \"Regulatory Condition\"), (iii) the absence of any legal prohibition by a governmental entity of competent jurisdiction in effect enjoining, prohibiting or otherwise preventing the consummation of the Offer, (iv) the accuracy of the Company's representations and warranties (subject to customary materiality standards), (v) compliance by the Company with its covenants in all material respects, and (vi) the absence of a Company Material Adverse Effect (as defined in the Merger Agreement). Parent has obtained equity and debt financing commitment letters to fund the Offer and the Merger; however, the consummation of the Offer and the Merger is not subject to any financing condition.\n\nThe Merger Agreement includes customary representations, warranties and covenants of the parties for a transaction of this nature. The Company has agreed to use its reasonable best efforts to, in all material respects, conduct its operations in the ordinary course during the period between the execution of the Merger Agreement and until the earlier of the Effective Time and the termination of the Merger Agreement in accordance with its terms.\n\nThe Merger Agreement includes customary \"no-shop\" restrictions on the Company's and its representatives' ability to solicit, initiate, encourage or participate in discussions regarding alternative acquisition proposals from third parties. The Company may, however, under certain circumstances and subject to compliance with the Merger Agreement, provide information to and participate in discussions with a third party that makes an unsolicited acquisition proposal if the board of directors of the Company (the \"Company Board\") determines in good faith (after consultation with its financial advisor and outside legal counsel) that such proposal constitutes or could reasonably be expected to lead to a Superior Proposal (as defined in the Merger Agreement) and that failure to take such action would be inconsistent with its fiduciary duties. The Company Board may make an adverse recommendation change or terminate the Merger Agreement to accept a Superior Proposal, subject to certain notice and other requirements that provide Parent with an opportunity to propose revisions to the Merger Agreement.\n\nThe Merger Agreement contains certain termination rights for the Company and Parent. Either party may terminate the Merger Agreement if the Offer has not been consummated by 11:59 p.m. Eastern Time on October 15, 2026, which date will be automatically extended to December 15, 2026 if all of the conditions to the Offer have been satisfied or waived except for the Regulatory Condition or certain related legal restraints] (the \"Outside Date\"), or if a permanent injunction or order preventing the transaction becomes final and non-appealable. The Company may terminate the Merger Agreement to enter into a definitive agreement with respect to a Superior Proposal (subject to payment of the Termination Fee) or upon certain uncured breaches by Parent or Merger Sub. Parent may terminate the Merger Agreement upon a Company Board adverse recommendation change or upon certain uncured breaches by the Company. The Company has agreed to pay Parent a termination fee of $13,580,000 in cash upon termination of the Merger Agreement under certain specified circumstances, including (i) termination by the Company to enter into a Superior Proposal, (ii) termination by Parent following an adverse recommendation change by the Company Board, or (iii) termination under certain other circumstances (including for failure to consummate by the Outside Date, satisfy the Minimum Condition, or Company breach) where an Acquisition Proposal (as defined in the Merger Agreement) has been publicly announced and a definitive agreement is subsequently entered into within twelve months.\n\nThe foregoing description of the Merger Agreement and the transactions contemplated thereby does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the Merger Agreement, a copy of which is filed as an exhibit to this Schedule 13D and is incorporated herein by reference.\n\nTender and Support Agreements\n\nConcurrently with the execution and delivery of the Merger Agreement, Bregal Sagemount I, L.P. (\"Bregal Sagemount\") entered into a Tender and Support Agreement with Parent and Merger Sub (the \"Support Agreement\"), pursuant to which Bregal Sagemount agreed, among other things, (i) to validly tender all of its Shares in the Offer, (ii) to vote its Shares against any Acquisition Proposal and against any other action that would impede or delay the consummation of the Offer or the Merger, (iii) not to transfer, sell, assign, pledge, encumber or otherwise dispose of any of its Shares (other than certain permitted transfers to affiliates or for estate planning purposes) or tender any Shares into any competing tender or exchange offer, (iv) to waive any rights to demand appraisal of its Shares under Section 262 of the DGCL, and (v) not to commence or participate in any proceeding against Parent, Merger Sub or the Company relating to the Merger Agreement or the transactions contemplated thereby. The Support Agreement will terminate upon the earlier of the valid termination of the Merger Agreement, the Effective Time, or certain amendments to the Merger Agreement that decrease the consideration or impose additional restrictions on payment. As of the date of the Merger Agreement, the Shares subject to the Support Agreements comprised approximately 12.8% of the outstanding Shares.\n\nThe foregoing description of the Support Agreement does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the form of Tender and Support Agreement, a copy of which is filed as an exhibit to this Schedule 13D and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1806201/000119312526273094/0001193125-26-273094-index.html" }, { "accession_no": "0001193125-26-272917", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1754301, "issuer_name": "Fox Corporation", "issuer_cusip": "35137L204", "securities_class_title": "Class B Common Stock", "date_of_event": "2026-06-14", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is supplemented as follows, as of the date hereof:\n\nAs previously disclosed by the Issuer (in its Form 8-K filed with the SEC on June 15, 2026), the Issuer entered into an Agreement and Plan of Merger, dated as of June 14, 2026 (the \"Merger Agreement\"), pursuant to which the Issuer agreed to acquire Roku, Inc. (\"Roku\"), subject to the terms and conditions set forth in the Merger Agreement.\n\nAlso as disclosed, LGC Holdco and Cruden 2 (together, the \"Covered Stockholders\") entered into a Voting and Support Agreement (the \"Voting Agreement\") with Roku on June 14, 2026, in connection with the Merger Agreement. Pursuant to the Voting Agreement and subject to the terms and conditions thereof, each Covered Stockholder agreed, among other things: (1) to vote all Class B Shares it owns (a) in favor of the approval of the issuance of the Issuer's Class A Shares pursuant to the Merger Agreement (the \"Stock Issuance\") and (b) against any competing acquisition proposal or any other action that would reasonably be expected to interfere with the consummation of the Stock Issuance or the other transactions contemplated by the Merger Agreement; and (2) not to transfer its Class B Shares prior to receipt of stockholder approval of the Stock Issuance, subject to certain exceptions.\n\nThe foregoing description of the Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Voting Agreement listed as Exhibit 4 in Item 7 hereto and incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1754301/000119312526272917/0001193125-26-272917-index.html" }, { "accession_no": "0001193125-26-272455", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1408100, "issuer_name": "KENNEDY-WILSON HOLDINGS, INC.", "issuer_cusip": "489398107", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-16", "item3_funds_source": "Item 3 of the Existing Schedule 13D is hereby amended and supplemented to incorporated by reference the information set forth in Item 4 below.", "item4_transaction_purpose": "The disclosure in Item 4 of the Existing Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn June 16, 2026, the merger (the \"Merger\") contemplated by the Agreement and Plan of Merger, dated as of February 16, 2026, as amended on March 15, 2026 (the \"Merger Agreement\"), by and among Kennedy-Wilson Holdings, Inc., a Delaware corporation (the \"Issuer\"), Kona Bidco, LLC, a Delaware limited liability company (\"Parent\"), and Kona Merger Subsidiary, Inc., a Delaware corporation and wholly owned subsidiary of Parent (\"Merger Sub\"), was consummated. Pursuant to the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation. At the effective time of the Merger (the \"Effective Time\"), each share of common stock, par value $0.0001 per share, of the Issuer (the \"Common Stock\") outstanding immediately prior to the Effective Time (other than Rollover Shares, Cancelled Shares and Dissenting Shares, each as defined in the Merger Agreement) was converted into the right to receive $10.90 per share in cash, without interest (the \"Merger Consideration\").\n\nPursuant to the rollover agreement (the \"Rollover Agreement\") entered into by McMorrow and the Trust with Parent, immediately prior to the Effective Time, all shares of Common Stock subject to the Rollover Agreement (the \"Rollover Shares\") held by McMorrow and the Trust were contributed to Parent (or its designee) in exchange for limited liability company units or other equity securities of Parent or its affiliates. All other shares of Common Stock beneficially owned by the Reporting Persons were converted into the right to receive the Merger Consideration at the Effective Time.\n\nFollowing the consummation of the Merger, the Reporting Persons no longer beneficially own any shares of Common Stock. Each of the Reporting Persons retains an indirect equity interest in the surviving corporation through its ownership of limited liability company units of Parent.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1408100/000119312526272455/0001193125-26-272455-index.html" }, { "accession_no": "0001171843-26-004153", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1540159, "issuer_name": "EDESA BIOTECH, INC.", "issuer_cusip": "27966L306", "securities_class_title": "Common Shares, no par value per share", "date_of_event": "2026-06-16", "filed_date": "2026-06-16", "item3_funds_source": "Item 3 is hereby supplemented as follows: Since the filing of the Schedule 13D/A on February 14, 2025, the Issuer has granted Dr. Pardeep Nijhawan the following restricted stock units, which vested in full upon grant: (i) 2,578 restricted stock units on April 1, 2026, (ii) 1,159 restricted stock units on May 1, 2026 and (iii) 1,671 restricted stock units on June 1, 2026. Such restricted stock units were granted in lieu of partial salary.\n\nOn May 29, 2025, the Issuer granted Dr. Pardeep Nijhawan 96,913 restricted stock units which shall vest monthly in equal proportions over thirty-six (36) months, commencing on the grant date.\n\nOn March 2, 2026, Dr. Pardeep Nijhawan purchased an aggregate of 2,000 Common Shares at a weighted average price of $2.0000 per share for an aggregate purchase price of $4,000.00. Dr. Pardeep Nijhawan purchased the Common Shares with investment capital.\n\nOn March 2, 2026, Dr. Pardeep Nijhawan purchased an aggregate of 1,000 Common Shares at a weighted average price of $2.2796 per share for an aggregate purchase price of $2,279.60. Dr. Pardeep Nijhawan purchased the Common Shares with investment capital.\n\nOn March 3, 2026, Dr. Pardeep Nijhawan purchased an aggregate of 10,000 Common Shares at a weighted average price of $3.6300 per share for an aggregate purchase price of $36,300.00. Dr. Pardeep Nijhawan purchased the Common Shares with investment capital.\n\nOn March 4, 2026, Dr. Pardeep Nijhawan purchased an aggregate of 10,000 Common Shares at a weighted average price of $4.2560 per share for an aggregate purchase price of $42,560.00. Dr. Pardeep Nijhawan purchased the Common Shares with investment capital.\n\nOn March 5, 2026, Dr. Pardeep Nijhawan purchased an aggregate of 10,000 Common Shares at a weighted average price of $3.9000 per share for an aggregate purchase price of $39,000.00. Dr. Pardeep Nijhawan purchased the Common Shares with investment capital.\n\nOn March 10, 2026, Dr. Pardeep Nijhawan purchased an aggregate of 1,000 Common Shares at a weighted average price of $6.5989 per share for an aggregate purchase price of $6,598.90. Dr. Pardeep Nijhawan purchased the Common Shares with investment capital.\n\nOn June 16, 2026, the Issuer entered into a Securities Purchase Agreement (the \"Purchase Agreement\") with certain purchasers, including Pardeep Nijhawan, pursuant to which the Issuer sold to Pardeep Nijhawan, in a private placement, an aggregate of 153,550 Common Shares at a purchase price of $5.2100 per share for an aggregate purchase price of $799,995.50. Dr. Pardeep Nijhawan purchased the Common Shares with investment capital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1540159/000117184326004153/0001171843-26-004153-index.html" }, { "accession_no": "0001140361-26-025475", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1794515, "issuer_name": "ZoomInfo Technologies Inc.", "issuer_cusip": "98980F104", "securities_class_title": "Common stock, par value $0.01 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nGeneral\n\nThe Reporting Persons acquired the securities described in this Schedule 13D for investment purposes and they intend to review their investments in the Issuer on a continuing basis. Any actions the Reporting Persons might undertake will be dependent upon the Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nThe Reporting Persons may acquire additional (or potentially all) securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. The Reporting Persons may also enter into financial instruments or other agreements, such as the Cash-Settled Swap (as defined below), with institutional or other counterparties that would increase or decrease the Reporting Persons' economic exposure with respect to their investment in the Issuer, which instruments or agreements may or may not affect the Reporting Persons' beneficial ownership in securities of the Issuer. In addition, the Reporting Persons may engage in discussions with management, the Issuer's board of directors (the \"Board\"), other securityholders of the Issuer and other relevant parties, or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, including, for example a merger, reorganization or other corporate transaction that could result in the de-listing or de-registration of the Common Stock; a transaction in which the Reporting Persons, either independently or as part of a consortium with one or more other sources of equity capital, would acquire additional (or potentially all) of the equity or assets of the Issuer; security offerings and/or stock repurchases by the Issuer; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nTo facilitate their consideration of such matters, the Reporting Persons may retain consultants and advisors and may enter into discussions with potential sources of capital and other third parties. The Reporting Persons may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements. The Reporting Persons will likely take some or all of the foregoing steps at preliminary stages in their consideration of various possible courses of action before forming any intention to pursue any particular plan or direction.\n\nOther than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1794515/000114036126025475/0001140361-26-025475-index.html" }, { "accession_no": "0001140361-26-025447", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1802768, "issuer_name": "Royalty Pharma plc", "issuer_cusip": "G7709Q104", "securities_class_title": "Class A Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1802768/000114036126025447/0001140361-26-025447-index.html" }, { "accession_no": "0001104659-26-074760", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1845815, "issuer_name": "Payoneer Global Inc.", "issuer_cusip": "70451X104", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": "Item 3 of the Schedule 13D is supplemented as follows:\n\nIn connection with his service as a member of the Board of Directors of the Company, Mr. Marshall was awarded an aggregate of 65,586 restricted stock units (\"RSUs\"), of which 34,288 RSUs have vested or vest within 60 days of the date hereof and 31,298 remain unvested and do not vest within 60 days of the date hereof. TCV VIII Management directly holds 5,134 shares of Common Stock received upon vesting of such RSUs.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is supplemented as follows:\n\nThe information provided in Item 6 is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1845815/000110465926074760/0001104659-26-074760-index.html" }, { "accession_no": "0001104659-26-074730", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1564180, "issuer_name": "KNOT Offshore Partners LP", "issuer_cusip": "Y48125101", "securities_class_title": "Common Units Representing Limited Partner Interests", "date_of_event": "2026-06-15", "filed_date": "2026-06-16", "item3_funds_source": "Issuance of Subordinated Units at IPO\n\nIn connection with the consummation of the Partnership's initial public offering (\"IPO\"),\nthe Partnership acquired a 100% indirect ownership interest in KNOT Shuttle Tankers\nAS, a wholly owned subsidiary of KNOT, which at the time of the IPO directly or\nindirectly owned (1) 100% of Knutsen Shuttle Tankers XII KS, the owner of the shuttle\ntankers Recife Knutsen and Fortaleza Knutsen, (2) 100% of Knutsen Shuttle Tankers\nXII AS, the general partner of Knutsen Shuttle Tankers XII KS, and (3) the shuttle\ntankers Windsor Knutsen and Bodil Knutsen and all of their related charters, inventory\nand long-term debt. In connection with the consummation of the IPO, (1) the\nPartnership issued to KNOT 8,567,500 subordinated units, representing a 49.0%\nlimited partner interest in the Partnership (\"Subordinated Units\"), and 100% of the\nincentive distribution rights; (2) the General Partner, a wholly owned subsidiary of\nKNOT, continued its 2.0% general partner interest in the Partnership; and (3) the\nPartnership issued and sold to the public, through certain underwriters, 8,567,500\nCommon Units, representing a 49.0% limited partner interest in the Partnership.\n\nConversion of Subordinated Units\n\nThe Partnership's First Amended and Restated Agreement of Limited Partnership\nprovided that the Subordinated Units owned by KNOT would convert into Common\nUnits two business days after the Partnership met certain financial tests set forth in\nsuch agreement. These financial tests required the Partnership to have earned and\npaid a minimum quarterly distribution on all of the outstanding units for three\nconsecutive, non-overlapping four-quarter periods. On May 16, 2016, the Partnership\npaid the final distribution required to satisfy the financial tests. On May 18, 2016, the\n8,567,500 Subordinated Units converted into Common Units on a one-for-one basis\nand KNOT became the beneficial owner of 8,567,500 additional Common Units.\n\nUnit Repurchase Program\n\nIn August 2015, the Partnership's board of directors authorized a program for the\nPartnership to repurchase up to 666,667 Common Units. The board of directors of the\nGeneral Partner concurrently authorized the General Partner to purchase up to 333,333\nCommon Units. As of November 20, 2018, the General Partner had purchased 90,368\nCommon Units pursuant to the unit repurchase program at an average purchase price\nof $12.71 per unit. The funds used by the General Partner to purchase such Common\nUnits were obtained through equity contribution and long term borrowings from KNOT,\nwhich KNOT funded with available cash generated by its operations. Because KNOT\nis the sole owner of the General Partner, the 90,368 Common Units purchased by the\nGeneral Partner pursuant to the unit repurchase program are included in the Common\nUnits reported in this Amendment as beneficially owned by KNOT.\n\nTortoise Preferred Transaction\n\nOn May 27, 2021, Tortoise Direct Opportunities Fund LP (\"Tortoise\") sold 208,333 of\nits Series A Preferred Units to KNOT and converted its remaining 208,334 Series A\nPreferred Units into 215,292 Common Units. KNOT paid approximately $4 million for\nthe Series A Preferred Units using cash on hand.\n\nPierfront Capital Preferred Transaction\n\nOn June 15, 2026, Pierfront Capital Mezzanine Fund Pte. Ltd. (\"Pierfront Capital\") sold\n1,250,000 of its Series A Preferred Units to KNOT for a cash purchase price of $20.00\nper Series A Preferred Unit. KNOT paid $25.0 million in the aggregate for the Series A\nPreferred Units using cash on hand.\n\nIDR Exchange\n\nOn September 10, 2021, KNOT contributed all of the Incentive Distribution Rights (as\ndefined in the Third Amended and Restated Agreement of Limited Partnership of the\nPartnership, dated June 30, 2017 (the \"Previous Partnership Agreement\")), in the\nPartnership held by KNOT (the \"IDRs\") in exchange for the issuance by the Partnership\nto KNOT of (i) 673,080 Common Units and (ii) 673,080 Class B Units pursuant to an\nExchange Agreement among the Partnership, the Partnership's general partner and\nKNOT, dated September 7, 2021 (the \"Exchange Agreement\"), whereupon the IDRs\nwere immediately cancelled and ceased to exist (collectively, the \"IDR Exchange\"). The\nClass B Units were a new class of limited partner interests and are not entitled to\nreceive cash distributions in any quarter unless the Common Units receive a distribution\nof at least $0.52 for such quarter (the \"Distribution Threshold\"). When holders of\nCommon Units receive a quarterly distribution at least equal to the Distribution\nThreshold, Class B unitholders are entitled to receive the same distribution as common\nunitholders.\n\nFor each quarter (starting with the quarter ending September 30, 2021) that the\nPartnership pays distributions on the Common Units that are equal to or above the\nDistribution Threshold, one-eighth of the Class B Units are converted to common units\non a one-for-one basis until such time as no further Class B Units exist. The Class B\nUnits generally vote together with the Common Units as a single class.\n\nAs of March 31, 2026, a total of 420,675 of the Class B Units had been converted into\nCommon Units. As a result, 252,405 out of the 673,080 Class B Units originally issued\nremained outstanding as of March 31, 2026.", "item4_transaction_purpose": "The information contained in Item 3 above is incorporated herein by reference.\n\nKNOT acquired its Common Units (including any Common Units issuable upon\nconversion of the Class B Units and Series A Preferred Units) for investment purposes\nand (in the case of the original acquisition of the Subordinated Units) in order to effect\nthe IPO. Each of the Reporting Persons at any time and from time to time may acquire\nadditional Common Units or dispose of any or all of Common Units that it owns\ndepending upon an ongoing evaluation of the investment in the Common Units,\nprevailing market conditions, other investment opportunities, other investment\nconsiderations and/or other factors.\n\nUnder the Limited Liability Company Agreement of the General Partner, dated February\n20, 2013 (the \"General Partner LLC Agreement\"), KNOT has the right to designate the\nindividuals that serve on the board of directors of the General Partner. The General\nPartner, in turn, has the right to appoint three of the seven directors of the Partnership.\nThrough KNOT's right to appoint the board of directors of the General Partner and the\nGeneral Partner's right to appoint three members of the board of directors of the\nPartnership (the \"Board\"), KNOT and, indirectly, the other Reporting Persons, have the\nability to influence the management, policies and control of the Partnership with the aim\nof increasing the value of the Partnership, and thus of the Reporting Persons'\ninvestment.\n\nThe Reporting Persons continuously evaluate their investment in the Issuer and its\nsubsidiaries and, depending on various factors including, but not limited to, the price of\nthe Common Units, the terms and conditions of available transactions, prevailing\nmarket conditions and such other considerations as the Reporting Persons deem\nrelevant may, at any time or from time to time, and subject to any required regulatory\napprovals, acquire or dispose of additional Common Units, Series A Preferred Units\nand/or other equity, debt, notes, instruments or other securities of the Issuer and/or its\nsubsidiaries on the open market, in privately negotiated transactions, directly from or to\nthe Issuer, upon the exercise or conversion of securities convertible into or exercisable\nor exchangeable for other securities or otherwise. Any such acquisition, disposition or\nother transaction could be effectuated through open market purchases, tender or\nexchange offers, exercise of the limited call right contained in the Partnership\nAgreement, negotiated merger transactions, privately negotiated transactions, sale\ntransactions or otherwise.\n\nThe Reporting Persons may, at any time and from time to time, review or reconsider\ntheir position and/or change their purpose and/or formulate plans or proposals with\nrespect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1564180/000110465926074730/0001104659-26-074730-index.html" }, { "accession_no": "0001104659-26-074587", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1857154, "issuer_name": "Krispy Kreme, Inc.", "issuer_cusip": "50101L106", "securities_class_title": "Common Stock, Par Value $0.01 Per Share", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nExtension of Long Swap Arrangement\n\nAs previously disclosed in Amendment No. 9 to this Schedule 13D, JAB Holdings and HSBC Continental Europe (the \"Dealer\") entered into a long cash-settled total return equity swap on August 11, 2023 (the \"Long Swap\") for establishment of long exposure with respect to a notional amount of shares of common stock, par value $0.01 per share (the \"Shares\"), of Krispy Kreme, Inc. (the \"Company\") of up to the number of Shares purchased by the Dealer with an aggregate initial price not to exceed $100,000,000 (the \"Subject Shares\").\n\nOn June 12, 2026, JAB Holdings and the Dealer agreed to extend the term of the Long Swap to August 10, 2028. JAB Holdings' exposure with respect to the Subject Shares remains unchanged, and the Long Swap remains in full force and effect.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1857154/000110465926074587/0001104659-26-074587-index.html" }, { "accession_no": "0001104659-26-074484", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2044255, "issuer_name": "Antalpha Platform Holding Co", "issuer_cusip": "G0395R106", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to add the following:\n\nEffective on June 12, 2026, Tether Investments transferred 1,950,000 Ordinary Shares to Tether International, S.A. de C.V. (the \"Transfer\"). The Transfer resulted in no change in the aggregate number of Ordinary Shares beneficially owned by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2044255/000110465926074484/0001104659-26-074484-index.html" }, { "accession_no": "0001104659-26-074483", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1722606, "issuer_name": "Metalla Royalty & Streaming Ltd.", "issuer_cusip": "59124U605", "securities_class_title": "Common Shares, without par value", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to add the following: Effective on June 12, 2026, Tether Investments transferred 2,095,216 Common Shares to Tether International, S.A. de C.V. (the \"Transfer\"). The Transfer resulted in no change in the aggregate number of Common Shares beneficially owned by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1722606/000110465926074483/0001104659-26-074483-index.html" }, { "accession_no": "0001104659-26-074481", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1899123, "issuer_name": "BITDEER TECHNOLOGIES GROUP", "issuer_cusip": "G11448100", "securities_class_title": "Class A ordinary shares, par value $0.0000001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Effective on June 12, 2026, Tether Investments transferred 13,955,523 Class A Shares to Tether International, S.A. de C.V. (the \"Transfer\"). The Transfer resulted in no change in the aggregate number of Class A Shares beneficially owned by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1899123/000110465926074481/0001104659-26-074481-index.html" }, { "accession_no": "0001094891-26-000240", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2088626, "issuer_name": "Peace Acquisition Corp.", "issuer_cusip": "G6956D105", "securities_class_title": "Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-06-16", "item3_funds_source": "The securities reported herein were acquired in connection with the organization and initial public offering of Peace Acquisition Corp. Baystar Holding Group Ltd acquired founder shares prior to the Issuer's initial public offering for nominal consideration and purchased private units in a private placement consummated simultaneously with the closing of the Issuer's initial public offering. Each private unit consists of one ordinary share, one right and one redeemable warrant. The funds used by Baystar Holding Group Ltd to purchase the securities reported herein came from its working capital.\n\nFangping Zheng may be deemed to beneficially own the securities held by Baystar Holding Group Ltd as a result of her position as sole director and shareholder of Baystar Holding Group Ltd.", "item4_transaction_purpose": "On July 9, 2025, Casper Holding LP, a sponsor of the Issuer, acquired an aggregate of 2,300,000 ordinary shares for an aggregate purchase price of $25,000 (the \"Founder Shares\"). Thereafter, Casper Holding LP transferred an aggregate of 1,541,000 ordinary shares to Baystar Holding Group Ltd (\"Baystar\"), another sponsor of the Issuer. Baystar made the acquisition reported in this Schedule 13D as a sponsor of the Issuer and in support of the Issuer's business plan. The Issuer's business plan is to enter into a merger, share exchange, asset acquisition, share purchase, recapitalization, reorganization or other similar business combination.\n\nOn May 26, 2026, in a private placement taking place simultaneously with the Issuer's initial public offering (\"IPO\"), Baystar purchased 202,500 units of the Issuer (\"Private Units\"), each Private Unit consisting of one ordinary share, one right and one redeemable warrant. The Private Units were purchased at a price of $10.00 per Private Unit, for an aggregate purchase price of $2,025,000.\n\nIn connection with the non-exercise of the underwriter's over-allotment option in the IPO, Baystar forfeited 201,000 Founder Shares for no consideration. After giving effect to such forfeiture, Baystar beneficially owns 1,542,500 ordinary shares. Fangping Zheng is the sole director and shareholder of Baystar. Fangping Zheng is the Chairman and Chief Executive Officer of the Issuer and may be deemed to beneficially own the securities held by Baystar. The Reporting Persons have beneficial ownership of approximately 18.3% of the outstanding ordinary shares of the Issuer.\n\nThe Reporting Persons may later acquire additional securities of the Issuer. Any actions the Reporting Persons might undertake with respect to the ordinary shares may be made at any time and from time to time without prior notice and will be dependent upon their review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments relating to the Reporting Persons.\n\nAs of the date of this Schedule 13D, except as set forth in this Schedule 13D above, the Reporting Persons do not have any plans or proposals which would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of the board of directors or management of the Issuer; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) any action similar to any of those actions enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2088626/000109489126000240/0001094891-26-000240-index.html" }, { "accession_no": "0001094891-26-000239", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2088626, "issuer_name": "Peace Acquisition Corp.", "issuer_cusip": "G6956D105", "securities_class_title": "Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-06-16", "item3_funds_source": "The securities reported herein were acquired in connection with the organization and initial public offering of Peace Acquisition Corp. Casper Holding LP acquired founder shares prior to the Issuers initial public offering for nominal consideration. The funds used by Casper Holding LP to purchase the securities reported herein came from its working capital.", "item4_transaction_purpose": "On July 9, 2025, Casper Holding LP, a sponsor of the Issuer, acquired an aggregate of 2,300,000 ordinary shares for an aggregate purchase price of $25,000 (the \"Founder Shares\"). Thereafter, Casper Holding LP transferred an aggregate of 1,541,000 ordinary shares to Baystar Holding Group Ltd, another sponsor of the Issuer. Casper Holding LP made the acquisition reported in this Schedule 13D as a sponsor of the Issuer and in support of the Issuer's business plan. The Issuer's business plan is to enter into a merger, share exchange, asset acquisition, share purchase, recapitalization, reorganization or other similar business combination.\n\nIn connection with the non-exercise of the underwriter's over-allotment option in the Issuer's IPO, Casper Holding LP forfeited 99,000 Founder Shares for no consideration. After giving effect to such forfeiture, Casper Holding LP beneficially owns 660,000 ordinary shares.\n\nThe Reporting Person may later acquire additional securities of the Issuer. Any actions the Reporting Person might undertake with respect to the ordinary shares may be made at any time and from time to time without prior notice and will be dependent upon its review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments relating to the Reporting Person.\n\nAs of the date of this Schedule 13D, except as set forth in this Schedule 13D above, the Reporting Person does not have any plans or proposals which would result in any of the matters enumerated in Items 4(a) through (j) of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2088626/000109489126000239/0001094891-26-000239-index.html" }, { "accession_no": "0001062993-26-003222", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 858706, "issuer_name": "The New Germany Fund, Inc.", "issuer_cusip": "644465106", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-06-15", "filed_date": "2026-06-16", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $35,708,322 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/858706/000106299326003222/0001062993-26-003222-index.html" }, { "accession_no": "0001062993-26-003221", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 65433, "issuer_name": "The Mexico Fund, Inc.", "issuer_cusip": "592835102", "securities_class_title": "Common Shares, $1.00 par value", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $41,719,092 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/65433/000106299326003221/0001062993-26-003221-index.html" }, { "accession_no": "0001011438-26-000380", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 2016072, "issuer_name": "M3-Brigade Acquisition V Corp.", "issuer_cusip": "G63212107", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of this Schedule 13D is supplemented and superseded, as the case may be, as follows: \r\n\r\nThe information in Item 6 is incorporated herein by reference. \r\n\r\nMutual Termination Agreement\r\n\r\nOn June 12, 2026, ReserveOne and the Issuer entered into a Mutual Termination Agreement (the \"Termination Agreement\") pursuant to which the parties agreed to mutually terminate the Business Combination Agreement, pursuant to Section 7.1(a) of the Business Combination Agreement (other than certain customary limited provisions that survive the termination pursuant to the terms of the Business Combination Agreement) effective June 12, 2026.\r\n\r\nBy virtue of the termination of the Business Combination Agreement, each of the Equity PIPE Subscription Agreements, the Convertible Notes Subscription Agreements, and the Sponsor Support Agreement (each as defined in the Business Combination Agreement and together, the \"Subscription Agreements\") terminated in accordance with their respective terms. \r\n\r\nThe foregoing description of the Termination Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Termination Agreement, which is incorporated by reference as Exhibit 99.1 and is incorporated herein by reference.\r\n\r\nSecurities Purchase Agreement \r\n\r\nOn June 12, 2026, the Issuer entered into Securities Purchase Agreements (collectively, the \"Securities Purchase Agreements\") with the Sponsor, ReserveOne, Pubco and certain investors (collectively, the \"Investors\") named therein. Pursuant to the Securities Purchase Agreements, upon the effectiveness of the Amendments (as defined below), among other things, the Sponsor has agreed to sell, and the Investors have agreed to purchase an aggregate of 4,279,279 Class A Ordinary Shares issuable upon the conversion of the Sponsor's Class B ordinary shares, par value $0.0001 (\"Class B Ordinary Shares,\" together with the Class A Ordinary Shares, the \"Common Shares\"), which pursuant to the Securities Purchase Agreements, the Sponsor has agreed to convert to Class A Ordinary Shares and which the parties have agreed to continue to treat as \"Founder Shares\" as described in the Securities Purchase Agreements. The Investors will purchase these Class A Ordinary Shares for a price per share equal to $3.33 (such purchased shares, the \"Transferred Shares\") resulting in aggregate gross proceeds to the Sponsor of $14,250,000. Each of the Investors has deposited an amount equal to the purchase price for the Transferred Shares it agreed to purchase into an escrow account with funds to be released upon the closing of the transactions contemplated by the Securities Purchase Agreements (the \"Transaction\").\r\n\r\nThe closings of the Transactions shall take place upon the effective date of certain contemplated amendments to the Company's Amended and Restated Memorandum and Articles of Association (the \"Articles\") (as discussed below), subject to certain closing conditions including, among others, that (i) the Termination Agreement continues to be in full force and effect and has not been rescinded, withdrawn, or otherwise become ineffective, and (ii) the termination of the Subscription Agreements continues to be in full force and effect and has not been rescinded, withdrawn, or otherwise become ineffective.\r\n\r\nThe Securities Purchase Agreements contain mutual releases by the Issuer, the Sponsor, ReserveOne and Pubco, on the one hand, and the Investors, on the other hand, for all claims known and unknown, arising out of or in connection with (i) the Subscription Agreements, (ii) the Business Combination Agreement, and (iii) the termination of any of the foregoing. If the transactions contemplated by the Securities Purchase Agreements have not closed on or before August 2, 2026, the Investors may terminate their respective Securities Purchase Agreements and receive a return of their funds held in escrow, in accordance with the terms of the Securities Purchase Agreements.\r\n\r\nContemporaneously with the execution and delivery of the Securities Purchase Agreements, ReserveOne, Pubco and the Issuer withdrew the Registration Statement on Form S-4 (Registration No. 333-279951) declared effective by SEC on May 13, 2026.\r\n\r\nA portion of the net proceeds from the sale of the Transferred Shares is expected to be used by the Sponsor to make one or more loans to the Issuer up to an aggregate of $4,000,000 for purposes of paying \"Covered Expenses\" (as defined in the Securities Purchase Agreement), which consist of accrued expenses of the Issuer that are due and payable by the Issuer as of the closing of the Transaction.\r\n\r\nThe foregoing description of the Securities Purchase Agreements does not purport to be complete and is qualified in its entirety by reference to the full text of the Form of Securities Purchase Agreement, which is incorporated by reference as Exhibit 99.2 and is incorporated herein by reference. \r\n\r\nShareholder Meeting\r\n\r\nThe Issuer intends, as promptly as practicable after the execution of the Securities Purchase Agreements, to prepare and file with the SEC a proxy statement for the purpose of soliciting proxies from the Issuer's shareholders to approve, at an extraordinary general meeting of the Issuer's shareholders (the \"Shareholder Meeting\"), amendments to its Articles, to, among other things: (i) extend the date by which the Issuer must consummate an initial business combination by 12 months (from August 2, 2026 to August 2, 2027); (ii) permit the Issuer, following the effective date of the amendments after all redemptions pursuant to the exercise of redemption rights arising in connection with the amendments have been settled, to withdraw up to an aggregate amount of interest earned on the funds held in the Issuer's trust account in an amount equal to $0.10 for each Class A Ordinary Share issued in the Issuer's initial public offering that is not redeemed and remains outstanding immediately following the effective date of the amendments, of which (a) $1,000,000 will be used to fund working capital and pay certain ordinary course expenses of the Issuer and (b) any amounts in excess of such $1,000,000 will be used to pay Covered Expenses; (iii) change the Issuer's legal name to Velos Acquisition I Corp.; (iv) remove Article 49.12 (the fairness opinion requirement) from the Articles in its entirety; and (v) such other modifications to the Articles as may be necessary to give effect to amendments (i)-(iv) (such amendments to the Articles, the \"Amendments\" and such proposals to be presented at the Shareholder Meeting, the \"Amendment Proposals\").\r\n\r\nVoting and Non-Redemption Agreements \r\n\r\nOn June 12, 2026, the Issuer, the Sponsor, ReserveOne and Pubco entered into Voting Support and Non-Redemption Agreements (the \"Voting and Non-Redemption Agreements\") with certain investors (such investors entering the Voting and Non-Redemption Agreements, collectively, the \"Voting and Non-Redemption Shareholders\") pursuant to which the Voting and Non-Redemption Shareholders have agreed not to redeem up to an aggregate of approximately 16,000,000 Class A Ordinary Shares in connection with the Amendments. Pursuant to the Voting and Non-Redemption Agreements, the Voting and Non-Redemption Shareholders have agreed to vote in favor of the Amendment Proposals at the Shareholder Meeting. The Voting and Non-Redemption Agreements provide that the Sponsor will transfer up to an aggregate of 8 million private placement warrants held by the Sponsor to the Voting and Non-Redemption Shareholders in consideration for the Voting and Non-Redemption Shareholders' agreement to hold and not redeem their Class A Ordinary Shares in connection with the Amendments.\r\n\r\nThe Voting and Non-Redemption Agreements provide that as soon as practicable following the closing of the transactions contemplated by the Voting and Non-Redemption Agreements, the Issuer will prepare and file with the SEC a Registration Statement on Form S-1 (the \"Form S-1\") covering the resale of all Class A Ordinary Shares purchased by the Voting and Non-Redemption Shareholders from Cantor Fitzgerald & Co., if any, for an offering to be made on a continuous basis pursuant to Rule 415 promulgated by the SEC pursuant to the Securities Act of 1933, as amended. The Issuer will use its commercially reasonable efforts to cause the Form S-1 to be declared effective by the SEC as promptly as possible after the filing thereof.\r\n\r\nThe Voting and Non-Redemption Agreements contain mutual releases by the Issuer, the Sponsor, ReserveOne and Pubco, on the one hand, and the Voting and Non-Redemption Shareholders, on the other hand, for all claims known and unknown, arising out of or in connection with the Equity PIPE Subscription Agreements and/or the Convertible Notes Subscription Agreements.\r\n\r\nThe foregoing description of the Voting Support and Non-Redemption Agreements does not purport to be complete and is qualified in its entirety by reference to the full text of the Form of Voting Support and Non-Redemption Agreements, which is incorporated by reference as Exhibit 99.3 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2016072/000101143826000380/0001011438-26-000380-index.html" }, { "accession_no": "0000950103-26-009079", "submission_type": "SCHEDULE 13D/A", "amendment_no": 34, "issuer_cik": 1771007, "issuer_name": "Afya Ltd", "issuer_cusip": "G01125106", "securities_class_title": "Class A Common Shares, par value $0.00005 per share", "date_of_event": "2025-04-04", "filed_date": "2026-06-16", "item3_funds_source": "This Amendment No. 34 amends and supplements Item 3 of the Original Schedule 13D (as amended by Amendment No. 3, Amendment No. 5, Amendment No. 7, Amendment No. 8, Amendment No. 9, Amendment No. 10, Amendment No. 11, Amendment No. 12, Amendment No. 14, Amendment No. 15, Amendment No. 16, Amendment No. 17, Amendment No. 18, Amendment No. 19, Amendment No. 20, Amendment No. 21, Amendment No. 22, Amendment No. 23, Amendment No. 25, Amendment No. 26, Amendment No. 28, Amendment No. 29, Amendment No. 30, Amendment No. 31, Amendment No. 32 and Amendment No. 33) as follows:\n\nThe Reporting Person purchased an additional 425,367 Class A common shares pursuant to the Trading Plan for a purchase price of $7,358,766.71, or an average of $17.30 per Class A common share. Such price was funded by the Reporting Person through internally generated funds.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1771007/000095010326009079/0000950103-26-009079-index.html" }, { "accession_no": "0000947871-26-000631", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1408100, "issuer_name": "Kennedy-Wilson Holdings, Inc.", "issuer_cusip": "489398107", "securities_class_title": "Common Stock, $0.0001 Par Value", "date_of_event": "2026-06-16", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Existing Schedule 13D is hereby supplemented and amended to add the following information:\n\nOn June 16, 2026, the Reporting Persons and Kennedy-Wilson completed the transactions contemplated by the Merger Agreement, dated as of February 16, 2026, by and among Kennedy-Wilson, Parent and Merger Sub. Pursuant to the Merger Agreement, on June 16, 2026, Merger Sub merged with and into Kennedy-Wilson, with Kennedy-Wilson continuing as the Surviving Corporation.\n\nAt the Effective Time, each Share outstanding immediately prior to the Effective Time (other than cancelled Shares, Rollover Shares and Shares held by stockholders who validly demanded appraisal rights) was converted into the right to receive $10.90 in cash per share, without interest. In addition, prior to or at the Effective Time, the Warrants held by the Reporting Persons were cancelled for no consideration. Upon effectiveness of the Form 25 filed with the SEC by Kennedy-Wilson to effect the delisting of the Shares from the New York Stock Exchange and the deregistration of such Shares under Section 12(b) of the Exchange Act, Kennedy-Wilson intends to file a Form 15 with the SEC, requesting the termination of registration of the Shares and the suspension of Kennedy-Wilson's reporting obligations under Sections 13 and 15(d) of the Exchange Act. This Amendment No. 7 constitutes an exit filing of the Reporting Persons in respect of the Shares previously reported as beneficially owned by the Reporting Persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1408100/000094787126000631/0000947871-26-000631-index.html" }, { "accession_no": "0000921895-26-001617", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1985337, "issuer_name": "YY Group Holding Ltd.", "issuer_cusip": "G9888Q103", "securities_class_title": "Class A Ordinary Shares, each with no par value", "date_of_event": "2026-06-10", "filed_date": "2026-06-16", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 1,200,000 Shares beneficially owned by Alpha Fund that were purchased directly by Alpha Fund with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $184,287, including brokerage commissions.\n\nThe aggregate purchase price of the 4,028,000 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $291,368, including brokerage commissions.\n\nThe aggregate purchase price of the 50,000 Shares beneficially owned by Mr. Ault that were purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $6,820, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985337/000092189526001617/0000921895-26-001617-index.html" }, { "accession_no": "0000902664-26-002807", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 23197, "issuer_name": "Comtech Telecommunications Corp.", "issuer_cusip": "205826209", "securities_class_title": "Common stock, par value $0.10 per share", "date_of_event": "2026-06-14", "filed_date": "2026-06-16", "item3_funds_source": null, "item4_transaction_purpose": "Amendment No. 3 to the Subordinated Credit Agreement\n\nIn connection with the entry by the Issuer, on June 14, 2026, into a Securities Purchase Agreement (the \"Purchase Agreement\" and the transactions contemplated by the Purchase Agreement the \"Transactions\"), by and among the Issuer, certain direct or indirect subsidiaries of the Issuer named therein and Wavestream Corporation, a Delaware corporation and an affiliate of Gilat Satellite Networks Ltd, a company incorporated under the laws of the State of Israel, on June 14, 2026, the Issuer entered into an Amendment No. 3 to Subordinated Credit Agreement (\"Amendment No. 3 to Subordinated Credit Agreement\") with the guarantors party thereto, the lenders party thereto and the Subordinated Agent, which amends that certain Subordinated Credit Agreement, dated as of October 17, 2024, among the Issuer, the guarantors party thereto, the lenders party thereto and the Subordinated Agent (as amended by that certain Waiver and Amendment No. 1, dated as of March 3, 2025, and that certain Amendment No. 2 to Subordinated Credit Agreement, dated as of July 21, 2025, the \"Existing Subordinated Credit Agreement\" and, as amended by the Subordinated Amendment No. 3, the \"Amended Subordinated Credit Agreement\").\n\nPursuant to Amendment No. 3 to Subordinated Credit Agreement, the Subordinated Agent (a) acknowledges that the form of, and the terms and conditions set forth in, the Purchase Agreement and certain ancillary agreements related to the Transactions are acceptable to it, (b) consents to the consummation of the Transactions, and (c) acknowledges and agrees that the Transactions shall not result in a Change of Control (as defined in the Existing Subordinated Credit Agreement). The Amendment No. 3 to Subordinated Credit Agreement further amends the Existing Subordinated Credit Agreement to, among other things, (i) suspend, until the four-quarter period ending July 31, 2027, testing of the fixed charge coverage ratio, the net leverage ratio and the minimum EBITDA covenants in the Amended Subordinated Credit Agreement, (ii) modify the calculation of the make-whole premium applicable to certain tranches of the subordinated term loans (as described in further detail below), and (iii) clarify that the advance payment made to the Issuer pursuant to the Purchase Agreement will not be required to be applied to prepay the applicable obligations in accordance with the terms of the Amended Subordinated Credit Agreement until the consummation of the Transactions.\n\nThe Amended Subordinated Credit Agreement provides that, with respect to the subordinated term loans that are subject to a make-whole amount (which have an aggregate outstanding principal amount of $65,000,000), the make-whole amount will be equal to (i) before and on April 1, 2027, the principal repayment amount multiplied by 50.0%, plus, starting on March 3, 2027, interest accrued on the principal amount outstanding at the Make-Whole Interest Rate (as defined below) and calculated as of any such date of determination; and (ii) after April 1, 2027, the principal repayment amount multiplied by 75.0% plus, starting on April 1, 2027, interest accrued on the principal amount outstanding at the Make-Whole Interest Rate (as defined below) and calculated as of any such date of determination. The Make-Whole Interest Rate is a rate equal to 16.0% per annum, which is increased by 2.0% per annum upon the occurrence and during the continuation of an event of default under the Amended Subordinated Credit Agreement.\n\nCapitalized terms used, but not defined, in this section under the heading \"Amendment No. 3 to Subordinated Credit Agreement\" have the meanings set forth in the Existing Credit Agreement, the Amended Subordinated Credit Agreement or Amendment No. 3 to Subordinated Credit Agreement, as applicable.\n\nIn connection with the Amendment No. 3 to Subordinated Credit Agreement, the Issuer issued warrants (the \"Lender Warrants\" and together with the Preferred Warrants (as defined below), the \"Warrants\") to WHSP II, which entitles WHSP II to purchase from the Issuer up to 125,000 shares (the \"Warrant Shares\") of the Issuer's common stock, par value $0.10 per share (the \"Common Stock\"), at any time and from time to time from the Vesting Date (as defined below) and on or prior to the close of business on 5:00 p.m., New York, NY time, on April 17, 2032, at an exercise price of $0.10 per share, subject to certain adjustments. The Lender Warrants and the Warrant Shares will vest and become exercisable on October 17, 2026 (the \"Vesting Date\"); provided, however, that the Lender Warrants will not vest, and will be automatically and irrevocably forfeited and cancelled for no consideration, if, prior to the Vesting Date, the Closing Date Term Loans (as defined in the Amended Subordinated Credit Agreement) have been repaid in full, including (x) all accrued and unpaid interest on the Closing Date Term Loans and (y) the applicable make-whole amount payable in connection with such payment. In connection with the Lender Warrants, the Issuer entered into an amendment (the \"Registration Rights Agreement Amendment\") to that certain Registration Rights Agreement, dated as of March 3, 2025 (the \"Existing Registration Rights Agreement\"), by and among the Issuer and the investors parties named therein, to grant Warrant Holders certain customary registration rights with respect to the shares of Common Stock issuable upon exercise of the Lender Warrants.\n\nThe foregoing descriptions of Amendment No. 3 to Subordinated Credit Agreement, the Registration Rights Agreement Amendment and the Lender Warrants are not complete and are qualified in their entirety by the full texts of Amendment No. 3 to Subordinated Credit Agreement, the Registration Rights Agreement Amendment and the form of Lender Warrant. For further information regarding Amendment No. 3 to Subordinated Credit Agreement, the Registration Rights Agreement Amendment and the Lender Warrants, reference is made to the full texts of Amendment No. 3 to Subordinated Credit Agreement, the Registration Rights Agreement Amendment and the Lender Warrants which have been filed as Exhibit 99.19, Exhibit 99.20, and Exhibit 99.21 hereto, respectively and incorporated by reference herein.\n\nExchange Agreement\n\nOn June 14, 2026, the White Hat Funds entered into an Exchange Agreement (the \"Exchange Agreement\") with the Issuer and the other investors listed on the signature pages attached thereto (each of the White Hat Funds and such other parties, an \"Investor\" and collectively, the \"Investors\") pursuant to which the parties agreed to change certain terms of the Series B-3 Convertible Preferred Stock. The Investors agreed to, among other things, (i) consent to the Purchase Agreement, certain ancillary agreements related to the Transactions, and the consummation of the Transactions, (ii) waive any rights to repayment or repurchase of shares of Series B-3 Convertible Preferred Stock (as defined below) owned or controlled by such Investor or its related parties in connection with the Transactions, and (iii) change certain terms of the Issuer's Series B-3 Convertible Preferred Stock, par value $0.10 per share (the \"Series B-3 Convertible Preferred Stock\"). The changes provide that (i) the Investors may not exercise their optional repurchase right until October 31, 2029, except upon consummation of certain qualified asset sales by the Issuer or its subsidiaries or a Change of Control (as defined in the Series B-4 Certificate of Designations), and (ii) the Investors may not elect to receive dividends in cash earlier than October 31, 2028. Pursuant to the Exchange Agreement, assuming the satisfaction of the conditions to such exchange (i) WHSP will exchange, 24,576.16 shares of Series B-3 Convertible Preferred Stock outstanding for 24,576.16 shares of the Company's newly issued Series B-4 Convertible Preferred Stock, par value $0.10 per share, with an initial liquidation preference equal to the per share liquidation preference of the Series B-3 Convertible Preferred Stock as of the date of issuance (collectively, the \"Series B-4 Convertible Preferred Stock\") and (ii) WHSP II will exchange 6,365.08 shares of Series B-4 Convertible Preferred Stock for 6,365.08 shares of Series B-4 Convertible Preferred Stock (exchanges described in clauses (i) and (ii) above, the \"Exchange\"). Consummation of the Exchange and issuance of shares of Series B-4 Convertible Preferred Stock are conditioned upon the consummation of the Transactions and are expected to occur on the date of the Closing.\n\nIn connection with the Exchange Agreement, the White Hat Funds entered into a Voting Agreement, substantially consistent with existing agreements relating to the Series B-3 Convertible Preferred Stock (the \"Voting Agreement\"), pursuant to which the White Hat Funds agreed, among other things, subject to the qualifications and exceptions set forth in the Voting Agreements, to vote their shares of Series B-4 Convertible Preferred Stock or shares issued upon conversion of the Series B-4 Convertible Preferred Stock that exceed 3.4999% of the Company's outstanding voting power as of January 22, 2024, in the same proportion as the vote of all holders (excluding the Investors) of the Series B-4 Convertible Preferred Stock or the Common Stock, as applicable. The Voting Agreement will automatically take effect as of the Closing, and the existing voting agreement relating to the Series B-3 Convertible Preferred Stock will be automatically terminated.\n\nAlso in connection with the closing of the Exchange Agreement, the White Hat Funds entered into a Registration Rights Agreement, substantially consistent with the existing agreement relating to the Series B-3 Convertible Preferred Stock, with the Issuer and the other Investors (the \"Registration Rights Agreement\"), pursuant to which the Issuer granted the Investors certain customary registration rights with respect to the shares of Common Stock issued and issuable upon conversion of Series B-4 Convertible Preferred Stock and upon exercise of Warrants, including the warrants issued in substitution for the Series B-4 Convertible Preferred Stock in certain circumstances (described below). The Registration Rights Agreement will become effective automatically as of the Closing and the Existing Registration Rights Agreement will be automatically terminated.\n\nThe foregoing description of the Exchange Agreement, Voting Agreement and Registration Rights Agreement do not purport to be complete and are qualified in their entirety by reference to the full texts of the Exchange Agreement, Form of Voting Agreement and Registration Rights Agreement. For further information regarding the Exchange Agreement, Form of Voting Agreement and Registration Rights Agreement, reference is made to the full texts of the Exchange Agreement, Form of Voting Agreement and Registration Rights Agreement which have been filed as Exhibit 99.22, Exhibit 99.23, and Exhibit 99.24 hereto, respectively and incorporated by reference herein.\n\nExcept for the changes described above, the powers, preferences and rights of the Series B-4 Convertible Preferred Stock are substantially similar as those of the Series B-3 Convertible Preferred Stock, including, without limitation, that the shares of Series B-4 Convertible Preferred Stock are convertible into shares of Common Stock at a conversion price of $7.99 per share of Common Stock (the same as the conversion price of the Series B-3 Convertible Preferred Stock, and subject to the same adjustments).\n\nThe foregoing descriptions of the Exchange Agreement, Series B-4 Certificate of Designations, Warrant, Voting Agreement and Registration Rights Agreement do not purport to be complete and are qualified in their entireties by reference to the full texts of the Subscription and Exchange Agreement, Series B-3 Certificate of Designations, Form of Warrant, Voting Agreement and Registration Rights Agreement. For further information regarding the Subscription and Exchange Agreement, Series B-3 Certificate of Designations, Warrant, Voting Agreement and Registration Rights Agreement reference is made to the texts of the Subscription and Exchange Agreement, Series B-3 Certificate of Designations, Form of Warrant, Form of Voting Agreement and Registration Rights Agreement, which have been filed as Exhibit 99.13 hereto, Exhibit 3.1 of the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission (the \"SEC\") on March 4, 2025, Exhibit 99.14, Exhibit 99.15 and Exhibit 99.16 hereto, respectively, and incorporated by reference herein.The foregoing description of the Series B-4 Convertible Preferred Stock does not purport to be complete and is qualified in its entirety by reference to the form of Certificate of Designations of the Series B-4 Convertible Preferred Stock, which is included in the Exchange Agreement that is filed as Exhibit 10.5 to the Issuer's Current Report on Form 8-K filed with the SEC on June 15, 2026, and incorporated herein by reference, and to the final Certificate of Designations of the Series B-4 Convertible Preferred Stock, which will be filed with a subsequent Current Report on Form 8-K.\n\nLike the Series B-3 Convertible Preferred Stock, the Series B-4 Convertible Preferred Stock will provide for repurchase of the Series B-4 Convertible Preferred Stock at the Company's option or the holders' options upon the occurrence of specified asset sales. Upon the occurrence of such repurchases by an Investor or the Company, the Company will issue to each Investor whose shares of Series B-4 Convertible Preferred Stock were repurchased a warrant to purchase Common Stock (each, a \"Preferred Warrant\", collectively, the \"Preferred Warrants\"). A Preferred Warrant will represent the right to acquire Common Stock, as further described in the Exchange Agreement, for a term of five years and six months from the issuance of such Warrant, in the amount of (x) the aggregate Liquidation Preference of shares of Series B-4 Convertible Preferred Stock purchased by the Company divided by (y) the Conversion Price as of such Optional Repurchase Date or the Optional Call Date, subject to adjustments set forth in the Warrant, and with an initial exercise price equal to the Conversion Price as of such Optional Repurchase Date or the Optional Call Date, as applicable, in each case, subject to adjustments substantially similar to the Series B-4 Convertible Preferred Stock. Capitalized terms used but not defined in this paragraph shall have the meanings ascribed to them in the Exchange Agreement.\n\nThe foregoing description of the Preferred Warrants is not complete and is qualified in its entirety by reference to the full text of the form of the Preferred Warrant. For further information regarding the Preferred Warrants, reference is made to the full text of the form of Preferred Warrants which has been filed as Exhibit 99.25 hereto and incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/23197/000090266426002807/0000902664-26-002807-index.html" }, { "accession_no": "0000038777-26-000174", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-06-15", "filed_date": "2026-06-16", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000174/0000038777-26-000174-index.html" }, { "accession_no": "0002134649-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2079109, "issuer_name": "Veraxa Biotech Holding AG", "issuer_cusip": "H9130A111", "securities_class_title": "Ordinary Shares, par value CHF 100/11325 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-15", "item3_funds_source": "The source of the funding for the Common Shares acquired under the Merger Agreement is more fully described in Item 4 below.", "item4_transaction_purpose": "The Reporting Person acquired the PubCo Ordinary Shares reported herein in connection with the closing of the Business Combination as described in Item 3 above.\n\nThe Reporting Person acquired the PubCo Ordinary Shares for investment purposes. Depending upon overall market conditions, other investment opportunities available to the Reporting Person, the Issuer's financial condition, results of operations, share price and other relevant factors, the Reporting Person may from time to time acquire additional PubCo Ordinary Shares, dispose of all or a portion of the PubCo Ordinary Shares beneficially owned by the Reporting Person, or take any other available courses of action (which may include, without limitation, any plans or proposals described in clauses (a)-(j) of Item 4 of Schedule 13D), in any case in one or more transactions.\n\nThe Reporting Person does not have any present plans or proposals which relate to or would result in any of the actions specified in Item 4(a)-(j) of Schedule 13D, except as described below:\n\nAs described in Item 6 below, the Reporting Person is party to that certain Voting, Support and Lock-Up Agreement among SPAC, the Company, and certain shareholders of the Company (the \"Company Shareholder Support Agreement\"), pursuant to which the Reporting Person agreed, among other things, not to transfer certain PubCo Ordinary Shares for a specified period following the Acquisition Closing, subject to certain exceptions.\n\nIn addition, the Company Shareholders have the right to receive an aggregate of up to 5,000,000 additional PubCo Ordinary Shares (the \"Earnout Shares\") during each of the three fiscal years after the Closing Date, in the event that: (i) the volume-weighted average price (\"VWAP\") of the PubCo Ordinary Shares equals or exceeds $11.00 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2026; (ii) the VWAP equals or exceeds $12.50 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2027; and (iii) the VWAP equals or exceeds $14.00 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2028.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2079109/000213464926000001/0002134649-26-000001-index.html" }, { "accession_no": "0002134549-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2079109, "issuer_name": "Veraxa Biotech Holding AG", "issuer_cusip": "H9130A111", "securities_class_title": "Ordinary Shares, par value CHF 100/11325 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-15", "item3_funds_source": "The source of the funding for the Common Shares acquired under the Merger Agreement is more fully described in Item 4 below.", "item4_transaction_purpose": "The Reporting Person acquired the PubCo Ordinary Shares reported herein in connection with the closing of the Business Combination as described in Item 3 above.\n\nThe Reporting Person acquired the PubCo Ordinary Shares for investment purposes. Depending upon overall market conditions, other investment opportunities available to the Reporting Person, the Issuer's financial condition, results of operations, share price and other relevant factors, the Reporting Person may from time to time acquire additional PubCo Ordinary Shares, dispose of all or a portion of the PubCo Ordinary Shares beneficially owned by the Reporting Person, or take any other available courses of action (which may include, without limitation, any plans or proposals described in clauses (a)-(j) of Item 4 of Schedule 13D), in any case in one or more transactions.\n\nThe Reporting Person does not have any present plans or proposals which relate to or would result in any of the actions specified in Item 4(a)-(j) of Schedule 13D, except as described below:\nAs described in Item 6 below, the Reporting Person is party to that certain Voting, Support and Lock-Up Agreement among SPAC, the Company, and certain shareholders of the Company (the \"Company Shareholder Support Agreement\"), pursuant to which the Reporting Person agreed, among other things, not to transfer certain PubCo Ordinary Shares for a specified period following the Acquisition Closing, subject to certain exceptions.\n\nIn addition, the Company Shareholders have the right to receive an aggregate of up to 5,000,000 additional PubCo Ordinary Shares (the \"Earnout Shares\") during each of the three fiscal years after the Closing Date, in the event that: (i) the volume-weighted average price (\"VWAP\") of the PubCo Ordinary Shares equals or exceeds $11.00 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2026; (ii) the VWAP equals or exceeds $12.50 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2027; and (iii) the VWAP equals or exceeds $14.00 for 20 trading days during any 30 consecutive trading day period prior to December 31, 2028.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2079109/000213454926000001/0002134549-26-000001-index.html" }, { "accession_no": "0001654954-26-005973", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1082733, "issuer_name": "Visium Technologies, Inc.", "issuer_cusip": "92836G309", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-08", "filed_date": "2026-06-15", "item3_funds_source": "The beneficial ownership reported in the Original Schedule 13D was acquired in connection with the Reporting Person's appointment as an officer and director of the Issuer and the transactions contemplated by the non-binding letter of intent (the \"LOI\") with ConnexUS AI. As described in Items 4 and 5 below, that transaction has been terminated and the Reporting Person no longer beneficially owns any shares.", "item4_transaction_purpose": "The Reporting Person acquired the shares of Common Stock reported in the Original Schedule 13D in connection with his appointment as Chief Operating Officer and Chief Technology Officer of the Issuer and the proposed transactions under the LOI with ConnexUS AI.\r \r On or about June 8, 2026, the Issuer and ConnexUS AI entered into a Mutual Release, Settlement, and Termination Agreement (the \"Release Agreement\") that terminated the LOI in its entirety. Concurrently with the execution of the Release Agreement, the Reporting Person resigned from any and all officer, director, employee, consultant, and other positions with the Issuer, effective immediately. Pursuant to the terms of the Release Agreement and the resignation, the Reporting Person no longer beneficially owns any shares of the Issuer's Common Stock. The Release Agreement provides for mutual general releases of all claims arising out of or relating to the LOI and related matters and confirms that there are no further payment, performance, or other obligations between the parties.\r \r The Reporting Person has no present plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D, other than the clean termination and resignation described above. The Reporting Person disclaims any continuing beneficial ownership interest in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1082733/000165495426005973/0001654954-26-005973-index.html" }, { "accession_no": "0001493152-26-028790", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1474627, "issuer_name": "NEWEGG COMMERCE, INC.", "issuer_cusip": "G6483G209", "securities_class_title": "Common Shares, US$0.43696 par value per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "N/A", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated as follows:\n\nThe Reporting Persons acquired the Issuer's Common Shares reported herein as a result of the Merger. On May 12, 2021, Lianluo Smart Ltd (\"LLIT\") held a special shareholder meeting to, among other things, approve the Merger and amendment and restatement of its amended and restated memorandum and articles of association (the \"Amended M&A\"). The Amended M&A was filed with the Registrar of Corporate Affairs of the British Virgin Islands on May 14, 2021 and became effective on the same date. The Merger became effective as of May 19, 2021. As a result of the Merger, the Common Shares of the Issuer trade on the NASDAQ Capital Market under the stock symbol \"NEGG\".\n\nAt the effective time of the Merger, each share of the capital stock of the Issuer that was issued and outstanding immediately prior to the effective time of the merger was converted into the right to receive 5.8417 common shares of LLIT (the \"exchange ratio\"), plus the right, if any, to receive cash in lieu of fractional shares of LLIT (the \"merger consideration\"). The exchange ratio was equal to the Issuer's per share value divided by LLIT's per share value. The Issuer's per share value was equal to $880,000,000 divided by the number of outstanding Issuer's shares on October 23, 2020. LLIT's per share value was equal to (i) the volume-weighted average trading price of LLIT's Class A common shares for the consecutive twenty (20) trading days immediately prior to and including October 16, 2020, as adjusted for a 1-to-8 reverse stock split effective on the date of merger agreement minus (ii) (A) $3,500,000 deposited in the escrow account divided by (B) the number of LLIT's Class A common shares and Class B common shares issued and outstanding on the date of merger agreement, after giving effect to such reverse stock split.\n\nReference is made to Item 6 of this Amendment No. 3, which is incorporated herein by reference. The 11,141,079 Common Shares held by Digital Grid (the \"Pledged Shares\") have been pledged by Digital Grid to Bank of China as collateral to support certain Loans. On or about June 11, 2026, Hangzhou Lianluo, Digital Grid, Bank of China, and Hangzhou Gaochi Information Consulting Co., Ltd., as the Guarantor (the \"Guarantor\"), entered into the Judgment Enforcement Guarantee Agreement (the \"Cash Guarantee Agreement\"), whereby the Guarantor will pledge RMB 5,000,000 as cash guarantee of the Loans in favor of Bank of China, and upon Bank of China's consent to remove the pledge-related restrictive legends from a certain number of the Pledged Shares, Digital Grid will dispose of such number of Pledged Shares pursuant to Rule 144 and use the proceeds from such sale to pay down the Loans that the Reporting Persons owe to Bank of China. Other than those possible dispositions described in Item 6, each of the Reporting Persons has no plans or proposals which would result in any disposition of the Common Shares or acquisition of additional Common Shares, except that from time to time, Mr. Zhitao He may acquire Common Shares pursuant to equity awards granted to him, as a director of the Issuer, by the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1474627/000149315226028790/0001493152-26-028790-index.html" }, { "accession_no": "0001493152-26-028736", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2090646, "issuer_name": "BOOST RUN INC.", "issuer_cusip": "09940T100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-12", "filed_date": "2026-06-15", "item3_funds_source": "Pursuant to the Transfer Agreement dated September 15, 2025 (the \"Transfer Agreement\"), between Willow Lane Sponsor, LLC (the \"Sponsor\") and the SPV, the SPV purchased from the Sponsor 1,272,885 Founder Shares (representing 27.5% of the Sponsor's 4,628,674 Founder Shares) and 1,101,986 Private Placement Warrants (the \"Private Warrants\") (representing 27.5% of the Sponsor's 4,007,222 Private Warrants) at a purchase price of $1.75 per Founder Share, for an aggregate purchase price of $2,227,548.75.\n\nUpon the closing of the business combination (the \"Business Combination\") between Willow Lane Acquisition Corp. and Boost Run Holdings, LLC on May 8, 2026, the Founder Shares converted on a one-for-one basis into shares of Class A Common Stock of the Company. Following distributions from the Sponsor to its members and the direct transfer on June 10, 2026, the SPV held 2,065,385 shares of Class A Common Stock and 1,101,986 Private Warrants. On June 11, 2026, the SPV received 1,968,750 SPV Earnout Shares pursuant to the Earnout Agreement. As of the date hereof, the SPV holds 4,034,135 shares of Class A Common Stock and 1,101,986 Private Warrants.", "item4_transaction_purpose": "The SPV acquired its securities pursuant to the Transfer Agreement in connection with the Business Combination.\n\nOn June 10, 2026, the transfer of 1,272,885 shares of Class A Common Stock and 1,101,986 Private Warrants from the Sponsor to the SPV was completed. In connection with this transfer, the Company instructed Continental Stock Transfer & Trust Company, the Company's transfer agent, to remove the escrow legend from the transferred securities and to deliver such securities to the SPV bearing the Insider Letter Agreement legend and the Rule 144 affiliate legend.\n\nMr. Goodrich serves as a non-employee member of the Board of Directors of Boost Run Inc.\n\nAs a director of the Company, Mr. Goodrich may have influence over the corporate activities of the Company, including activities which may relate to the transactions described in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nPursuant to the Earnout Agreement dated September 15, 2025 (the \"Earnout Agreement\"), the SPV was entitled to earn up to 1,968,750 additional shares of Class A Common Stock (\"SPV Earnout Shares\") based upon the Class A Common Stock achieving volume-weighted average price (\"VWAP\") performance thresholds of $12.50, $15.00, and $17.50 per share during the three-year Earnout Period following the closing of the Business Combination. On June 11, 2026, all 1,968,750 SPV Earnout Shares were issued to the SPV.\n\nThe Private Warrants held by the SPV contain a 4.9% (or 9.8% at the holder's election) beneficial ownership limitation, restricting exercise to the extent that exercise would cause the holder's beneficial ownership to exceed such threshold.\n\nThe Reporting Persons may from time to time acquire additional securities of the Company, or sell or otherwise dispose of securities of the Company, in open market transactions, in privately negotiated transactions, or otherwise, in any manner permitted by applicable law.\n\nExcept as set forth herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons reserve the right to develop such plans or proposals in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2090646/000149315226028736/0001493152-26-028736-index.html" }, { "accession_no": "0001493152-26-028729", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2090646, "issuer_name": "BOOST RUN INC.", "issuer_cusip": "09940T100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-12", "filed_date": "2026-06-15", "item3_funds_source": "The Sponsor originally acquired 4,628,674 shares of Willow Lane Class B Common Stock (the \"Founder Shares\") for approximately $25,000 (approximately $0.005 per share) in connection with the formation of Willow Lane Acquisition Corp. In addition, the Sponsor purchased 4,007,222 Private Placement Warrants (the \"Private Warrants\") at a price of $1.00 per warrant, for an aggregate purchase price of $4,007,222, in connection with the initial public offering of the SPAC.\n\nOn September 15, 2025, the Sponsor entered into a Transfer Agreement (the \"Transfer Agreement\") with Goodrich ILMJS LLC (the \"SPV\"), pursuant to which the SPV purchased from the Sponsor 1,272,885 Founder Shares (representing 27.5% of 4,628,674 Founder Shares) and 1,101,986 Private Warrants (representing 27.5% of 4,007,222 Private Warrants) at a purchase price of $1.75 per Founder Share, for an aggregate purchase price of $2,227,548.75.\n\nUpon the closing of the Business Combination on May 8, 2026, the Founder Shares converted on a one-for-one basis into shares of Class A Common Stock of the Company. Following distributions from the Sponsor to its members and the transfer to the SPV, the Sponsor retains 913,632 shares of Class A Common Stock and 2,905,236 Private Warrants. Mr. Weil's direct holdings following distributions are 913,632 shares of Class A Common Stock.\n\nIn addition, pursuant to the Consulting Agreement dated January 13, 2026 (the \"Weil Consulting Agreement\"), between Boost Run Inc. and Mr. Weil, Mr. Weil may receive up to 336,000 shares of Class A Common Stock, subject to vesting based upon the Company's Class A Common Stock achieving volume-weighted average price (\"VWAP\") thresholds of $12.00, $14.50, and $17.50 per share (112,000 shares per tranche).", "item4_transaction_purpose": "The Reporting Persons acquired their securities in connection with the formation and initial public offering of Willow Lane Acquisition Corp. and the subsequent business combination (the \"Business Combination\") between Willow Lane Acquisition Corp. and Boost Run Holdings, LLC, which closed on May 8, 2026.\n\nOn June 9, 2026, the Sponsor transferred 1,272,885 shares of Class A Common Stock and 1,101,986 Private Warrants to the SPV pursuant to the Transfer Agreement. In connection with this transfer, the Company instructed Continental Stock Transfer & Trust Company, the Company's transfer agent, to remove the escrow legend from the transferred securities and to deliver such securities to the SPV bearing the Insider Letter Agreement legend and the Rule 144 affiliate legend.\n\nMr. Weil serves as a member of the Board of Directors of the Company.\n\nPursuant to the Weil Consulting Agreement, Mr. Weil provides advice on business strategy and corporate governance matters and uses his reasonable efforts to introduce the Company to potential clients and investors.\n\nMr. Weil, as a director and consultant to the Company, may have influence over the corporate activities of the Company, including activities which may relate to the transactions described in clauses (a) through (j) of Item 4 of Schedule 13D.\n\nThe Reporting Persons may from time to time acquire additional securities of the Company, or sell or otherwise dispose of securities of the Company, in open market transactions, in privately negotiated transactions, or otherwise, in any manner permitted by applicable law.\n\nExcept as set forth herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons reserve the right to develop such plans or proposals in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2090646/000149315226028729/0001493152-26-028729-index.html" }, { "accession_no": "0001493152-26-028722", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 80172, "issuer_name": "NATIONAL PRESTO INDUSTRIES INC", "issuer_cusip": "637215104", "securities_class_title": "Common Stock, $1 par value", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and restated in its entirety to read as follows:\n\nThe 287,034 shares of Common Stock currently beneficially owned by the Reporting Persons were purchased by the applicable Reporting Persons for a total purchase price of approximately $26.4 million, including commissions. All of such funds were derived from capital contributions to the Fund. No funds are being borrowed by the Reporting Persons to fund the acquisition of the shares of the Issuer's Common Stock, although the Reporting Persons may borrow funds in the future and may pledge any or all of such shares as collateral against such borrowings.", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and restated in its entirety to read as follows:\n\nThe response to Item 3 of this Amendment is incorporated herein by reference. The Reporting Persons initially acquired 362,250 shares of Common Stock over which they exercised beneficial ownership in the belief that the shares of Common Stock were undervalued and were an attractive investment opportunity. Subsequent to that initial acquisition, the Reporting Persons acquired approximately 33,000 additional shares of Common Stock in the open market, with the last such purchase occurring in January 2026, bringing the Reporting Persons' aggregate beneficial ownership to 395,080 shares of Common Stock at that time. The Reporting Persons intended to engage, and did engage, in discussions with the Issuer regarding strategy, including a meeting with the Issuer in late March 2026.\n\nThe Reporting Persons thereafter sold a portion of their shares of Common Stock in the open market. Such transactions are included herein on Exhibit A.\n\nExcept as stated in response to this Item 4, the Reporting Persons have no current plans or proposals with respect to the Issuer or its securities enumerated in subparagraphs (a) - (j) of this Item 4 to Schedule 13D promulgated under the Act. Notwithstanding the foregoing, the Reporting Persons may determine, from time to time in the future, based on market and general economic conditions, the business affairs and financial conditions of the Issuer, the capital requirements of the Fund (or other Reporting Persons), the availability of securities at favorable prices and other alternative investment opportunities available to the Reporting Persons, and other factors that the Reporting Persons may deem relevant, to acquire additional shares of Common Stock and/or other equity, debt, notes, instruments or other securities of the Issuer (collectively, \"Securities\") in the open market, in privately negotiated transactions, or otherwise, or to sell some or all of the Securities they now hold or hereafter acquire as set forth above or otherwise. The Reporting Persons reserve the right to change their intention with respect to, and pursue plans or proposals that relate to or could result in, any and all matters referred to in subparagraphs (a) - (j) of this Item 4 to Schedule 13D promulgated under the Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/80172/000149315226028722/0001493152-26-028722-index.html" }, { "accession_no": "0001493152-26-028689", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1881472, "issuer_name": "Magic Empire Global Ltd", "issuer_cusip": "G5865E121", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nOn May 22, 2026, the Reporting Person entered into a share purchase agreement (the \"Share Purchase Agreement\") pursuant to which the Report Person sold an aggregate of 640,750 class A ordinary shares with no par value and 400,000 Class B ordinary shares with no par value of the Issuer. The Closing of the Share Purchase Agreement was on June 11, 2026. The foregoing descriptions of the Share Purchase Agreement do not purport to be complete and are qualified in their entirety by reference to the Share Purchase Agreement, which is attached as Exhibit 99.1 hereto, and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1881472/000149315226028689/0001493152-26-028689-index.html" }, { "accession_no": "0001493152-26-028688", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1881472, "issuer_name": "Magic Empire Global Limited", "issuer_cusip": "G5865E121", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nOn May 22, 2026, the Reporting Person entered into a share purchase agreement (the \"Share Purchase Agreement\") pursuant to which the Report Person sold an aggregate of 997,500 class A ordinary shares with no par value and 600,000 Class B ordinary shares with no par value of the Issuer. The Closing of the Share Purchase Agreement was on June 11, 2026. The foregoing descriptions of the Share Purchase Agreement do not purport to be complete and are qualified in their entirety by reference to the Share Purchase Agreement, which is attached as Exhibit 99.1 hereto, and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1881472/000149315226028688/0001493152-26-028688-index.html" }, { "accession_no": "0001437749-26-020692", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1053691, "issuer_name": "CervoMed Inc.", "issuer_cusip": "15713L109", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "1. Item 3 of the Schedule 13D is hereby amended and restated in its entirety as follows:\n\nMerger Shares & Pre-Funded Warrants\n\nAs more fully described in Items 4 and 6 below, on March 30, 2023, the Issuer, Dawn Merger Sub, Inc., a Delaware corporation and a wholly-owned subsidiary of the Issuer (\"Merger Sub\"), and EIP Pharma, Inc., a Delaware corporation (\"EIP\"), entered into an Agreement and Plan of Merger (as amended from time to time, the \"Merger Agreement\"), pursuant to which, among other things, and subject to the satisfaction or waiver of certain conditions set forth in the Merger Agreement, at the effective time of the merger (the \"Effective Time\"), Merger Sub merged with and into EIP, with EIP continuing as a wholly-owned subsidiary of Issuer and the surviving corporation of the merger (the \"Merger\"). The closing of the Merger occurred on August 16, 2023 (the \"Closing Date\") and, at the Effective Time, the Issuer filed an amendment to its certificate of incorporation to change its name from \"Diffusion Pharmaceuticals Inc.\" to \"CervoMed Inc.\"\n\nPursuant to the terms of the Merger Agreement, effective as of the Closing Date and after giving effect to the Merger exchange ratio of 0.1151 shares of Common Stock for each share of EIP capital stock and a 1-for-1.5 reverse stock split of the Common Stock implemented by the Issuer immediately prior to the Effective Time:\n\n- 823,407 shares of EIP common stock, 694,652 shares of EIP Series A-2 preferred stock, and 365,670 shares of EIP common stock issued upon conversion of EIP convertible notes, in each case, owned directly by the Reporting Person converted into the right to receive, in the aggregate, 216,817 shares of Common Stock.\n\n- 472,303 shares of EIP common stock and 820,000 shares of EIP common stock issued upon conversion of EIP convertible notes, in each case, owned by The Joshua S. Boger 2021 Trust DTD 12/09/2021 (the \"JSB 2021 Trust\") converted into the right to receive, in the aggregate, 148,744 shares of Common Stock. The Reporting Person is the sole trustee of the JSB 2021 Trust.\n\n- 1,700,680 shares of EIP common stock issued upon conversion of EIP convertible notes owned by The Amy S. Boger 2021 Trust (the \"ASB 2021 Trust\") converted into the right to receive, in the aggregate, 195,748 shares of Common Stock. The Reporting Person is the sole trustee of the ASB 2021 Trust.\n\n- 3,428,571 shares of EIP Series B preferred stock and 880,689 shares of EIP common stock issued upon conversion of EIP convertible notes, in each case, owned by the JSB 2021 Trust converted into the right to receive a pre-funded warrant to purchase, in the aggregate, 495,995 shares of Common Stock at an exercise price of $0.001 per share (the \"Pre-Funded Warrant\").\n\nThe Pre-Funded Warrant was originally subject to certain limitations with respect to any exercise that would result in the Reporting Person beneficially owning in excess of 9.99% of the outstanding Common Stock after giving effect to such exercise and, accordingly, were excluded from the Reporting Person's beneficial ownership.\n\nOn February 26, 2024, the Issuer and the JSB 2021 Trust entered into an amendment (the \"Warrant Amendment\") to the Pre-Funded Warrant pursuant to which the parties eliminated the beneficial ownership limitation. On February 26, 2024, following the effectiveness of the Warrant Amendment, the Pre-Funded Warrant was exercised in full on a cashless basis. In accordance with the terms of the Pre-Funded Warrant, 36 shares of Common Stock were withheld in lieu of a cash payment of the exercise price and the JSB 2021 Trust was issued the remaining 495,959 shares of Common Stock underlying the Pre-Funded Warrant.\n\nStock Options\n\nEffective as of February 7, 2024, the Reporting Person was appointed as a member and the non-executive chairperson (the \"Chair\") of the board of directors of the Issuer (the \"Board\"). In connection with the Reporting Person's service on the Board and pursuant to the Issuer's non-employee director compensation program and the terms of the Issuer's form of stock option agreement (the \"Option Agreement\"), the Reporting Person has been granted stock options to purchase, in the aggregate, 32,000 shares of Common Stock, of which 23,541 shares are exercisable within 60 days of June 11, 2026.\n\n2026 Private Placement\n\nOn June 11, 2026, the Issuer completed a private placement (the \"Private Placement\") pursuant to a securities purchase agreement, dated June 9, 2026 (the \"Purchase Agreement\"), with the JSB 2021 Trust, and certain other accredited investors named therein. Pursuant to the Purchase Agreement, the JSB 2021 Trust purchased an aggregate of 955,414 units (the \"Units\"), each Unit comprised of (i) one share of the Issuer's Common Stock, (ii) one Series B warrant to purchase one share of Common Stock or a pre-funded warrant to purchase one share of Common Stock (each, a \"Series B Warrant\"), and (iii) one Series C warrant to purchase one share of Common Stock or a pre-funded warrant to purchase one share of Common Stock (each, a \"Series C Warrant\", and together with the Series B Warrants, the \"Warrants\") (the shares of Common Stock issuable upon exercise of the Warrants or any pre-funded warrants, the \"Warrant Shares\") for a purchase price of $3.14 per Unit. The Series B Warrants have an exercise price equal to $3.32 per Warrant Share or $3.319 per pre-funded warrant, are exercisable immediately, and will expire five years from the issuance date of the Series B Warrant. The Series C Warrants have an exercise price equal to $3.14 per Warrant Share or $3.139 per pre-funded warrant, are exercisable immediately, and will expire one year from the issuance date of the Series C Warrant. Under the terms of the Series B Warrants and the Series C Warrants, the Issuer may not effect the exercise of any portion thereof, and the JSB 2021 Trust will not have the right to exercise any portion thereof, which, upon giving effect to such exercise, would cause the JSB 2021 Trust (together with its affiliates and other attribution parties) to own more than 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise. To the extent that exercise of the Series B Warrants or Series C Warrants will result in the JSB 2021 Trust (together with its affiliates and other attribution parties) beneficially owning shares of Common Stock above such ownership limitations, the JSB 2021 Trust may exercise its Series B Warrants or Series C Warrants for pre-funded warrants to purchase shares of Common Stock, which pre-funded warrants will include a substantially similar maximum ownership limitation.\n\nThe foregoing descriptions of the Merger Agreement, the Pre-Funded Warrant, the Warrant Amendment, the Option Agreement, the Purchase Agreement, the Series B Warrant, and the Series C Warrant are qualified in their entirety by reference to the full text thereof, copies of which are filed as exhibits to this Schedule 13D and incorporated herein by reference.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1053691/000143774926020692/0001437749-26-020692-index.html" }, { "accession_no": "0001437749-26-020667", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1532619, "issuer_name": "Power REIT", "issuer_cusip": "73933H200", "securities_class_title": "Series A Cumulative Redeemable Perpetual Preferred Stock Liquidation Preference $25 per Share", "date_of_event": "2026-06-15", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1532619/000143774926020667/0001437749-26-020667-index.html" }, { "accession_no": "0001418812-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2078416, "issuer_name": "Liberty Live Holdings, Inc.", "issuer_cusip": "530909100", "securities_class_title": "Series A Liberty Live Group Common Stock", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2078416/000141881226000002/0001418812-26-000002-index.html" }, { "accession_no": "0001398344-26-010825", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1574085, "issuer_name": "Braemar Hotels & Resorts Inc.", "issuer_cusip": "10482B101", "securities_class_title": "Common Stock", "date_of_event": "2026-06-15", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\nOn June 15, 2026, the Reporting Persons issued a press release regarding an open letter (the \"June 15, 2026 letter\") the Reporting Persons sent to the outside members of the Board of the Issuer. In the June 15, 2026 letter, the Reporting Persons expressed their objection to the Board's decision to sell three hotel properties, which triggered a $480 million fee payable to Ashford, an entity controlled by Braemar's Chair, Monty Bennett.\nAdditionally, the Reporting Persons expressed their intent to pursue all available legal avenues to address what they view as Mr. Bennett's brazen self-dealing. The Reporting Persons further reiterated their intent to nominate candidates for election to the Board at the 2026 Annual Meeting and called on the remaining outside directors to promptly call the 2026 Annual Meeting and allow shareholders to elect directors of their choosing.\nThe foregoing summary of the June 15, 2026 letter does not purport to be complete and is subject to, and qualified in its entirety by, the June 15, 2026 letter, a copy of which is attached here as Exhibit 10 and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574085/000139834426010825/0001398344-26-010825-index.html" }, { "accession_no": "0001346824-26-000175", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1785530, "issuer_name": "WEREWOLF THERAPEUTICS, INC.", "issuer_cusip": "95075A107", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1785530/000134682426000175/0001346824-26-000175-index.html" }, { "accession_no": "0001346824-26-000173", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1817241, "issuer_name": "ARTIVA BIOTHERAPEUTICS, INC.", "issuer_cusip": "04317A107", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "On June 9, 2026, the Fund purchased an aggregate of 479,039 shares of common stock in open market transactions at prices ranging from $6.77 to $7.00 (weighted average sales price of $6.91 per share).\n\nOn June 10, 2026, the Fund purchased 103 shares of common stock in a single open market transaction at a price of $7.00 per share.\n\nOn June 11, 2026, the Fund purchased an aggregate of 548,580 shares of common stock in open market transactions at prices ranging from $7.605 to $8.00 (weighted average sales price of $7.91 per share).\n\nOn June 12 2026, the Fund purchased an aggregate of 391,019 shares of common stock in open market transactions at prices ranging from $8.31 to $8.64 (weighted average sales price of $8.57 per share).\n\nOn June 15 2026, the Fund purchased an aggregate of 15,414 shares of common stock in open market transactions at prices ranging from $8.96 to $9.00 (weighted average sales price of $8.99 per share).\n\nAll purchases of the securities described above were for cash and were funded by working capital of the Fund.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1817241/000134682426000173/0001346824-26-000173-index.html" }, { "accession_no": "0001214659-26-007483", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1286613, "issuer_name": "Lincoln Educational Services Corporation", "issuer_cusip": "533535100", "securities_class_title": "Common Stock, no par value per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "Item 3 is hereby amended and supplemented by adding the following information:As of the date hereof, the Reporting Persons are deemed to beneficially own the Subject Shares as detailed in Items 1 and 5.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by adding the following information.Between February 27, 2026, and June 12, 2026, Juniper Targeted Opportunity Fund, L.P. sold 355,345 shares at an aggregate sale price of approximately $15,580,130, which includes brokerage commissions, in the open market. John A. Bartholdson received an award of 3,515 shares of Restricted Stock valued at $155,000 on May 7, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1286613/000121465926007483/0001214659-26-007483-index.html" }, { "accession_no": "0001213900-26-068526", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1916331, "issuer_name": "Neo-Concept International Group Holdings Ltd", "issuer_cusip": "G6421C138", "securities_class_title": "Ordinary shares, par value $0.0025 per share", "date_of_event": "2026-05-29", "filed_date": "2026-06-15", "item3_funds_source": "Ms. Eva Yuk Yin Siu, the chairlady of the Board, Chief Executive Officer, and a Director of the Company, owns the entire issued share capital of Asset Empire International Limited. Asset Empire International Limited, a company incorporated in the BVI with limited liability, holds 87.71% of the issued shares of Splendid Vibe Limited. Splendid Vibe Limited, a company incorporated in the BVI with limited liability, owns the entire issued share capital of Ample Excellence Limited and Neo-Concept (BVI) Limited.\n\nNeo-Concept (BVI), a company incorporated in the BVI with limited liability, was allotted 1,000,000 Ordinary Shares on October 29, 2021 for $nil consideration. On February 16, 2022, the Issuer allotted an additional 10,250,000 Ordinary Shares for a consideration of US$1,025.00 to Neo-Concept (BVI). Subsequently, on March 8, 2022, Neo-Concept (BVI) transferred 561,375 Ordinary Shares and 337,500 Ordinary Shares to Au Lai Ming and Chan Kim Sun, respectively, for a consideration of HK$4,990,000.00 and HK$3,000,000, respectively. On March 8, 2022, Neo-Concept (BVI) transferred 1,125,00 shares to Ample Excellence for $nil consideration, and subsequently held 9,226,125 Ordinary Shares of the Issuer. On July 14, 2023, following a share subdivision by the Issuer, Neo-Concept (BVI) held 14,761,800 Ordinary Shares of the Issuer. As at 3 March 2025, Neo-Concept (BVI) held 11,761,800 Class A Ordinary Shares and 3,000,000 Class B Ordinary Shares of the Issuer following the re-designation of Ordinary Shares into dual class Ordinary Shares. As at 18 May 2026, Neo-Concept (BVI) held 294,045 Class A Ordinary Shares and 75,000 Class B Ordinary Shares following a share subdivision by the Issuer. As at 29 May 2026, Neo-Concept (BVI) disposed of its entire shareholding in the Company for a consideration of US$3,221,700.\n\nAmple Excellence, a company incorporated in the BVI with limited liability, received 1,125,000 Ordinary Shares of the Issuer from Neo-Concept (BVI) for $Nil consideration on March 8, 2022. On July 14, 2023, following a share subdivision by the Issuer, Ample Excellence held 1,800,000 Ordinary Shares of the Issuer. On 3 Mar 2025,following a share re-designation by the Issuer, Ample Excellence held 1,800,000 Class A Ordinary Shares of the Issuer. As at 18 May 2026, Neo-Concept (BVI) held 45,000 Class A Ordinary Share following a share subdivision by the Issuer. As at 29 May 2026, Neo-Concept (BVI) disposed of its entire shareholding in the Company for a consideration of US$392,800.", "item4_transaction_purpose": "The Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Person, at any time, and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans and may seek to influence management of the Issuer or the Board of Directors with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer, or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1916331/000121390026068526/0001213900-26-068526-index.html" }, { "accession_no": "0001213900-26-068497", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2105274, "issuer_name": "InterPrivate Investment Partners V, Inc.", "issuer_cusip": "G49097101", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-06-05", "filed_date": "2026-06-15", "item3_funds_source": "The source of the funds used by the reporting persons to acquire the ordinary shares reported on this Schedule 13D was working capital. See also Item 4 of this Schedule 13D, which information is incorporated herein by reference.", "item4_transaction_purpose": "On December 10, 2025, the Issuer issued an aggregate of 5,031,250 Class B ordinary shares to Sponsor for an aggregate purchase price of $25,000. On June 5, 2026, the Issuer consummated its initial public offering (\"IPO\") and in connection with the consummation of the IPO, Sponsor purchased an aggregate of 365,000 units for an aggregate purchase price of $3,650,000, and the underwriters purchased 175,000 units at $10.00 per unit for an aggregate purchase price of $1,750,000. Each private unit purchased was comprised of one Class A ordinary share of the Issuer and one-third of one Warrant with each whole Warrant exercisable to purchase one Class A ordinary share at an exercise price of $11.50. The reporting persons made the acquisitions reported in this Schedule 13D as sponsor and officer and director of the Issuer and in support of the Issuer's business plan. The reporting persons may acquire or dispose of additional securities or sell securities of the Issuer from time to time in the market or in private transactions, including as a result of ownership of the rights referred to above. However, reporting persons do not have any other agreements to acquire additional ordinary shares at this time. As Chairmen and Chief Executive Officers of the Issuer, Mr. Fattouh is involved in making material business decisions regarding the Issuer's policies and practices and may be involved in the consideration of various proposals considered by the Issuer's board of directors. Additionally, as the Issuer's business plan is to enter into a business combination, Mr. Fattouh as Chairmen and Chief Executive Officers of the Issuer, is actively involved in pursuing a suitable target for the Issuer's business combination and will be actively involved in effecting any such business combination if the Issuer's business plan is successful, which may also result in a change in the Issuer's board of directors, corporate structure or charter.\n\nAs of the date of this Schedule 13D, except as set forth in this Schedule 13D above, the reporting persons do not have any plans or proposals which would result in:\n\n(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n(c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries;\n(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of the board of directors or management of the Issuer;\n(e) Any material change in the present capitalization or dividend policy of the Issuer;\n(f) Any other material change in the Issuer's business or corporate structure;\n(g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;\n(h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n(j) Any action similar to any of those actions enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2105274/000121390026068497/0001213900-26-068497-index.html" }, { "accession_no": "0001193125-26-271097", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1617640, "issuer_name": "Zillow Group, Inc.", "issuer_cusip": "98954M101", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1617640/000119312526271097/0001193125-26-271097-index.html" }, { "accession_no": "0001104659-26-074089", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1651308, "issuer_name": "BeOne Medicines Ltd.", "issuer_cusip": "07725L102", "securities_class_title": "Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "Item 3 of this Schedule 13D is supplemented and amended, as the case may be, as follows:\n\nThis Amendment No. 13 to Schedule 13D amends and supplements the previously filed Schedules 13D for BeiGene, Ltd. (the \"Issuer\") filed by Baker Bros. Advisors LP (the \"Adviser\"), Baker Bros. Advisors (GP) LLC (the \"Adviser GP\"), Julian C. Baker, Felix J. Baker and FBB3 LLC (\"FBB3\") (collectively, the \"Reporting Persons\"). Except as supplemented herein, such statements, as heretofore amended and supplemented, remain in full force and effect.\n\nThe Adviser GP is the sole general partner of the Adviser. Pursuant to the management agreements, as amended, among the Adviser, Baker Brothers Life Sciences, L.P. (\"Life Sciences\") and 667, L.P. (\"667\", and together with Life Sciences, the \"Funds\"), and their respective general partners, the Funds' respective general partners relinquished to the Adviser all discretion and authority with respect to the investment and voting power over securities held by the Funds, and thus the Adviser has complete and unlimited discretion and authority with respect to the Funds' investments and voting power over investments. The disclosure in Item 4 below is incorporated herein by reference.\n\nThe Reporting Persons may in the ordinary course of business hold securities in margin accounts maintained for the Funds with prime brokers, which extend margin credit as and when required, subject to applicable margin regulations, stock exchange rules and such firms' credit policies. Positions in securities may be pledged as collateral security for the repayment of debit balances in such accounts.", "item4_transaction_purpose": "On June 11, 2026, Felix J. Baker, Ph.D., a managing member of the Adviser GP, was elected to the board of directors of the Issuer (the \"Board\") to serve as a director of the Issuer until the completion of the Issuer's 2027 annual general meeting of shareholders, subject to his earlier resignation or removal. Dr. Baker serves as the Lead Director of the Issuer. Michael Goller and Ranjeev Krishana, both previous directors of the Issuer and both of whom are employees of the Adviser, did not stand for re-election to the Board, and as a result their service on the Board automatically expired on June 11, 2026, the date of the Issuer's 2026 annual general meeting of shareholders. In conjunction with his election to the Board, Felix J. Baker was granted 18,980 restricted share units that vest solely into Ordinary Shares (each, an \"RSU\") on the earlier to occur of the first anniversary of the grant date or the date of the next annual general meeting of the Issuer, provided, however, that all vesting of such RSUs will cease if Dr. Baker resigns from the Board or otherwise ceases to serve as a director, unless the Board determines otherwise.\n\nThe Funds hold securities of the Issuer for investment purposes. The Reporting Persons or their affiliates may purchase additional securities or dispose of securities in varying amounts and at varying times depending upon the Reporting Persons' continuing assessments of pertinent factors, including the availability of ADS or Ordinary Shares or other securities for purchase at particular price levels, the business prospects of the Issuer, other business investment opportunities, economic conditions, stock market conditions, money market conditions, the attitudes and actions of the Board and management of the Issuer, the availability and nature of opportunities to dispose of securities of the Issuer and other plans and requirements of the particular entities. The Reporting Persons may discuss items of mutual interest with the Issuer's management and other investors, which could include items in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nDepending upon their assessments of the above factors, the Reporting Persons or their affiliates may change their present intentions as stated above and they may assess whether to make suggestions to the management of the Issuer regarding financing, and whether to acquire additional securities of the Issuer, including ADS or Ordinary Shares (by means of open market purchases, privately negotiated purchases, exercise of some or all of the options to purchase Ordinary Shares (\"Share Options\"), vesting of RSUs or otherwise) or to dispose of some or all of the securities of the Issuer, including ADS or Ordinary Shares, under their control.\n\nExcept as otherwise disclosed herein, at the present time, the Reporting Persons do not have any plans or proposals with respect to any extraordinary corporate transaction involving the Issuer including, without limitation, those matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1651308/000110465926074089/0001104659-26-074089-index.html" }, { "accession_no": "0001104659-26-073827", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1818382, "issuer_name": "HUMACYTE, INC.", "issuer_cusip": "020751103", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1818382/000110465926073827/0001104659-26-073827-index.html" }, { "accession_no": "0001062993-26-003215", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1260729, "issuer_name": "The Gabelli Dividend & Income Trust", "issuer_cusip": "36242H104", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $107,729,314 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1260729/000106299326003215/0001062993-26-003215-index.html" }, { "accession_no": "0000947871-26-000624", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1680367, "issuer_name": "Shattuck Labs, Inc.", "issuer_cusip": "82024L103", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "On August 4, 2025, the Issuer entered into a securities purchase agreement with certain institutional accredited investors (\"PIPE Investors\"), pursuant to which, the Issuer agreed to issue and sell to the PIPE Investors in a private placement an aggregate of 15,225,158 Shares and, to certain PIPE Investors, pre-funded warrants (the \"2025 Pre-Funded Warrants\") to purchase up to an aggregate of 37,410,188 Shares and, in each case, accompanying warrants (the \"2025 Common Warrants\") to purchase up to an aggregate of 52,635,346 Shares, or in lieu thereof, 2025 Pre-Funded Warrants (the \"PIPE\"). The 2025 Pre-Funded Warrants and 2025 Common Warrants contain an exercise limitation that prohibits the holder from exercising the 2025 Pre-Funded Warrants and 2025 Common Warrants to the extent that after giving effect to such issuance after exercise the holder would beneficially own in excess of 9.99% of the number of Shares outstanding immediately after giving effect to the issuance of the Shares issuable upon exercise of the 2025 Pre-Funded Warrants and 2025 Common Warrants (the \"Blocker\"). The price per Share and accompanying 2025 Common Warrant is $0.8677. The price per 2025 Pre-Funded Warrant and accompanying 2025 Common Warrant is $0.8676. The PIPE closed on August 25, 2025.\n\nIn connection with the PIPE, OrbiMed Private Investments IX, LP (\"OPI IX\"), a limited partnership organized under the laws of Delaware, purchased 5,255,106 Shares and 10,111,384 2025 Pre-Funded Warrants, and also received 15,366,490 2025 Common Warrants and OrbiMed Genesis Master Fund, L.P. (\"Genesis\"), a limited partnership organized under the laws of the Cayman Islands, purchased 1,051,021 Shares and 2,022,277 2025 Pre-Funded Warrants, and also received 3,073,298 2025 Common Warrants. The source of funds for such purchases was the working capital of OPI IX and Genesis.\n\nOn June 8, 2026, the 2025 Common Warrants were exercised and converted into an equal amount of 2025 Pre-Funded Warrants. As a result, OPI IX owns 25,477,874 2025 Pre-Funded Warrants and Genesis owns 5,095,575 2025 Pre-Funded Warrants. The 2025 Pre-Funded Warrants and 2026 Pre-Funded Warrants (as defined below) are collectively referred to as the \"Pre-Funded Warrants\".\n\nOn June 9, 2026, the Issuer announced a public offering of an aggregate of 10,879,376 Shares at a price of $4.00 per Share and, in lieu of Shares to certain investors, pre-funded warrants (the \"2026 Pre-Funded Warrants\") to purchase up to an aggregate of 7,870,624 Shares at a price of $3.9999 per pre-funded warrant (the \"Offering\"). The pre-funded warrants have an exercise price of $0.0001 per share and are exercisable at any time after the date of issuance, subject to the Blocker. The public offering closed on June 11, 2026. In connection with the Offering, OPI IX purchased 1,041,667 2026 Pre-Funded Warrants and Genesis purchased 208,333 2026 Pre-Funded Warrants. The source of funds for such purchases was the working capital of OPI IX and Genesis.", "item4_transaction_purpose": "The Reporting Persons from time to time intend to review their investment in the Issuer on the basis of various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's Shares in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time. If the Reporting Persons believe that further investment in the Issuer is attractive, whether because of the market price of Shares or otherwise, they may acquire Shares or other securities of the Issuer either in the open market or in privately negotiated transactions. Similarly, depending on market and other factors, the Reporting Persons may determine to dispose of some or all of the Shares currently owned by the Reporting Persons or otherwise acquired by the Reporting Persons either in the open market or in privately negotiated transactions.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons have not formulated any plans or proposals which relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) a sale or transfer of a material amount of the assets of the Issuer or any of its subsidiaries, (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the Issuer's capitalization or dividend policy of the Issuer, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's charter or bylaws or other instrument corresponding thereto or other action which may impede the acquisition of control of the Issuer by any person, (h) causing a class of the Issuer's securities to be deregistered or delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1680367/000094787126000624/0000947871-26-000624-index.html" }, { "accession_no": "0000929638-26-002223", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 879585, "issuer_name": "ATN International, Inc.", "issuer_cusip": "00215F107", "securities_class_title": "Common Stock, par value $.01 per share", "date_of_event": "2026-04-20", "filed_date": "2026-06-15", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and restated as follows:\r\nExcept as otherwise set forth herein, all of the shares of Common Stock beneficially owned by Mr. Prior (\"Directly Owned Shares\") were acquired (i) in connection with the founding of the Company, (ii) in connection with investing additional capital in the Company prior to its initial public offering, or (iii) open market purchases. The source of the funds for the Directly Owned Shares was from personal funds. No part of the purchase price was borrowed for the purpose of acquiring such securities.\r\n\r\nAll of the shares of Common Stock held by Tropical Aircraft Co., VI E-Cell Tropical Telecom Ltd., and the Prior Family Foundation were acquired as a result of a gift or contribution from Mr. Prior. All of the shares of Common Stock held by Mrs. Prior were acquired through open market purchases.\r\n\r\nThe information in Item 5(c) is incorporated herein by reference.", "item4_transaction_purpose": "Except as described in this Amendment No. 1 to Schedule 13D, Mr. Prior does not have any present plans or proposals that relate to or would result in any of the actions described in Item 4 of this Schedule 13D, although, Mr. Prior, at any time and from time to time, may review, reconsider and change his position and/or change his purpose and/or develop such plans and may seek to influence management of the Issuer or the board of directors of the Issuer with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons. Any such action may be made by Mr. Prior alone or in conjunction with other stockholders, potential acquirers, financing sources and/or other third parties and could include one or more purposes, plans or proposals that relate to or would result in actions required to be reported herein in accordance with Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/879585/000092963826002223/0000929638-26-002223-index.html" }, { "accession_no": "0000921895-26-001613", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1590584, "issuer_name": "Civeo Corp", "issuer_cusip": "17878Y207", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe Shares purchased by each of Engine Capital, Engine Jet and Engine Lift were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 580,117 Shares beneficially owned by Engine Capital is approximately $13,704,073, including brokerage commissions. The aggregate purchase price of the 48,268 Shares beneficially owned by Engine Jet is approximately $1,139,996, including brokerage commissions. The aggregate purchase price of the 57,930 Shares beneficially owned by Engine Lift is approximately $1,369,382, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1590584/000092189526001613/0000921895-26-001613-index.html" }, { "accession_no": "0000912282-26-000837", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1218683, "issuer_name": "Big Digital Energy, Inc.", "issuer_cusip": "57778N307", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe common shares (the \"Shares\") of Big Digital Energy, Inc. (the \"Issuer\") purchased by each of Endeavor Blockchain, LLC and PM Squared, LLC were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases. The Shares of the Issuer purchased by each of Joshua Kilgore and Cody Smith were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases. The aggregate purchase price of the 1,550,000 Shares beneficially owned by Endeavor Blockchain, LLC is approximately $8,143,818.01, excluding brokerage commissions. The aggregate purchase price of the 8,000 Shares beneficially owned by Joshua Kilgore is approximately $43,741.34, excluding brokerage commissions. The aggregate purchase price of the 85,000 Shares beneficially owned by Cody Smith is approximately $425,467.38, excluding brokerage commissions. The aggregate purchase price of the 14,067 Shares beneficially owned by PM Squared, LLC is approximately $89,949.69, excluding brokerage commissions.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nTermination of Rights Agreement\n\nOn June 5, 2026, the Issuer and Computershare Trust Company, N.A., as rights agent (the \"Rights Agent\"), executed Amendment No. 1 (the \"Amendment\") to the Rights Agreement, dated as of February 2, 2026, by and between the Issuer and the Rights Agent (as amended, the \"Rights Agreement\"). The Amendment accelerates the expiration date of the Rights Agreement to the earlier of June 8, 2026, and the Redemption Date (as defined in the Rights Agreement). At the time of the termination of the Rights Agreement, all of the Rights that were previously distributed to holders of the Issuer's issued and outstanding common stock pursuant to the Rights Agreement will expire. In deciding to accelerate the expiration date to June 8, 2026, the Issuer's Board of Directors determined that an active Rights Agreement is no longer needed to protect stockholder value at this time.\n\nJoint Mining Agreement\n\nOn April 27, 2026, the Issuer entered into a Joint Mining Agreement with Big Digital Energy, LLC (\"BDE\"), (the \"Colocation Agreement\"). Through the Colocation Agreement, Management desires to bring real revenue into the Issuer in the short term while pursuing its goal to move its operations away from Bitcoin mining towards selectively monetizing excess capacity where economically prudent and aligned with shareholder value creation. The Issuer's core strategy is to optimize the utilization of each megawatt by deploying it toward the highest-value applications, with current priority given to future expansion into AI and high-performance computing (\"HPC\") data center developments. BDE is deemed an affiliate of the Issuer because it is owned and/or controlled by the Reporting Persons. Entities affiliated with the Reporting Persons hold 60%, 20%, and 20% ownership interests, respectively, in BDE.\n\nUnder the terms of the Colocation Agreement, BDE will purchase and deliver approximately 25,000 s19xp mining computers, and the Issuer will provide BDE with approximately 75MW of computing capacity at its facility in Midland, PA. The Parties will operate under a 50%/50% profit-sharing structure, pursuant to which the Issuer will receive all cash net proceeds from the mining operations. The cash revenue will be used for general corporate purposes and asset purchases to ensure the Issuer's use of all available power across its facility locations. As its share of the profit-sharing structure, BDE will receive monthly grants consisting of a combination of (i) shares of the Issuer's common stock, where the number of shares will equal 20% of its share of the monthly cash net proceeds divided by 30-day volume weighted average price of the Issuer's common stock (\"VWAP\") on the grant date, and (ii) pre-funded warrants to purchase the Issuer's common stock, where the number of underlying shares will equal 80% of its share of the monthly cash net proceeds divided by $20. The pre-funded warrants allowed BDE to purchase the Issuer's common stock at an exercise price of $20 per share and have a five-year term.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1218683/000091228226000837/0000912282-26-000837-index.html" }, { "accession_no": "0000902664-26-002794", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 807882, "issuer_name": "JACK IN THE BOX INC", "issuer_cusip": "466367109", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-15", "item3_funds_source": "The Reporting Persons used approximately $23,271,959 in the aggregate to purchase the Common Stock reported in this Schedule 13D.\n\nThe source of the funds used by the GreenWood Funds to acquire the Common Stock held by the GreenWood Funds is the working capital available to the GreenWood Funds.\n\nThe source of funds used by the GreenWood Accounts to acquire the Common Stock held by the GreenWood Accounts is the working capital available to the GreenWood Accounts and margin borrowings described below.\n\nThe shares of Common Stock are held by some of the GreenWood Accounts in margin accounts, which may extend margin credit to some of the GreenWood Accounts from time to time, subject to applicable federal margin regulations, stock exchange rules and credit policies. In such instances, the positions held in the margin account are pledged as collateral security for the repayment of debit balances in the account. The margin accounts bear interest at a rate based upon the broker's call rate from time to time in effect. Because other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Stock reported herein.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/807882/000090266426002794/0000902664-26-002794-index.html" }, { "accession_no": "0000897101-26-000219", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 811922, "issuer_name": "MFS GOVERNMENT MARKETS INCOME TRUST", "issuer_cusip": "552939100", "securities_class_title": "Common Stock", "date_of_event": "2026-06-12", "filed_date": "2026-06-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/811922/000089710126000219/0000897101-26-000219-index.html" }, { "accession_no": "0001536588-26-000009", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 885307, "issuer_name": "JEWETT CAMERON TRADING CO LTD", "issuer_cusip": "47733C207", "securities_class_title": "Common Stock", "date_of_event": "2026-05-11", "filed_date": "2026-06-12", "item3_funds_source": "The Shares beneficially owned by each of AJB Fund II and AJB Capital were purchased with working\ncapital (which may, at any given time, include margin loans made by brokerage firms in the ordinary\ncourse of business) in open market purchases. The aggregate purchase price of the 267,768 Shares\nbeneficially owned by AJB Fund II and AJB Capital is approximately of $526,238, including brokerage\ncommissions.\nThe Shares beneficially owned by Mr. Bradley are held in an individual retirement account and in the accounts of the children of Mr. Bradley and Ms. Bradley (the \"Bradley Children\"), and were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The aggregate purchase price of the 33,285 Shares beneficially owned by Mr. Bradley is approximately $67,318, including brokerage commissions.\nThe Shares beneficially owned by Ms. Bradley are held in an individual retirement account and were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The aggregate purchase price of the 28,594 shares beneficially owned by Ms. Bradley is approximately $58,389, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the\nShares, when purchased, were undervalued and represented an attractive investment opportunity.\nDepending upon overall market conditions, other investment opportunities available to the Reporting\nPersons and the availability of Shares at prices that would make the purchase or sale of Shares\ndesirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer\nthrough, among other things, the purchase or sale of Shares on the open market or in private\ntransactions or otherwise, on such terms and at such times as the Reporting Persons may deem\nadvisable.\nThe Reporting Persons do not have any present plan or proposal which would relate to or result in\nany of the matters set forth in subparagraphs (a) - U) of Item 4 of Schedule 13D except as set forth\nherein or such as would occur upon or in connection with completion of, or following, any of the\nactions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a\ncontinuing basis. Depending on various factors including, without limitation, the Issuer's financial\nposition, results and strategic direction, actions taken by the Issuer's management team and the\nIssuer's board of directors (the \"Board\"), price levels of the Shares, conditions in the securities\nmarkets, general economic and industry conditions, and other investment opportunities available to\nthe Reporting Persons, the Reporting Persons may in the future take such actions with respect to\ntheir investment in the Issuer as they deem appropriate including, without limitation, engaging in\ncommunications with management and the Board, engaging in discussions with the Issuer,\nstockholders of the Issuer or other third parties about the Issuer and the Reporting Persons'\ninvestment, including potential business combinations, dispositions or financing transactions involving\nthe Issuer or certain of its businesses or assets, including transactions in which the Reporting\nPersons may seek to participate and potentially engage in, making recommendations or proposals to\nthe Issuer concerning changes to the capitalization, ownership structure, Board structure (including\nBoard composition), or suggestions for improving the Issuer's financial and/or operational\nperformance, purchasing additional Shares, selling some or all of their Shares, engaging in short\nselling of or any hedging or similar transaction with respect to the Shares, including swaps and other\nderivative transactions, or changing their intention with respect to any and all matters referred to in\nItem 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/885307/000153658826000009/0001536588-26-000009-index.html" }, { "accession_no": "0001213900-26-068423", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1286973, "issuer_name": "Americas Gold & Silver Corp", "issuer_cusip": "03062D100", "securities_class_title": "Common Shares", "date_of_event": "2026-06-10", "filed_date": "2026-06-12", "item3_funds_source": "On June 10, 2026, Sprott Mining completed a purchase of 7,956,696 shares of Common Stock of the Issuer at an average price per share of $5.57 for combined gross proceeds of approximately $44,318,797.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1286973/000121390026068423/0001213900-26-068423-index.html" }, { "accession_no": "0001213900-26-068354", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2128739, "issuer_name": "JAB Acquisition Corp I", "issuer_cusip": "G50004103", "securities_class_title": "Class A ordinary shares, Par Value $0.0001 per share", "date_of_event": "2026-06-09", "filed_date": "2026-06-12", "item3_funds_source": "The information set forth in Items 4 and 5 of this Schedule 13D is hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "On March 19, 2026, the Reporting Person purchased, and the Issuer issued to such Reporting Person, an aggregate of 9,857,143 Class B ordinary shares for an aggregate purchase price of $25,000. The Reporting Person is deemed to have purchased Class B ordinary shares for $0.002 per share. The Class B ordinary shares will automatically convert into Class A ordinary shares concurrently with or immediately following the consummation of the Issuer's initial business combination, or at any time prior thereto at the option of the holder thereof, on a one-for-one basis, subject to customary adjustments, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-296035), as amended (the \"Registration Statement.\")\n\nOn June 11, 2026, the Issuer completed its initial public offering (\"IPO\") of 17,250,000 units at $10.00 per unit, which includes the exercise in full by the underwriters of their option to purchase an additional 2,250,00 units, with each unit consisting of once Class A ordinary share, one redeemable warrant to purchase one Class A ordinary share at a price of $11.50 per share, subject to certain adjustments, and one right to receive one-fourth (1/4) of one Class A ordinary share upon consummation of the Company's initial business combination. An additional 1,000,000 Class A Ordinary Shares were issued to D. Boral Capital LLC as representative of the underwriters.\n\nOn June 11, 2026, in connection with the Issuer's IPO, the Reporting Person purchased from the Issuer 260,000 units at a price of $10.00 per unit for an aggregate purchase price of $2,600,000 (\"Private Units\"). Each Private Unit consists of one Class A ordinary share, one redeemable warrant to purchase one Class A ordinary share at a price of $11.50 per share (the \"Private Warrant\") and one right (the \"Private Right(s)\") to receive one-fourth (1/4) of one Class A ordinary share, or an aggregate of 585,000 Class A Ordinary Shares. The private units were sold in a private placement that closed simultaneously with the closing of the IPO of the Issuer's securities, including the over-allotment option. '\n\nDepending on prevailing market, economic and other conditions, the Reporting Person may from time to time acquire additional ordinary shares or engage in discussions with the Issuer concerning future acquisitions of its shares. Such acquisitions may be made by means of open-market purchases, privately negotiated transactions, direct acquisitions from the Issuer or otherwise. Except as set forth in this Item 4, the Reporting Person has no plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present Board or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company; (g) changes in the Issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act; or (j) any action similar to any of those enumerated above.\n\nThe Reporting Person may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2128739/000121390026068354/0001213900-26-068354-index.html" }, { "accession_no": "0001193125-26-270049", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1855747, "issuer_name": "Blend Labs, Inc.", "issuer_cusip": "09352U108", "securities_class_title": "Class A common stock, par value $0.00001 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-12", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1855747/000119312526270049/0001193125-26-270049-index.html" }, { "accession_no": "0001193125-26-268969", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1083839, "issuer_name": "NUVEEN QUALITY MUNICIPAL INCOME FUND", "issuer_cusip": "67066V812", "securities_class_title": "MUNIFUND PREFERRED SHARES", "date_of_event": "2026-06-10", "filed_date": "2026-06-12", "item3_funds_source": "This information is not changed by this Amendment.", "item4_transaction_purpose": "This information is not changed by this Amendment.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1083839/000119312526268969/0001193125-26-268969-index.html" }, { "accession_no": "0001140361-26-025066", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2049662, "issuer_name": "Factorial Energy Inc.", "issuer_cusip": "30347G103", "securities_class_title": "Series A Common Stock, par value $0.00001 per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-12", "item3_funds_source": "The shares of Series A Common Stock reported herein as beneficially owned by MBCI were acquired in connection with a business combination (the \"Business Combination\") pursuant to the Business Combination Agreement, dated December 17, 2025, by and among the Issuer, Fenway MS, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer, and Factorial Inc., a Delaware corporation (\"Factorial\") (as amended by Amendment No. 1 to Business Combination Agreement, dated as of March 26, 2026, and Amendment No. 2 to Business Combination Agreement, dated as of May 18, 2026, the \"Business Combination Agreement\").\n\nIn December 2021, Factorial issued and sold to MBCI (i) 2,205,032 shares of Series D redeemable preferred stock of Factorial, and (ii) warrants exercisable for 137,814 shares of common stock of Factorial, and in August 2025, Factorial issued and sold to MBCI a secured convertible promissory note in the aggregate principal amount of $2,000,000 (collectively, the \"Factorial securities\"). On June 5, 2026, as a result of the completion of the Business Combination (the \"Closing\"), the Factorial securities (including accrued and unpaid interest, in the case of the promissory note) directly held by MBCI were converted into an aggregate of 8,669,995 shares of Series A Common Stock.", "item4_transaction_purpose": "The disclosure in Item 3 of this Schedule 13D is incorporated by reference into this Item 4.\n\nMBCI holds its securities of the Issuer for investment purposes. In connection with the completion of the Business Combination, Uwe Keller, Director of Battery Development at Mercedes-Benz Group AG, who was previously a director of Factorial, was elected to the board of the Issuer.\n\nMBCI expects to review from time to time its investment in the Issuer and may, depending on the market and other conditions and subject to applicable law: (i) acquire beneficial ownership of additional securities of the Issuer in the open market, in privately negotiated transactions or otherwise; (ii) dispose of all or part of its holdings of securities of the Issuer; or (iii) take other actions which could involve one or more of the types of transactions or have one or more of the results described in Item 4 of Schedule 13D.\n\nExcept as set forth herein, MBCI does not have any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. MBCI may, at any time and from time to time, review or reconsider its position and/or change its purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2049662/000114036126025066/0001140361-26-025066-index.html" }, { "accession_no": "0001104659-26-073638", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1436126, "issuer_name": "Mistras Group, Inc.", "issuer_cusip": "60649T107", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-06-10", "filed_date": "2026-06-12", "item3_funds_source": "The Trust was established by its grantor, Aspasia F. Vahaviolos. The shares held by the Trust were acquired by a gift from Ms. Vahaviolos. Ms. Foglia is the trustee for the trust.\n\nMs. Foglia directly owns 2,000 shares purchased for cash in the issuer's initial public offering and holds 12,663 shares received as compensation for employment with the issuer. All other shares beneficially owned by Ms. Foglia are indirectly held through immediate family members.", "item4_transaction_purpose": "The Reporting Persons acquired, and presently beneficially own, shares of the issuer's common stock for investment purposes. None of the Reporting Persons currently has any plans or proposals that would result in or relate to any of the transactions or changes listed in Items 4(a) through 4(j) of Schedule 13D. However, as part of their ongoing evaluation of their investment and investment alternatives, the Reporting Persons may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters or make formal proposals to the board of directors of the issuer, other stockholders of the issuer, or other third parties regarding such matters. The Reporting Persons reserve the right to acquire additional securities of the issuer in the open markets, in privately negotiated transactions (which may be with the issuer or with third parties) or otherwise, to dispose of all or a portion of their holdings of securities of the issuer, or to change their intention with respect to any or all of the matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1436126/000110465926073638/0001104659-26-073638-index.html" }, { "accession_no": "0001104659-26-073565", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1962746, "issuer_name": "Lotus Technology Inc.", "issuer_cusip": "54572F101", "securities_class_title": "Ordinary Shares, par value US$0.00001 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-12", "item3_funds_source": "Item 3 is hereby amended and supplemented by adding the following at the end:\n\nOn January 31, 2023, the Issuer entered into a put option agreement with each of Geely HK and Etika (the \"Put Option Agreements\"), pursuant to which each of Geely HK and Etika is granted the right to require the Issuer to purchase all of the equity interests held by each of Geely HK and Etika in Lotus Advance Technologies Sdn. Bhd. On April 14, 2025, Geely HK exercised its put option, requiring the Issuer to purchase 51% of the equity interests in Lotus Advance Technologies Sdn. Bhd. On June 30, 2025, Etika also exercised its put option, requiring the Issuer to purchase 49% of the equity interests in Lotus Advance Technologies Sdn. Bhd. In connection with the closing of the transactions contemplated by the Put Option Agreements and upon the final settlement of such put options, Geely HK received 24,477,676 Ordinary Shares of the Issuer and Etika received 23,517,767 Ordinary Shares of the Issuer on June 10, 2026, in each case from LGIL.", "item4_transaction_purpose": "The information set forth in Item 3 is hereby incorporated by reference in its entirety. Except as set forth herein, the Reporting Persons do not have any present plans or proposals which relate to or would result in any of the transactions of this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1962746/000110465926073565/0001104659-26-073565-index.html" }, { "accession_no": "0001104659-26-073542", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2049662, "issuer_name": "FACTORIAL ENERGY INC.", "issuer_cusip": "30347G103", "securities_class_title": "Series A common stock, par value $0.00001 per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-12", "item3_funds_source": "Business Combination\n\nOn June 5, 2026, pursuant to the Business Combination Agreement (as amended, the \"Business Combination Agreement\"), dated December 17, 2025, by and among the Issuer (formerly known as Cartesian Growth Corporation III), Fenway MS, Inc., a Delaware corporation and wholly-owned subsidiary of the Issuer (\"Merger Sub\"), and Factorial Inc., a Delaware corporation (\"Legacy Factorial\"), Merger Sub merged with and into Legacy Factorial, with Legacy Factorial surviving the merger as a wholly-owned subsidiary of the Issuer (the \"Business Combination\"). In connection with the Business Combination, the Issuer changed its jurisdiction of incorporation from the Cayman Islands to the State of Delaware and changed its corporate name to \"Factorial Energy Inc.\"\n\nAt the effective time of the merger (the \"Effective Time\") on June 5, 2026 (the \"Closing Date\"), each share of Legacy Factorial capital stock held by the Reporting Persons that was issued and outstanding as of immediately prior to the Effective Time held by the Reporting Persons was canceled and automatically converted into the right to receive shares of Issuer's Series B Common Stock, par value $0.00001 per share (the \"Series B Common Stock\" and, together with the Series A Common Stock, the \"Common Stock\") of the Issuer, and each outstanding and unexercised option to purchase shares of Legacy Factorial capital stock (each, a \"Legacy Factorial Option\") became an option to purchase shares of Series A Common Stock of the Issuer subject to the same terms, conditions, vesting and other provisions as were previously applicable to such Legacy Factorial Options. The securities reported herein were received as merger consideration in exchange for the cancellation of the Reporting Persons' pre-existing equity interests in Legacy Factorial, and no separate funds were used or paid.\n\nThe foregoing description of the Business Combination Agreement and its amendments does not purport to be complete and is qualified in its entirety by reference to the full text of such agreement, copies of which are included as Exhibit 99.2, Exhibit 99.3 and Exhibit 99.4 to this Statement.", "item4_transaction_purpose": "The information set forth in Items 3 and 6 of this Schedule 13D is hereby incorporated by reference into this Item 4.\n\nThe Reporting Persons each intend to review each of their respective investments in the Issuer on a continuing basis. Any actions the Reporting Persons might each undertake may be made at any time and from time to time without prior notice and will be dependent upon each of their respective review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments. In connection with the vesting, settlement or exercise of equity awards of the Issuer, the Reporting Persons may each have shares of Series A Common Stock withheld for taxes or sold in open-market transactions in connection with the payment of applicable taxes or otherwise.\n\nThe Reporting Persons, subject to certain provisions of the law, may each respectively acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. In addition, each of Dr. Huang, including in her positions as Chief Executive Officer and a member of the Board, and Dr. Yu, including in his positions as Chief Technology Officer and a member of the Board, may engage in discussions with other members of management, the Board, and stockholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or take-private transaction that could result in the de-listing or de-registration of the Series A Common Stock; security offerings and/or stock repurchases by the Issuer; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nOther than as described above, each of the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change each of their respective purpose or formulate different plans or proposals with respect thereto at any time.\n\nDr. Huang, including in her positions as Chief Executive Officer and a member of the Board, and Dr. Yu, including in his positions as Chief Technology Officer and a member of the Board, each participate in deliberations of the Issuer's senior management in the normal course of the Issuer's business that could involve any of the matters set forth in Items 4(a)-(j) of Schedule 13D from time to time, and, in keeping with each of their respective fiduciary duties as an officer and director, may make proposals or recommendations to the Board that could involve such matters from time to time.\n\nIn addition, as members of the Issuer's senior management, each of the Reporting Persons participates in Issuer compensatory plans, including plans pursuant to which awards of equity securities are made (including to each of Dr. Huang and Dr. Yu), in the ordinary course of business.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2049662/000110465926073542/0001104659-26-073542-index.html" }, { "accession_no": "0001104659-26-073158", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1744781, "issuer_name": "Niu Technologies", "issuer_cusip": "65481N100", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-06-12", "filed_date": "2026-06-12", "item3_funds_source": "From March 13, 2026 through June 12, 2026, Glory Achievement Fund Limited purchased a total of 1,064,110 ADSs (representing 2,128,220 Class A ordinary shares) of the Issuer in the open market for approximately US$2.5 million, using its own working capital (the \"Recent Open-Market Purchases\").", "item4_transaction_purpose": "The information set forth in Item 3 is hereby incorporated by reference in its entirety. The Recent Open-Market Purchases were made for investment purposes.\n\nThe Reporting Persons hold the ADSs of the Issuer for investment purposes. They intend to review their shareholding on a regular basis and, as a result thereof, may at any time or from time to time determine, either alone or as part of a group, (i) to acquire additional securities of the Issuer, through open market purchases, privately negotiated transactions or otherwise, (ii) to dispose of all or a portion of the securities of the Issuer owned by it in the open market, in privately negotiated transactions or otherwise or (iii) to take any other available course of action, which could involve one or more of the types of transactions or have one or more of the results described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nAny actions the Reporting Persons might undertake will be dependent upon such Reporting Persons' review of numerous factors, including, among other things, the price levels of the ADSs, general market and economic conditions, ongoing evaluation of the Issuer's business, financial condition, operations and prospects, the relative attractiveness of alternative business and investment opportunities, investor's need for liquidity, and other future developments. Any future acquisitions or dispositions of ADSs will be subject to the Issuer's policies, including its insider trading policy, as applicable.\n\nExcept as set forth above, none of the Reporting Persons has any present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1744781/000110465926073158/0001104659-26-073158-index.html" }, { "accession_no": "0001085146-26-000446", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1830033, "issuer_name": "PureCycle Technologies, Inc.", "issuer_cusip": "74623V103", "securities_class_title": "Common Stock", "date_of_event": "2026-06-10", "filed_date": "2026-06-12", "item3_funds_source": "The Reporting Persons each used their respective working capital to purchase the shares of Common Stock of the Issuer.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following:\n\nOn June 10, 2026, the Issuer announced concurrent underwritten public offerings (collectively, the \"Offerings\") of $145.0 million of shares of Common Stock (the \"Common Stock Offering\") and $250.0 million aggregate principal amount of convertible senior notes due 2032 (the \"Notes Offering\"), each subject to customary over-allotment options. In connection with the Offerings, the Reporting Persons (or certain Affiliated Investment Entities) entered into the Eleventh Amendment and the Repurchase Agreement described below. None of the Reporting Persons or the Affiliated Investment Entities is purchasing any securities in the Offerings.\n\nEleventh Amendment to Revolving Credit Agreement\n\nOn June 10, 2026, Sylebra Capital Partners Master Fund, Ltd., Sylebra Capital Parc Master Fund, and Sylebra Capital Menlo Master Fund (collectively, in such capacity, the \"Lenders\") entered into a Limited Consent and Eleventh Amendment to Credit Agreement (the \"Eleventh Amendment\") with the Issuer, the guarantors party thereto, and Kroll Trustee Services (HK) Limited, as Administrative Agent and Security Agent, amending the existing Credit Agreement dated as of March 15, 2023. The Eleventh Amendment amends the Credit Agreement to, among other things, (i) permit the Issuer to consummate the Offerings and (ii) remove as secured obligations under the Credit Agreement certain obligations in respect of the Issuer's Series A Preferred Stock, par value $0.001 per share, the Series C Warrants and the Pre-Funded Warrants, in each case held by Sylebra Capital Management and/or its affiliates. The Lenders did not receive any consideration in respect of the Eleventh Amendment.\n\nRepurchase of 7.25% Green Convertible Senior Notes due 2030\n\nOn June 10, 2026, Sylebra Capital Partners Master Fund, Ltd., Sylebra Capital Menlo Master Fund and Blackwell Partners LLC-Series A (each an Affiliated Investment Entity, with Blackwell Partners LLC-Series A being among the other advisory clients comprising the Affiliated Investment Entities) entered into a Repurchase Agreement with the Issuer (the \"Repurchase Agreement\"), pursuant to which they agreed to sell to the Issuer for cash an aggregate of $50,000,000 in principal amount of the Issuer's 7.25% Green Convertible Senior Notes due 2030 for aggregate cash consideration of $52,500,000, plus accrued and unpaid interest. The closing of the repurchase is conditioned upon the prior or contemporaneous closing of the Offerings\n\nThe foregoing descriptions of the Eleventh Amendment and the Repurchase Agreement are summaries only and are qualified in their entirety by reference to the full text of such agreements, copies of which are filed as exhibits to this Amendment and incorporated by reference herein.\n\nThe Reporting Persons' rights under the Sylebra Stockholders Agreement, the Board Representation Agreement dated March 7, 2022, and the Sylebra Letter Agreement dated September 27, 2022, including their rights to nominate directors to the Issuer's board of directors, are not modified by the foregoing transactions.\n\nGeneral\n\nSubject to applicable legal requirements, one or more of the Reporting Persons may purchase additional securities of the Issuer from time to time in open market or private transactions, depending on their evaluation of the Issuer's business, prospects and financial condition, the market for the Issuer's securities, other developments concerning the Issuer, the reaction of the Issuer to the Reporting Persons' ownership of the Issuer's securities, other opportunities available to the Reporting Persons, and general economic, money market and stock market conditions. In addition, depending upon the factors referred to above, the Reporting Persons may dispose of all or a portion of their securities of the Issuer at any time. Each of the Reporting Persons reserves the right to increase or decrease its holdings on such terms and at such times as each may decide.\n\nOther than as described above in this Item 4, none of the Reporting Persons have any plan or proposal relating to or that would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or terms of directors or to fill any existing vacancies on the Board of Directors of the Issuer; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) any changes in the Issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) a class of securities of the Issuer being delisted from a national securities exchange or ceasing to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act; or (j) any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1830033/000108514626000446/0001085146-26-000446-index.html" }, { "accession_no": "0001008886-26-000164", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 70487, "issuer_name": "NRC Health", "issuer_cusip": "637372202", "securities_class_title": "Common Stock, $.001 par value", "date_of_event": "2026-06-10", "filed_date": "2026-06-12", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended by changing the words \"Chief Executive Officer\" to \"Chairman\" in the first sentence thereof.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/70487/000100888626000164/0001008886-26-000164-index.html" }, { "accession_no": "0000950142-26-001754", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1850351, "issuer_name": "Liftoff Mobile, Inc.", "issuer_cusip": "53229X101", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-12", "item3_funds_source": "In connection with the pricing of the IPO on June 3, 2026, 425,000 shares of Series A Redeemable Convertible Preferred Stock of the Company held directly by GA LFT converted into 24,011,299 shares of common stock. In addition, GA LFT purchased 1,304,347 shares of common stock on June 5, 2026 at a price of $23.00 per share in the IPO. The funds to purchase the shares of common stock were obtained from contributions from the GA Funds and Sponsor Coinvestment Funds.", "item4_transaction_purpose": "The Reporting Persons acquired the common stock reported herein for investment purposes. Consistent with such purposes, the Reporting Persons may engage in communications with, without limitation, one or more shareholders of the Company, management of the Company, one or more members of the board of directors of the Company, and may make suggestions concerning the Company's operations, prospects, business and financial strategies, strategic transactions, assets and liabilities, business and financing alternatives, the composition of the board of directors of the Company and such other matters as the Reporting Persons may deem relevant to their investment in the common stock. The Reporting Persons expect that they will, from time to time, review their investment position in the common stock or the Company and may, depending on the Company's performance and other market conditions, increase or decrease their investment position in the common stock. The Reporting Persons may, from time to time, make additional purchases of common stock either in the open market or in privately-negotiated transactions, depending upon the Reporting Persons' evaluation of the Company's business, prospects and financial condition, the market for the common stock, other opportunities available to the Reporting Persons, general economic conditions, stock market conditions and other factors. Depending upon the factors noted above, the Reporting Persons may also decide to hold or dispose of all or part of their investments in the common stock and/or enter into derivative transactions with institutional counterparties with respect to the Company's securities, including the common stock. Except as set forth in this Item 4 or Item 6 below, the Reporting Persons have no present plans or proposals that relate to, or that would result in, any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1850351/000095014226001754/0000950142-26-001754-index.html" }, { "accession_no": "0000921895-26-001606", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 896493, "issuer_name": "Hyperscale Data, Inc.", "issuer_cusip": "09715M804", "securities_class_title": "Class A Common Stock, par value $0.001 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-12", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe two (2) Class A Shares owned directly by Mr. Nisser were issued upon vesting of restricted stock units awarded to him in his capacity as an officer and director of the Issuer.\n\nTwo (2) Class A Shares owned directly by Mr. Ault were issued upon vesting of restricted stock units awarded to him in his capacity as an officer and director of the Issuer, and the aggregate purchase price of the other 721,298 Class A Shares beneficially owned by Mr. Ault that were purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $273,194, including brokerage commissions.\n\nThe aggregate purchase price of the 200,000 Class A Shares beneficially owned by Mr. Horne that were purchased directly by Mr. Horne with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $33,770, including brokerage commissions.\n\nThe Class B Shares owned by the Reporting Persons were issued as stock dividends by the Issuer.\n\nThe aggregate purchase price of the 2,700,005 Class A Shares beneficially owned by Ault & Company that were purchased directly by Ault & Company with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $3,213,771, including brokerage commissions.\n\nThe purchase price of the 50,000 shares of Series C Preferred Stock owned directly by Ault & Company, which are currently convertible into 432,900,430 Class A Shares, and warrants owned directly by Ault & Company, which are currently exercisable (or are exercisable within 60 days) into 422,337 Class A Shares, is $50,000,000.\n\nThe purchase price of the 960 shares of Series G Preferred Stock owned directly by Ault & Company, which are currently convertible into 8,311,688 Class A Shares, and warrants owned directly by Ault & Company, which are currently exercisable into 162,217 Class A Shares, is $960,000.\n\nThe purchase price of the 4,000 shares of Series H Preferred Stock owned directly by Ault & Company, which are currently convertible into 34,632,035 Class A Shares is $4,000,000.\n\nThe remaining warrants owned directly by Ault & Company, which are currently exercisable into 54,498 Class A Shares, were issued in connection with a senior secured convertible promissory note in the principal face amount of $17.5 million, which was sold to Ault & Company by the Issuer, for $17.5 million (the \"Senior Note\"). The Senior Note was subsequently repaid.\n\nMessrs. Ault, Horne, Nisser and Cragun have been awarded stock options to purchase 2,000,000, 2,000,000, 1,500,000 and 1,000,000 Class A Shares, respectively, in their capacity as an officer of the Issuer, which have a strike price of $0.72 per share, expire on July 30, 2035. Fifty percent (50%) of these options vested and became exercisable on the date that receipt of approval of the option grants by the Issuer's stockholders and the NYSE American. Stockholder approval was obtained on April 10, 2026 and approval from the NYSE American was obtained on May 6, 2026, so May 6, 2026 was the date that these options vested and became exercisable. The remaining 50% vest in equal monthly increments over 24 months beginning June 1, 2026.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/896493/000092189526001606/0000921895-26-001606-index.html" }, { "accession_no": "0000905148-26-002940", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1162194, "issuer_name": "STANDARD BIOTOOLS INC.", "issuer_cusip": "34385P108", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-06", "filed_date": "2026-06-12", "item3_funds_source": "The information set forth in Item 3 of the Schedule 13D filed by the Reporting Persons on October 16, 2023 (the \"Previous 13D\") is incorporated by reference herein.\n\nSubsequent to the filing of the Previous 13D, all shares of Series B-2 Convertible Preferred Stock of the Issuer held by VGOP and VGOD were converted into shares of Common Stock, and the provisions of the Certificate of Designations relating to the Series B-2 Convertible Preferred Stock described in Item 3 of the Previous 13D, including, without limitation, the conversion limitations, voting threshold, board nomination rights and redemption provisions set forth therein, are no longer applicable to the shares of Common Stock held by VGOP and VGOD.\n\nAs of the date hereof, VGOP directly owns 39,296,310 shares of Common Stock and VGOD directly owns 19,354,860 shares of Common Stock.", "item4_transaction_purpose": "The response to Item 3 of this Schedule 13D is incorporated by reference herein.\n\nOn June 6, 2026, the Issuer, Treeline Biosciences, Inc., a Delaware corporation (\"Treeline\"), and Siri Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of the Issuer (\"Merger Sub\"), entered into an Agreement and Plan of Merger and Reorganization (the \"Merger Agreement\"), pursuant to which, among other matters, and subject to the satisfaction or waiver of the conditions set forth in the Merger Agreement, Merger Sub will merge with and into Treeline, with Treeline continuing as a wholly owned subsidiary of the Issuer and the surviving corporation of the merger (the \"Merger\"). Upon the terms and subject to the conditions set forth in the Merger Agreement, at the effective time of the Merger (\"Effective Time\"), each share of capital stock of Treeline will be converted into the right to receive a number of shares of Common Stock in accordance with the Exchange Ratio (as defined in the Merger Agreement).\n\nAlso on June 6, 2026, in connection with the Merger Agreement, the Issuer, Treeline and Merger Sub entered into a voting agreement (the \"Voting Agreement\") with VGOP and VGOD. Pursuant to the Voting Agreement, VGOP and VGOD have agreed, among other things, subject to the terms and conditions thereof, to: (i) vote their beneficially owned securities of the Issuer: (1) in favor of the approval of (i) the issuance of Common Stock to holders of Treeline stock pursuant to the Merger Agreement, (ii) an amendment to the Issuer's charter pursuant to which the name of Issuer will be changed to \"Treeline Biosciences Holdings, Inc.\", (iii) a reverse stock split of all outstanding shares of Common Stock at a reverse stock split ratio mutually agreed to by Treeline and the Issuer, and (iv) the adoption of the Post-Closing Equity Incentive Plan and Post-Closing ESPP (each as defined in the Merger Agreement); (2) in favor of any proposal to adjourn to a later date if there is not a quorum or sufficient affirmative votes (in person or by proxy) for approval of any such matters on the date on which the meeting is held; (3) against any action or agreement that would reasonably be expected to result in the conditions set forth in the Merger Agreement not being fulfilled or a breach of a covenant, representation or warranty or any other material obligation or agreement of the Issuer contained in the Merger Agreement; (4) against any action, proposal, transaction or agreement that would reasonably be expected to prevent or materially delay the consummation of the transactions contemplated by the Merger Agreement or the fulfillment of the Issuer's or Merger Sub's conditions to closing under the Merger Agreement; and (5) against any third party acquisition transactions; and (ii) comply with certain restrictions on the disposition of such shares, in each case subject to the terms and conditions contained therein. The maximum number of shares of Common Stock beneficially owned by VGOP and VGOD subject to the Voting Agreement shall not at any time exceed 58,651,170 shares of Common Stock or other voting securities of the Issuer (the \"Covered Shares Cap\").\n\nThe foregoing description of the Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the form of the Voting Agreement, which is filed as an exhibit to this Schedule 13D, and is incorporated by reference herein.\n\nThe Reporting Persons acquired shares of Common Stock for investment purposes, and such purchases were made in the Reporting Persons' ordinary course of business. This Schedule 13D amends the statement on Schedule 13G filed by the Reporting Persons to report their beneficial ownership of the shares of Common Stock, as most recently amended on May 15, 2026. The Reporting Persons are filing this Schedule 13D, pursuant to Rule 13d-1(e) under the Act, solely as a result of their entering into the Voting Agreement. As such, the Reporting Persons currently are subject to a \"cooling-off\" period pursuant to Rule 13d-1(e)(2) under the Act, which ends at the expiration of the tenth day from the date of the filing of this Schedule 13D.\n\nThe Reporting Persons expect to review from time to time their investment in the Issuer and may, depending on the Issuer's business, assets, operations, financial condition and/or prospects, legal, regulatory and/or contractual restrictions (such as the expiration of the cooling-off period and the transfer restrictions in the Voting Agreement) and other factors: (i) purchase additional shares of Common Stock, options or other securities of the Issuer in the open market, in privately negotiated transactions or otherwise; (ii) sell all or a portion of the shares of Common Stock, options or other securities now beneficially owned or hereafter acquired by them; (iii) enter into hedging transactions with respect to the shares of Common Stock, options or other securities of the Issuer now beneficially owned or hereafter acquired by them; (iv) engage in communications with, without limitation, one or more holders of the Issuer's securities or derivatives, officers of the Issuer, members of the Issuer's board of directors, advisors, potential strategic partners, investment professionals, and/or other persons regarding the Merger or the Issuer more generally, including but not limited to its operations, governance, and control; and (v) engage in such other proposals as the Reporting Persons may deem appropriate under the circumstances, including plans or proposals which may relate to, or could result in, any of the matters referred to in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1162194/000090514826002940/0000905148-26-002940-index.html" }, { "accession_no": "0002127275-26-000003", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2112457, "issuer_name": "Amanat Acquisition Corp", "issuer_cusip": "G0375M101", "securities_class_title": "Class A Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-05-20", "filed_date": "2026-06-11", "item3_funds_source": "On February 12, 2026, Amanat Holdings paid $25,000 to cover certain of the Issuer's offering and formation costs in exchange for the issuance of 2,156,250 Class B ordinary shares, or approximately $0.012 per share. The number of Class B ordinary shares issued was determined based on the expectation that the Class B ordinary shares would represent 20% of the Issuer's issued and outstanding ordinary shares (excluding the Private Placement Shares, as defined below) upon the consummation of the Issuer's initial public offering (the \"IPO\"). Up to 281,250 Class B ordinary shares are subject to forfeiture depending on the extent to which the underwriter's over-allotment option is exercised, so that the number of Class B ordinary shares would represent 20% of the Issuer's issued and outstanding ordinary shares (excluding the Private Placement Shares) upon the consummation of the Issuer's IPO.\n\nPrior to closing of the IPO, the management team of the Issuer received indirect interest in Class B ordinary shares through membership interests in Amanat Holdings, including (i) to the Chief Executive Officer, Pavan Cheruvu, 150,000 Class B ordinary shares; (ii) to the Chief Financial Officer, Nicholas Fernandez, 50,000 Class B ordinary shares; and (iii) to each independent director, Rakhi Kumar, Brad Middlekauff and Patrick Crutcher, 25,000 Class B ordinary shares.\n\nThe Class B ordinary shares (including the Class A ordinary shares issuable upon conversion thereof) may not, subject to certain limited exceptions, be transferred, assigned or sold by the holder thereof.\n\nSimultaneously with the closing of the IPO on May 20, 2026, the Issuer consummated the private placement (\"Private Placement\") of 300,000 Class A ordinary shares (the \"Private Placement Shares\") to Amanat Holdings at a price of $10.00 per share. The total purchase price of the Private Placement Shares was $3,000,000.\n\nAll purchases of the securities described herein were for cash and were funded by capital contributions to Amanat Holdings from its equity owners.", "item4_transaction_purpose": "Amanat Holdings acquired the Class A ordinary shares and Class B ordinary shares reported herein for investment purposes. Although the Reporting Persons currently have no plan or proposal to acquire any additional Issuer securities or to dispose of any of the Issuer securities reported herein, the Reporting Persons may, from time to time (including following the completion of the Issuer's initial business combination), acquire additional equity securities or debt securities of the Issuer, which debt securities may be convertible or non-convertible, secured or unsecured, and could involve the monetization of potential revenue streams deriving from development-stage or commercial programs of the Issuer, or dispose of Issuer securities they beneficially own, on the open market or in private transactions or otherwise (including by means of 10b5-1 programs), consistent with their investment purposes and in amounts, on such terms and at such times as to be determined by the Reporting Persons based upon a number of factors, including, without limitation, their ongoing assessment of the Issuer's business prospects, the availability of Issuer securities at prices that would make the purchase or sale of such securities desirable, prevailing market conditions, the availability of other investment opportunities, and/or other considerations.\n\nThe Class A ordinary shares and Class B ordinary shares held by Amanat Holdings are subject to certain lockup restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed initial business combination and (B) not to redeem any shares in connection with a shareholder vote to approve a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.\n\nDr. Kulkarni currently serves as the Chairman of the Board of Directors and a director of the Issuer and, therefore, will engage in regular discussions with the Issuer's board of directors and management as part of his duties.\n\nThe information in Items 3 and 6 hereof are incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2112457/000212727526000003/0002127275-26-000003-index.html" }, { "accession_no": "0002092332-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1881551, "issuer_name": "Solidion Technology Inc.", "issuer_cusip": "834212102", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-11", "item3_funds_source": "On February 2, 2024, FUN acquired the Residual Warrants as a PIPE investor in connection with the closing of the Issuer's deSPAC business combination.\n\nOn October 8, 2025 (the Effective Date), Madison and Bayside (together, the Purchasers) announced the purchase of all of the outstanding Series C and Series D Warrants (together, the Warrants) previously issued by the Issuer pursuant to the Securities Purchase Agreement, dated as of August 30, 2024 (the Original Purchase Agreement). Thereafter, the Company determined to invoke certain provisions in the Warrants and the Original Purchase Agreement in order to convert (the Conversion) all remaining unexercised portions of the Series C and Series D Warrants into shares of the Common Stock, at a ratio of 1 to 1, such that each outstanding Series C and Series D warrant was converted into one share of the Common Stock. The Purchasers received 3,447,957 shares (the Conversion Shares) of the Common Stock in the Conversion and the Company cancelled all outstanding Series C and Series D Warrants.\n\nOn March 19, 2026, in connection with the Issuer's audit process, the Reporting Persons became aware that FUN, an entity wholly owned and controlled by Mr. Ikezi, held the Residual Warrants. Following the audit process, the Reporting Persons determined that the Residual Warrants had not previously been reflected in the Reporting Persons' Schedule 13D. The omission was inadvertent, and the Reporting Persons are filing this Amendment to disclose the Residual Warrants, the exercise of the Residual Warrants and the related transactions described herein. On June 5, 2026, FUN exercised and converted the Residual Warrants into 214,037 shares of Common Stock (the Warrant Shares).", "item4_transaction_purpose": "The responses of the Reporting Persons to Items 3 and 6 hereof are incorporated herein by reference. The shares are held for investment purposes.\n\nOn June 3, 2026, Bayside purchased 1,000 shares of Common Stock at a price of $4.85 per share.\n\nOn June 4, 2026, Bayside purchased an aggregate of 23,000 shares of Common Stock at a weighted average price of $24.6576 per share.\n\nOn June 4, 2026, Bayside sold 188,951 shares of Common Stock in open market transactions pursuant to the Company's Registration Statement at a weighted average price of $23.4305 per share. On June 5, 2026, Bayside sold 13,500 shares of Common Stock in open market transactions pursuant to the Company's Registration Statement at a weighted average price of $44.8878 per share. These sales were carried out in order to meet general liquidity needs of the Reporting Persons.\n\nOn June 5, 2026, Madison transferred 214,037 shares of Common Stock to FUN in an internal transfer among entities controlled by Mr. Ikezi. The transfer did not change Mr. Ikezi's aggregate beneficial ownership of Common Stock. On the same date, FUN purchased 2,000 shares of Common Stock at a weighted average price of $35.9950 per share and sold 192,437 shares of Common Stock in open market transactions pursuant to the Company's Registration Statement at a weighted average price of $37.3066 per share. Following the transactions described above, FUN beneficially owned 237,637 shares of Common Stock.\n\nOn June 7, 2026, Mr. Ikezi entered into a lock-up letter agreement with the Issuer in connection with the Issuer's proposed offering under the Securities Purchase Agreement dated June 7, 2026 and related Placement Agency Agreement with Titan Partners Group LLC, a division of American Capital Partners, LLC. Pursuant to the lock-up letter agreement, Mr. Ikezi agreed, subject to the exceptions set forth therein, not to sell, pledge, transfer or otherwise dispose of shares of Common Stock or securities convertible, exchangeable or exercisable into Common Stock until forty-five (45) days after the registration statement contemplated by the Securities Purchase Agreement is declared effective by the SEC.\n\nAny further actions the Reporting Person might undertake will be dependent upon the Reporting Person's evaluation of numerous factors, including, among other things, the price levels of the Common Stock, general market and economic conditions, ongoing evaluation of the Company's business, financial condition, operations and prospects, the relative attractiveness of alternative business and investment opportunities, investor's need for liquidity, and other future developments.\n\nFrom time to time, the Reporting Person may engage in discussions with the Board and/or members of the Company's management team concerning, including, without limitation, potential business opportunities and strategic direction, the business, operations, capital structure, governance, management and other matters concerning the Company.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1881551/000209233226000003/0002092332-26-000003-index.html" }, { "accession_no": "0001493152-26-028290", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 2052250, "issuer_name": "GoldenTree Opportunistic Credit Fund", "issuer_cusip": "38139T100", "securities_class_title": "Class I Shares of Beneficial Interest", "date_of_event": "2026-06-09", "filed_date": "2026-06-11", "item3_funds_source": "On June 9, 2026, a managed account for which the Investment Manager serves as investment manager purchased 465,230.17 Shares at a price of $10.21 per Share using its working capital. Additionally, on May 29, 2026, a managed account for which the Investment Manager serves as investment manager acquired an additional 33,908.90 Shares pursuant to the Issuer's dividend reinvestment plan.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2052250/000149315226028290/0001493152-26-028290-index.html" }, { "accession_no": "0001493152-26-028282", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 2069785, "issuer_name": "GLOO HOLDINGS, INC.", "issuer_cusip": "379598105", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-06-09", "filed_date": "2026-06-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2069785/000149315226028282/0001493152-26-028282-index.html" }, { "accession_no": "0001493152-26-028278", "submission_type": "SCHEDULE 13D/A", "amendment_no": 19, "issuer_cik": 926617, "issuer_name": "Aspira Women's Health Inc.", "issuer_cusip": "04537Y208", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-05", "filed_date": "2026-06-11", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment No. 19 to Schedule 13D (this \"Amendment\") hereby amends and supplements Item 4 by adding the following thereto: \"The disclosure set forth in Items 5 and 6 below is hereby incorporated by reference in this Item 4. On June 5, 2026, the Trust purchased from the Issuer the Common Stock and June 2026 Warrants pursuant to the June 2026 Purchase Agreement (in each case as defined and further described in Item 6 below).\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/926617/000149315226028278/0001493152-26-028278-index.html" }, { "accession_no": "0001185185-26-002473", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2101393, "issuer_name": "AMPERCAP ACQUISITION COMPANY", "issuer_cusip": "G0344N107", "securities_class_title": "Ordinary Shares, par value $0.0001", "date_of_event": "2026-06-04", "filed_date": "2026-06-11", "item3_funds_source": "The aggregate purchase price for the Founder Shares (as defined below) was $25,000. The aggregate purchase price of the Placement Units (as defined below) was $5,676,250. The source of these funds was the working capital of Sponsor.", "item4_transaction_purpose": "Founder Shares\n\nOn January 6, 2026, the Sponsor acquired an aggregate of 4,791,667 ordinary shares, for $25,000, or approximately $0.005 per share (including an aggregate of up to 625,000 shares subject to forfeiture depending on the extent to which the underwriters' over-allotment option is exercised) (\"Founder Shares\"), pursuant to the Securities Subscription Agreement dated as of January 6, 2026 between the Sponsor and the Issuer (the \"Founder Share Purchase Agreement\") as more fully described in Item 6 of this Section 13D, which information is incorporated by reference. On June 4, 2026, upon the consummation of the initial public offering (\"IPO\") of the Issuer and the third-party investors purchasing 127,500 private placement units from the Issuer, Sponsor transferred an aggregate of 1,147,500 Founder Shares to such third-party investors on the same day. On June 10, 2026, the underwriters partially exercised their over-allotment option in connection with the IPO and as a result, 12,500 Founder Shares were forfeited by the Sponsor. As a result of the foregoing, Sponsor holds 3,631,667 Founder Shares of the Issuer as of June 11, 2026.\n\nPrivate Placement Units\n\nOn June 2, 2026, simultaneously with the consummation of the Issuer's IPO, the Sponsor purchased 247,500 private placement units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Units Purchase Agreement, dated as of June 2, 2026, by and between the Issuer and the Sponsor (the \"Private Placement Units Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference. Each Placement Unit consists of one ordinary share (\"Placement Share\") and one right to receive one-tenth (1/10) of one ordinary share upon the consummation of the Issuer's business combination (\"Business Combination\") (\"Placement Share Right\"). On June 10, 2026, the underwriters partially exercised their over-allotment option in connection with the IPO and as a result, Sponsor received an additional 34,912 Placement Units. As a result, Sponsor holds 282,412 Placement Units as of June 11, 2026. The foregoing description of the Founder Share Purchase Agreement and the Private Placement Units Purchase Agreement does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the agreements, which are attached as exhibits hereto and incorporated herein by reference. The ordinary shares owned by the Reporting Persons have been acquired for investment purposes. The Reporting Persons may make further acquisitions of the ordinary shares from time to time and, subject to certain restrictions, may dispose of any or all of the ordinary shares held by the Reporting Persons at any time depending on an ongoing evaluation of the investment in such securities, prevailing market conditions, other investment opportunities and other factors. However, certain of such shares are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed Business Combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial Business Combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2101393/000118518526002473/0001185185-26-002473-index.html" }, { "accession_no": "0001104659-26-073089", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1728117, "issuer_name": "Gossamer Bio, Inc.", "issuer_cusip": "38341P102", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-11", "item3_funds_source": "On June 4, 2026, the Reporting Persons acquired beneficial ownership of 48,107,644 New Shares (as defined in Item 4) in connection with the Exchange Offer (as defined in Item 4).Valence received 45,745,939 New Shares, together with $10,369,000 in principal amount of New Convertible Notes (as defined in Item 4) and 21,602,250 Purchase Warrants (as defined in Item 4), in exchange for its surrender of $28,803,000 aggregate principal amount of Existing Convertible Notes (as defined in Item 4) in connection with the Exchange Offer, as further described in Item 4. Cogence received 2,361,705 New Shares, together with $535,000 in principal amount of New Convertible Notes and 1,115,250 Purchase Warrants, in exchange for its surrender of $1,487,000 aggregate principal amount of Existing Convertible Notes in connection with the Exchange Offer, as further described in Item 4. The disclosure set forth in Item 4 of this Schedule 13D regarding such acquisitions of New Convertible Notes, New Shares and Purchase Warrants is incorporated in this Item 3 by reference. Valence and Cogence expended approximately $19,242,448 and $970,268 (excluding taxes and commissions), respectively, of their working capital to acquire such Existing Convertible Notes that were tendered in exchange for such New Shares, New Convertible Notes and Purchase Warrants.\n\nIn acquiring 389,431 Common Shares, certain funds under the management of DESIM expended approximately $648,456 (excluding taxes and commissions) of their working capital. Such Common Shares and the Existing Convertible Notes mentioned in the immediately preceding paragraph were acquired and held in margin accounts together with other securities; such accounts may from time to time make use of margin.", "item4_transaction_purpose": "The information set forth in Item 3 of this Schedule 13D is incorporated herein by reference.\n\nSummary of May 18, 2026 Agreements\n\nOn May 18, 2026, the Issuer commenced an exchange offer (the \"Exchange Offer\") to exchange any and all of its 5.00% Convertible Senior Notes due 2027 (the \"Existing Convertible Notes\") for a pro rata portion of (i) up to $72.0 million in aggregate principal amount of its new 7.50% Convertible Senior Secured First Lien Notes due 2030 (the \"New Convertible Notes\"), (ii) up to 317,647,058 Common Shares (the Common Shares issued in the Exchange Offer, the \"New Shares\") or, in lieu of issuing Common Shares to the extent any investor would beneficially own greater than 9.99% of the outstanding Common Shares, prefunded warrants to purchase Common Shares (the \"Prefunded Warrants\") and (iii) up to 150,000,000 warrants to purchase Common Shares (the \"Purchase Warrants\").\n\nOn June 4, 2026, following receipt of the requisite consents in the concurrent solicitation of consents (the \"Consent Solicitation\") from holders of the Existing Convertible Notes, the Issuer and Wilmington Trust, National Association, as trustee under the indenture, dated as of May 21, 2020, and a first supplemental indenture, dated as of May 21, 2020 (together, the \"Existing Convertible Notes Indenture\"), entered into a supplemental indenture to eliminate substantially all of the restrictive covenants, certain of the default provisions and certain other provisions contained in the Existing Convertible Notes Indenture.\n\nAlso on May 18, 2026, holders of approximately 75.2% of the Existing Convertible Notes, including Valence and Cogence (the \"Supporting Noteholders\"), entered into a transaction support agreement with the Issuer (the \"Transaction Support Agreement\") to support the Exchange Offer and Consent Solicitation, including by tendering all of their Existing Convertible Notes in the Exchange Offer and delivering related consents.\n\n$30,290,000 aggregate principal amount of Existing Convertible Notes held by Valence and Cogence collectively were tendered to the Issuer prior to 5:00 p.m., New York City time, on June 2, 2026 (the \"Extended Early Tender Date\"). The exchange of New Convertible Notes, New Shares, and Purchase Warrants for Valence's and Cogence's Existing Convertible Notes was finalized on June 4, 2026 (the \"Early Settlement Date\").\n\nOn the Early Settlement Date, and in exchange for their Existing Convertible Notes, Valence received $10,369,000 aggregate principal amount of New Convertible Notes, 45,745,939 New Shares, and 21,602,250 Purchase Warrants, plus accrued and unpaid interest on such Existing Convertible Notes from, and including, the most recent interest payment date to, but excluding, the Early Settlement Date, equal to $12,006.25, and Cogence received $535,000.00 aggregate principal amount of New Convertible Notes, 2,361,705 New Shares, and 1,115,250 Purchase Warrants, plus accrued and unpaid interest on such Existing Convertible Notes from, and including, the most recent interest payment date to, but excluding, the Early Settlement Date, equal to $619.58. In connection with the early settlement of the Exchange Offer, the Issuer issued $65,174,000 in aggregate principal amount of New Convertible Notes, 254,150,441 New Shares, 33,402,727 Prefunded Warrants and 135,789,000 Purchase Warrants in exchange for the validly tendered and accepted Existing Convertible Notes.\n\nContemporaneously with their entrance into the Transaction Support Agreement, each of Valence and Cogence entered into a voting agreement (the \"Voting Agreements\") with the Issuer whereby Valence and Cogence agreed to appear at the Issuer's special meeting of stockholders to be held following the Exchange Offer (including any adjournment or postponement thereof, the \"Special Meeting\") or otherwise cause the New Shares received by them in the Exchange Offer to be counted as present thereat for purposes of determining a quorum, and be present (in person or by proxy) and vote, or cause to be voted, all of the New Shares beneficially owned by them in favor of the Stockholder Proposals (as defined below). It was a condition to the Exchange Offer and Consent Solicitation that valid, binding and enforceable agreements provided by Supporting Noteholders to vote the New Shares received in the Exchange Offer in favor of the Stockholder Proposals were in place with respect to the New Shares to be held by the parties to the Transaction Support Agreement. On June 9, 2026, the Issuer filed a definitive proxy statement with the SEC announcing that the Special Meeting will be held on July 14, 2026, at 9:00 a.m. Pacific Time, unless postponed or adjourned to a later date.\n\nExchange Offer Memorandum and Consent Solicitation Statement\n\nThe Exchange Offer and Consent Solicitation will expire at 5:00 p.m., New York City time, on June 16, 2026 (such time and date, as the same may be extended, the \"Expiration Deadline\"), unless extended or earlier terminated. The withdrawal deadline for the Exchange Offer and Consent Solicitation occurred at 5:00 p.m., New York City time, on June 1, 2026 (the \"Withdrawal Deadline\"), and on June 4, 2026, the Issuer completed the early settlement of the exchange of the Existing Convertible Notes validly tendered (and not validly withdrawn) in the Exchange Offer by the Extended Early Tender Date. If, at or prior to the Expiration Deadline, unless extended, all conditions to the Exchange Offer have been or are concurrently satisfied or waived, the Issuer will accept for exchange all Existing Convertible Notes validly tendered in the Exchange Offer at or prior to the Expiration Deadline, and not validly withdrawn at or prior to the Withdrawal Deadline. The final settlement date, if any, will be promptly after the Expiration Deadline and is currently expected to occur on June 18, 2026, the second business day immediately following the Expiration Deadline.\n\nEligible holders who validly tendered and did not validly withdraw their Existing Convertible Notes and delivered related consents at or prior to the Extended Early Tender Date were eligible to receive, for each $1,000 in aggregate principal amount of Existing Convertible Notes validly tendered for exchange, $360 in aggregate principal amount of New Convertible Notes, 1,588.2353 Common Shares or Prefunded Warrants and 750 Purchase Warrants. Eligible holders who validly tender Existing Convertible Notes after the Extended Early Tender Date but at or prior to the Expiration Deadline, and whose Existing Convertible Notes are accepted for exchange by the Issuer, will receive, for each $1,000 in aggregate principal amount of Existing Convertible Notes validly tendered for exchange, $360 in aggregate principal amount of New Convertible Notes and 1,588.2353 Common Shares or Prefunded Warrants.\n\nTransaction Support Agreement\n\nThe Transaction Support Agreement was subject to certain conditions, including a condition that the Issuer would not consummate the Exchange Offer unless holders of at least 98% of the aggregate principal amount of Existing Convertible Notes exchanged their Existing Convertible Notes in the Exchange Offer. On June 3, 2026, the Issuer announced that $181,052,000 in aggregate principal amount of Existing Convertible Notes, representing 90.526% of the aggregate outstanding principal amount of Existing Convertible Notes, had been validly tendered and not validly withdrawn as of the Extended Early Tender Date, and that the Issuer and the Supporting Noteholders representing a majority of the Existing Convertible Notes held by Supporting Noteholders had agreed to amend the minimum participation condition to require tender of a minimum of 90.5% of the aggregate principal amount of Existing Convertible Notes.\n\nOn the Early Settlement Date, the Issuer accepted the Early Tendered Notes for exchange, caused such notes to be delivered to the trustee under the Existing Convertible Notes Indenture for cancellation, and, following such cancellation, $18,948,000 aggregate principal amount of Existing Convertible Notes remained outstanding. In accordance with the terms of the Transaction Support Agreement, the Transaction Support Agreement automatically terminated on the Early Settlement Date.\n\nVoting Agreements\n\nThe Voting Agreements provide that, from and after the initial settlement date of the New Convertible Notes, New Shares, and Purchase Warrants in the Exchange Offer and until 5:00 p.m., New York City time on the date that is the earlier of (i) the record date of the Special Meeting and (ii) the date that is two business days following the initial settlement date of the New Convertible Notes, New Shares, and Purchase Warrants in the Exchange Offer, Valence and Cogence will not transfer, sell, exchange, assign or convey any legal or beneficial ownership interest in, or any right, title or interest therein (including any right or power to vote), or otherwise dispose of (whether by sale, liquidation, dissolution, dividend, distribution or otherwise) any New Shares, or enter into any contract, option or other agreement with respect to any of the foregoing, subject to certain exceptions as included therein. Such restrictions terminated on June 5, 2026, the record date of the Special Meeting.\n\n\"Stockholder Proposals\" mean proposals to approve: (i) in accordance with Nasdaq Listing Rule 5635(d), the potential issuance of Common Shares upon conversion of up to $72.0 million aggregate principal amount of New Convertible Notes, make-whole payments in Common Shares and exercise of up to 150,000,000 Purchase Warrants, which would, in the aggregate, exceed 20% of the Common Shares issued and outstanding immediately prior to the commencement of the Exchange Offer; (ii) an amendment and restatement of the Issuer's 2019 Incentive Award Plan (the \"Restated Plan\") to increase the number of Common Shares authorized for issuance thereunder; (iii) an amendment to increase the Issuer's authorized Common Shares from 700,000,000 to 4,000,000,000, to support, among other things, Common Shares issuable upon conversion of the New Convertible Notes, Prefunded Warrants and Purchase Warrants and under the Restated Plan; (iv) a series of 30 alternate amendments to the Issuer's charter to effect (x) a reverse stock split (on a range of proposed ratios of not less than 1-for-10 on the low end and not greater than 1-for-150 on the high end), with the exact ratio to be determined by the board of directors of the Issuer at a later date and (y) a proportionate reduction in the number of authorized Common Shares (and corresponding decrease to the total number of authorized shares of the Issuer's capital stock); and (v) one or more adjournments of the Special Meeting, if necessary, to solicit additional proxies if there are not sufficient votes to approve the foregoing proposals at the Special Meeting or any adjournment(s) thereof.\n\nIndenture\n\nThe New Convertible Notes were issued pursuant to an indenture, dated as of June 4, 2026 (the \"Indenture\"), by and between the Issuer, the guarantors party thereto and U.S. Bank Trust Company, National Association, as trustee and collateral agent.\n\nThe New Convertible Notes are secured, first lien obligations of the Issuer and will mature on July 1, 2030, unless earlier converted or repurchased in accordance with their terms; provided that the New Convertible Notes have a springing maturity date of March 2, 2027, which is 91 days prior to the stated maturity of the Existing Convertible Notes, if more than $4.0 million of the Existing Convertible Notes remain outstanding at such time. The New Convertible Notes bear interest at a rate of 7.50% per annum from June 4, 2026, payable in cash semi-annually in arrears on January 1 and July 1 of each year, starting on January 1, 2027.\n\nThe conversion rate for the New Convertible Notes is initially the number of Common Shares per $1,000 principal amount of New Convertible Notes equal to the quotient of $1,000 divided by a 10% premium to a reference price equal to the greater of (i) $0.17 and (ii) the lower of (x) $0.34 and (y) the average of the daily volume-weighted average prices for the seven (7) consecutive VWAP trading days beginning on, and including, the VWAP trading day immediately following the final settlement date (the \"Reference Price\").\n\nPrior to obtaining stockholder approval for the Stockholder Proposals, the Issuer is permitted to satisfy its obligations upon conversion of the New Convertible Notes only in the form of cash settlement. Following such stockholder approval, the Issuer will be permitted to satisfy its obligations under the New Convertible Notes with any settlement method it is otherwise permitted to elect, including by physical settlement of Common Shares. Additionally, a holder of New Convertible Notes will not be permitted to convert its New Convertible Notes at any time prior to the later of (a) the date the conversion rate has been determined and (b) the earlier of (1) the date of the Special Meeting, whether or not approvals of the Stockholder Proposals are obtained and (2) the date that is 61 calendar days following the Early Settlement Date. A \"make whole\" premium will be payable on the New Convertible Notes through an increase to the conversion rate in certain circumstances to compensate converting holders for interest that would have been payable to the maturity date.\n\nUnder certain circumstances and subject to conditions set forth in the Indenture, the Issuer may elect to force a mandatory conversion of the New Convertible Notes.\n\nThe Indenture contains a non-waivable beneficial ownership limitation provision providing that no New Convertible Note will be optionally convertible by the applicable economic interest holder, and the Issuer will not effect any conversion of a New Convertible Note, to the extent that, after giving effect to such conversion, such economic interest holder, together with its attribution parties, would beneficially own in excess of 4.99% of the Common Shares outstanding immediately after giving effect to such conversion. An economic interest holder may increase or decrease the beneficial ownership limitation by notice to the Issuer, provided that any such increase or decrease will not be effective until the 61st day after such notice is delivered to the Issuer, and the beneficial ownership limitation may not be increased above 9.99% or decreased below 4.99%.\n\nPurchase Warrant Agreement\n\nThe Purchase Warrants were issued pursuant to a warrant agreement, dated as of June 4, 2026, between the Issuer and Computershare, Inc., as warrant agent (the \"Purchase Warrant Agreement\"). Prior to obtaining stockholder approval for the Stockholder Proposals, the Issuer will be permitted to satisfy its obligations upon exercise of the Purchase Warrants only in the form of cash settlement on a net-cash basis. Following such stockholder approval, the Issuer will be permitted to satisfy its obligations under the Purchase Warrants by physical settlement in Common Shares. The Purchase Warrants will be exercisable at any time from December 3, 2026 until June 4, 2031, with a cash exercise price equal to the greater of (i) $0.34 and (ii) a 25% premium to the Reference Price, subject to adjustment.\n\nThe number of Common Shares issuable upon exercise of the Purchase Warrants is subject to customary anti-dilution adjustments in the event of stock dividends, stock splits, stock combinations, reclassifications, distributions and similar events, as well as adjustments in connection with certain degressive issuances at a price below the then-current strike price and a reduction to the strike price in connection with a fundamental change based on a Black-Scholes valuation of the Purchase Warrants. The Purchase Warrant Agreement includes a beneficial ownership limitation that provides that the holders may not exercise (nor may the Issuer allow the exercise of) the Purchase Warrants if, upon giving effect to such exercise, such exercise would cause the aggregate number of Common Shares beneficially owned by the holder (together with its affiliates and any other persons whose beneficial ownership of Common Shares would be aggregated for the purposes of Section 13(d) of the Exchange Act) to exceed 4.99% (or, at the holder's election, up to 9.99%) of the total number of the then issued and outstanding Common Shares; provided that any increase in such percentage will not be effective until the 61st day after such notice is delivered to the Issuer. The Purchase Warrant Agreement provides that the Issuer will prepare a resale registration statement with respect to the Common Shares underlying the Purchase Warrants, subject to certain terms and exceptions.\n\nThe foregoing descriptions of the Transaction Support Agreement, the Voting Agreements, the Indenture and the Purchase Warrant Agreement do not purport to be complete and are qualified in their entirety by reference to the full text of the form of such agreements or such agreements, as applicable, which are filed as exhibits 99.5, 99.6, 99.7, and 99.8 to this Schedule 13D.\n\nPlans and Proposals\n\nThe Reporting Persons expect to review from time to time their investment in the Issuer and may, depending on the market and other conditions, determine to: (i) increase or decrease their position in the Issuer through, among other things, the purchase or sale of Common Shares and/or other equity, debt, derivative securities or other instruments that are convertible into Common Shares, or are based upon or relate to the value of the Common Shares or the Issuer (collectively, \"Securities\") on the open market or in private transactions, on such terms and at such times as the Reporting Persons may deem advisable, (ii) increase or decrease the beneficial ownership limitations applicable to the New Convertible Notes and/or the Purchase Warrants to the extent permitted under their respective terms and the Indenture and/or Purchase Warrant Agreement, as applicable, and/or (iii) enter into transactions that increase or hedge its economic exposure to the Common Shares or other Securities without affecting the Reporting Persons' beneficial ownership of the Common Shares or other Securities.\n\nSuch transactions may take place at any time and without prior notice. There can be no assurance, however, that any Reporting Person or any of their affiliates will take any such actions. The Reporting Persons may, from time to time, engage in discussions with members of the Issuer's management and board of directors, other current and prospective holders of the Issuer's equity and debt securities, industry analysts, existing or potential strategic partners or competitors, investment and financing professionals, equity and debt financing sources and other third parties regarding a variety of matters relating to the Issuer, which, in addition to the matters discussed above, may include, among other things, the Issuer's business, management, capital structure, capital allocation, corporate governance, board composition and strategic alternatives and direction, and may take other steps seeking to bring about changes to increase shareholder value as well as pursue other plans or proposals that relate to or could result in any of the matters set forth in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D.\n\nExcept as set forth above, none of the Reporting Persons has any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1728117/000110465926073089/0001104659-26-073089-index.html" }, { "accession_no": "0001104659-26-073086", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1680367, "issuer_name": "Shattuck Labs, Inc.", "issuer_cusip": "82024L103", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-09", "filed_date": "2026-06-11", "item3_funds_source": "Item 3 of the Prior Schedule 13D is hereby amended and supplemented in its entirety by adding the following paragraphs after the last paragraph of Item 3:\n\nOn June 3, 2026, certain private investment funds managed by Redmile (the \"Redmile Funds\"), not including RBI II, exercised on a cashless basis certain pre-funded warrants to purchase Common Stock (the \"Pre-Funded Warrants\") in accordance with the terms thereof, at an exercise price of $0.0001 per share. The participating Redmile Funds were issued an aggregate of 1,012,203 shares of Common Stock by the Issuer, net of the warrant shares representing the aggregate exercise price.\n\nOn June 9, 2026, certain Redmile Funds, including RBI II, exercised all of the Common Warrants held by such Redmile Funds in accordance with the terms thereof, which were exercisable, at the holder's sole discretion, for either Common Stock, at an exercise price of $1.0846 per share, or Pre-Funded Warrants, at an exercise price of $1.0845 per Pre-Funded Warrant. The participating Redmile Funds, including RBI II, elected to receive 340,106 shares of Common Stock and Pre-Funded Warrants to purchase an aggregate of 3,757,624 shares of Common Stock and utilized their working capital to pay the aggregate exercise price of approximately $4,444,022. Of the securities acquired by the participating Redmile Funds upon exercise of the Common Warrants, RBI II utilized its working capital to pay an aggregate exercise price of approximately $2,221,514 to receive Pre-Funded Warrants to purchase 2,048,423 shares of Common Stock.\n\nOn June 9, 2026, certain Redmile Funds, not including RBI II, also participated in an underwritten offering of the Issuer's Common Stock and Pre-Funded Warrants (the \"Underwritten Offering\") and utilized their working capital in an aggregate amount of approximately $3,999,900 to acquire Pre-Funded Warrants to purchase 1,000,000 shares of Common Stock at a price of $3.9999 per Pre-Funded Warrant, each with an exercise price of $0.0001 per share.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1680367/000110465926073086/0001104659-26-073086-index.html" }, { "accession_no": "0001104659-26-073043", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1128281, "issuer_name": "Saker Aviation Services, Inc.", "issuer_cusip": "32025R104", "securities_class_title": "Common Shares, par value $0.03 per share", "date_of_event": "2026-06-11", "filed_date": "2026-06-11", "item3_funds_source": "The shares were acquired in open market purchases with working capital of Cedar Creek Partners LLC, Eriksen Capital Management LLC managed accounts, and Mr. Eriksen, respectively. The amount of funds expended, excluding commissions, to acquire units held were: Cedar Creek Partners - $741,848; Eriksen Capital Management managed accounts - $451,664; Mr. Eriksen - $76,504.", "item4_transaction_purpose": "The Reporting Persons acquired shares of Saker Aviation for investment purposes.\n\nIn pursuing such investment purposes, the Reporting Persons may further purchase, hold, vote, trade, dispose or otherwise deal in the units at times, and in such manner, as they deem advisable to benefit from, among other things, (1) changes in the market prices of the units; (2) changes in the Issuer's operations, business strategy or prospects; or (3) from the sale or merger of the Issuer. To evaluate such alternatives, the Reporting Persons will closely monitor the Issuer's operations, prospects, business development, management, competitive and strategic matters, capital structure, and prevailing market conditions, as well as other economic, securities markets, and investment considerations. Consistent with their investment research methods and evaluation criteria, the Reporting Persons may discuss such matters with the Issuer, other shareholders, industry analysts, existing or potential strategic partners or competitors, investment and financing professionals, sources of credit, and other investors. Such evaluations and discussions may materially affect, and result in, among other things, the Reporting Persons (1) modifying their ownership of the shares; (2) exchanging information with the Issuer pursuant to appropriate confidentiality or similar agreements; (3) proposing changes in the Issuer's operations, governance or capitalization; (4) proposing changes of the Issuer's bylaws; or (5) pursuing one or more of the other actions described in subsections (a) through (j) of Item 4 of Schedule 13D.\n\nIn addition to the information disclosed in this Statement, the Reporting Persons reserve the right to (1) formulate other plans and proposals; (2) take any actions with respect to their investment in the Issuer, including any or all of the actions set forth in subsections (a) through (j) of Item 4 of Schedule 13D; and (3) acquire additional shares or dispose of some or all of the shares beneficially owned by them, in each case in the open market, through privately negotiated transactions or otherwise. The Reporting Persons may at any time reconsider and change their plans or proposals relating to the foregoing.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1128281/000110465926073043/0001104659-26-073043-index.html" }, { "accession_no": "0001104659-26-073025", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1563577, "issuer_name": "Galera Therapeutics, Inc.", "issuer_cusip": "36338D108", "securities_class_title": "Common stock, par value $0.001 per share (the \"Common Stock\")", "date_of_event": "2026-05-15", "filed_date": "2026-06-11", "item3_funds_source": "The response to Item 4 of this Schedule 13D is incorporated herein by reference.", "item4_transaction_purpose": "The response to Item 6 of this Schedule 13D is incorporated herein by reference.\n\nNova MergerOn December 30, 2024, the Issuer entered into an Agreement and Plan of Merger (the \"Nova Merger Agreement\"), by and among the Issuer, Grape Merger Sub I, Inc., a Delaware corporation and a wholly owned subsidiary of the Issuer (\"First Merger Sub\"), Grape Merger Sub II, LLC, a Delaware limited liability company and wholly owned subsidiary of the Issuer (\"Second Merger Sub\") and Nova Pharmaceuticals, Inc., a Delaware corporation (\"Nova\"), on December 30, 2024 (the \"Closing\"), the Issuer acquired Nova. In accordance with the Nova Merger Agreement, First Merger Sub merged with and into Nova (the \"First Merger\"), with Nova surviving as a wholly owned subsidiary of the Issuer. Following the First Merger and as part of the same overall transaction as the First Merger, Nova merged with and into Second Merger Sub (the \"Second Merger\" and, together with the First Merger, the \"Merger\"), with Second Merger Sub being the surviving entity of the Second Merger and renamed Nova Pharmaceuticals Operating, LLC (the \"Surviving Company\").\n\nAt the Closing, Parvinder Singh Hyare acquired 13,521.292 shares of Series B Non-Voting Convertible Preferred Stock, par value $0.001 per share (\"Series B Preferred Stock\"), in exchange for shares of common stock of Nova held immediately prior to the Closing, which were automatically converted into a number of shares of Series B Preferred Stock at an exchange ratio of 177.9117. Pursuant to the Nova Merger Agreement, no earlier than twelve (12) months following the Closing, but no later than eighteen (18) months following the Closing, the Issuer will submit the following matters to its stockholders at a meeting of stockholders (the \"Stockholders' Meeting\") for their consideration: (i) the approval of the conversion of the Series B Preferred Stock into shares of Common Stock (the \"Conversion Proposal\"); (ii) the approval of an amendment to the Issuer's certificate of incorporation to effect a reverse stock split and/or increase the number of authorized shares of Common Stock to such amount as determined by the Issuer's board of directors (the \"Board\") following the Closing; and (iii) the approval of one or more adjournments of the Stockholders' Meeting to solicit additional proxies if there are not sufficient votes cast in favor of the foregoing matters (collectively, the \"Meeting Proposals\"). Following stockholder approval of the Conversion Proposal, each share of Series B Preferred Stock will be convertible into 1,000 shares of Common Stock (the \"Conversion Ratio\") at any time at the option of the holder thereof, subject to certain limitations. The shares of Series B Preferred Stock have no expiration date. On March 17, 2026, the Surviving Company executed a Waiver of Certain Provisions of Agreement and Plan of Merger (the \"Waiver\"). Pursuant to the Waiver, the Surviving Company waived the Issuer's obligations under the Nova Merger Agreement to hold a meeting of stockholders to vote on, among other things, the Conversion Proposal.\n\nPartial Mandatory Conversion of Series B Preferred Stock\n\nOn February 12, 2026, the Issuer filed a Certificate of Amendment (the \"Amendment\") to a Certificate of Designation of Preferences, Rights and Limitations of Series B Preferred Stock (the \"Certificate of Designation\") with the Secretary of State of Delaware. The Amendment provides that, in the sole discretion of the Board, the Issuer may elect to convert, in whole or in part, outstanding shares of Series B Preferred Stock into a number of shares of Common Stock calculated based on the Conversion Ratio (a \"Mandatory Conversion\"). On May 14, 2026, the Issuer provided Parvinder Singh Hyare with a Notice of Mandatory Conversion of Series B Non-Voting Convertible Preferred Stock (the \"Mandatory Conversion Notice\") effective May 15, 2026 (the \"Mandatory Conversion\"). In connection with the Mandatory Conversion, 13,521.292 shares of Series B Preferred Stock held by Parvinder Singh Hyare were converted into 13,521,921 shares of Common Stock. In lieu of fractional shares to which Parvinder Singh Hyare was entitled, the Company is required to pay Parvinder Singh Hyare an amount of cash equal to such fraction multiplied by the closing price of a share of Common Stock on the applicable Trading Market (as defined in the Certificate of Designation) on the date of the Mandatory Conversion, in accordance with Section 6.4.6 of the Certificate of Designation. Following the Mandatory Conversion, Parvinder Singh Hyare now holds 13,521,921 shares of Common Stock and no shares of Series B Preferred Stock.\n\nStockholder Support Agreement\n\nOn April 14, 2026, the Issuer entered into an Agreement and Plan of Merger (the \"Obsidian Merger Agreement\") with Obsidian Therapeutics, Inc., a Delaware corporation (\"Obsidian\"), Gazelle Parent, Inc., a Delaware corporation (\"Parent\"), Onyx MergerSub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Parent (\"Obsidian Merger Sub\"), and Gazelle Merger Subsidiary, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Parent (\"Galera Merger Sub\").\n\nPursuant to the Obsidian Merger Agreement, and upon the terms and subject to the satisfaction of the conditions described therein, the Issuer will be merged with and into Galera Merger Sub, with the Issuer surviving as a wholly owned subsidiary of Parent (the \"Galera Merger\"), and Obsidian will be merged with and into Obsidian Merger Sub, with Obsidian surviving as a wholly owned subsidiary of Parent (the \"Obsidian Merger\" and, together with the Galera Merger, the \"Mergers\" and, together with all of the other transactions contemplated by the Obsidian Merger Agreement, the \"Contemplated Transactions\").\n\nConcurrently with the execution of the Obsidian Merger Agreement, the executive officers and directors and certain other stockholders of the Issuer, including Parvinder Singh Hyare, holding an aggregate of approximately 51.1% of the Issuer's outstanding capital stock entered into support agreements (the \"Stockholder Support Agreements\") in favor of Obsidian, providing among other things, that such officers, directors and stockholders will vote all of their eligible shares of Issuer capital stock, among other things: (i) in favor of approving the Mergers, the Galera Stockholder Written Consent (as defined in the Obsidian Merger Agreement) and the other actions contemplated by the Obsidian Merger Agreement and (ii) against any proposal made in opposition to, or in competition with, the Obsidian Merger Agreement or the Mergers. The foregoing description of the Stockholder Support Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the form of Stockholder Support Agreement, which is filed as an exhibit to this Schedule 13D and is incorporated herein by reference.\n\nReporting Person has no present plans or proposals that relate to or would result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D.\n\nThe Reporting Person intends to review their investment in the Issuer's Common Stock (or derivatives with respect thereto) on a continuing basis.\n\nDepending on various factors including, without limitation, the Issuer's financial position, the price of the Issuer's Common Stock, conditions in the securities markets and general economic and industry conditions, the Reporting Person may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, (i) purchasing additional shares of Common Stock (or derivatives with respect thereto) in the open market, in privately negotiated transactions or otherwise; (ii) selling all or a portion of the shares of Common Stock (or derivatives with respect thereto) now beneficially owned or hereafter acquired by the Reporting Person; or taking any other action with respect to the Issuer or any of its securities in any manner permitted by law or with respect to any and all matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D.\n\nOther than as described herein, the Reporting Person does not have any present plans or proposals that relate to or that would result in any of the events or matters described in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D, although, subject to the agreements described herein and applicable legal requirements, the Reporting Person may, at any time and from time to time, may review, reconsider and change their position or change their purpose or develop such plans.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1563577/000110465926073025/0001104659-26-073025-index.html" }, { "accession_no": "0001104659-26-072968", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1579878, "issuer_name": "Figma, Inc.", "issuer_cusip": "316841105", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-06-09", "filed_date": "2026-06-11", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nAs of the date set forth on the cover page hereto, the Wu-Wallace Family Trust converted 4,400,000 shares of Class B Common Stock into an equal number of shares of Class A Common Stock and made a bona fide gift of such shares of Class A Common Stock to a charitable foundation. Such transaction resulted in a decrease in the number of shares of the Issuer's voting capital stock over which Mr. Field exercises voting discretion subject to the Wallace Proxy.\n\nThe foregoing discussion of the Wallace Proxy does not purport to be complete and is qualified in its entirety by reference to the full text of the Wallace Proxy which was filed on October 28, 2025 as Exhibit 1 to the Initial Statement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1579878/000110465926072968/0001104659-26-072968-index.html" }, { "accession_no": "0001104659-26-072954", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1857190, "issuer_name": "Nyxoah SA", "issuer_cusip": "B6S7WD106", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-06-10", "filed_date": "2026-06-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1857190/000110465926072954/0001104659-26-072954-index.html" }, { "accession_no": "0001072613-26-000520", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1254370, "issuer_name": "Western Asset Inflation-Linked Income Fund", "issuer_cusip": "95766Q106", "securities_class_title": "Common Shares", "date_of_event": "2026-06-09", "filed_date": "2026-06-11", "item3_funds_source": "Item 3 is hereby amended to read as follows:\n\nKarpus an independent registered investment advisor, has accumulated 8,639,783.8 Shares on behalf of accounts managed by Karpus (the \"Accounts\") under limited powers of attorney. All funds that have been utilized in making such purchases for the Accounts (which are open market purchases unless otherwise noted) are from such Accounts.\n\nThe aggregate purchase price of the 8,639,783.8 Shares beneficially owned by Karpus is approximately $81,577,698.37, excluding brokerage commissions. The Shares purchased by Karpus with working capital (which may at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases except as otherwise noted herein.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1254370/000107261326000520/0001072613-26-000520-index.html" }, { "accession_no": "0000921895-26-001603", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1334978, "issuer_name": "Clear Channel Outdoor Holdings, Inc.", "issuer_cusip": "18453H106", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-06-09", "filed_date": "2026-06-11", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe securities of the Issuer purchased by each of Legion Partners I, Legion Partners II, Legion Partners Special XVI and Legion Partners Holdings were purchased with working capital.\n\nThe aggregate purchase price of the 2,107,996 Shares owned directly by Legion Partners I is approximately $2,322,598, including brokerage commissions. The aggregate purchase price of the 187,371 Shares owned directly by Legion Partners II is approximately $206,446, including brokerage commissions. The aggregate purchase price of the 204,633 Shares owned directly by Legion Partners Special XVI is approximately $224,516, including brokerage commissions. The aggregate purchase price of the 900 Shares owned directly by Legion Partners Holdings is approximately $2,004, including brokerage commissions.\n\nIn connection with the appointment of Raymond T. White to the Board of Directors of the Issuer (the \"Board\"), as further described in Amendment No. 1 to the Schedule 13D, Mr. White has been awarded an aggregate of 394,274 restricted stock units (\"RSUs\") in connection with his service as a director of the Issuer, of which 312,685 RSUs have vested or vest within 60 days of the date hereof and 81,589 remain unvested and do not vest within 60 days of the date hereof.\n\nBecause Mr. White serves on the Board as a representative of Legion Partners Asset Management and the Reporting Persons, he does not have a right to any economic interest in securities of the Issuer granted to him by the Issuer in respect of his Board position. As a result, when the Issuer delivered such RSUs to Mr. White, Legion Partners Asset Management was entitled to receive all of the economic interests in securities granted to Mr. White by the Issuer in respect of Mr. White's Board position, for no consideration.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1334978/000092189526001603/0000921895-26-001603-index.html" }, { "accession_no": "0000921895-26-001602", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1319947, "issuer_name": "Designer Brands Inc.", "issuer_cusip": "250565108", "securities_class_title": "Class A Common Shares, without par value", "date_of_event": "2026-06-11", "filed_date": "2026-06-11", "item3_funds_source": "Funds used to acquire the Shares beneficially owned by Partners have come from general working capital of Partners. The aggregate purchase price of the 5,500,000 Shares directly owned by Partners is approximately $31,996,256, including brokerage commissions. The purchase price of the call options (the \"Options\") held by Partners that are exercisable into 1,500,000 Shares is $0.34 per Option, including, brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were substantially undervalued. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nThe Reporting Persons are converting from a Schedule 13G to a Schedule 13D because they believe the Shares are significantly undervalued and intend to engage in discussions with the Issuer regarding ways the existing Board of Directors (the \"Board\") and management can take steps to improve operational performance and investor communications and increase shareholder value. Among other things, the Reporting Persons believe the Issuer should be providing enhanced segment-level disclosure of the Topo Athletic brand, which is one of the rare few brands that has emerged and gained relevance and scale in the specialty run channel in the last two decades.\n\nNo Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. Depending on various factors including, without limitation, the Issuer's financial position, results and strategic direction, actions taken by the Issuer's management and Board, other investment opportunities available to the Reporting Persons, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with the Issuer's management and Board, engaging in discussions with shareholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, making recommendations or proposals to the Issuer concerning changes to the Issuer's operations or capitalization, potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, acquiring additional Shares, disposing of some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1319947/000092189526001602/0000921895-26-001602-index.html" }, { "accession_no": "0000902664-26-002759", "submission_type": "SCHEDULE 13D/A", "amendment_no": 17, "issuer_cik": 937556, "issuer_name": "MASIMO CORP", "issuer_cusip": "574795100", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-10", "filed_date": "2026-06-11", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nOn June 10, 2026 (the \"Closing Date\"), the Merger was consummated pursuant to the Merger Agreement. At the effective time of the Merger (the \"Effective Time\"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent.\n\nAt the Effective Time, each share of Common Stock issued and outstanding immediately prior to the Effective Time (other than shares excluded or treated as described in the Merger Agreement) was automatically cancelled, extinguished and converted into the right to receive an amount in cash equal to $180.00 per share, without interest and less any applicable withholding taxes (the \"Per Share Merger Consideration\"). Accordingly, the 4,590,873 shares of Common Stock beneficially owned by the Reporting Persons immediately prior to the Effective Time were converted into the right to receive the Per Share Merger Consideration. In addition, the 1,119 restricted share units held by Mr. Koffey, as a non-employee director of the Issuer, were cancelled and converted at the Effective Time into the right to receive an amount in cash equal to the Per Share Merger Consideration for each share of Common Stock underlying such restricted share units.\n\nAs a result of the Merger, the Reporting Persons ceased to beneficially own any shares of Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/937556/000090266426002759/0000902664-26-002759-index.html" }, { "accession_no": "0002069861-26-000005", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1096296, "issuer_name": "MINERALRITE Corp", "issuer_cusip": "60314D601", "securities_class_title": "Series NMC Preferred", "date_of_event": "2026-05-06", "filed_date": "2026-06-10", "item3_funds_source": "Personal and business assets.", "item4_transaction_purpose": "For investment purposes only. I do not exercise any management control of the company, though I do perform consulting services for the issuer through my company Abstract Concepts 1618, LLC.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1096296/000206986126000005/0002069861-26-000005-index.html" }, { "accession_no": "0002069861-26-000004", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1096296, "issuer_name": "MINERALRITE Corp", "issuer_cusip": "60314D403", "securities_class_title": "Series C Preferred", "date_of_event": "2026-06-10", "filed_date": "2026-06-10", "item3_funds_source": "Personal and business assets.", "item4_transaction_purpose": "For investment purposes only. I do not exercise any management control of the company, though I do perform consulting services for the issuer through my company Abstract Concepts 1618, LLC.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1096296/000206986126000004/0002069861-26-000004-index.html" }, { "accession_no": "0002069861-26-000003", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1096296, "issuer_name": "MINERALRITE Corp", "issuer_cusip": "60314D106", "securities_class_title": "Common", "date_of_event": "2026-06-10", "filed_date": "2026-06-10", "item3_funds_source": "Personal and business assets.", "item4_transaction_purpose": "For investment purposes only. I do not exercise any management control of the company, though I do perform consulting services for the issuer through my company Abstract Concepts 1618, LLC.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1096296/000206986126000003/0002069861-26-000003-index.html" }, { "accession_no": "0002035146-26-000006", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1616262, "issuer_name": "Rocky Mountain Chocolate Factory, Inc.", "issuer_cusip": "77467X101", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-07", "filed_date": "2026-06-10", "item3_funds_source": null, "item4_transaction_purpose": "The transactions described below ae reported for purposes of Item 5(c).\nOn February 19, 2026, the Reporting Person sold 2,000 shares at an average price of $2.6191 per share. On February 20, 2026, the Reporting Person sold 7,499 shares at an average price of $2.6015 per share. On February 25, 2026, the Reporting Person sold 430 shares at an average price of $2.601 per share. On February 26, 2026, the Reporting Person sold 18,715 shares at an average price of $2.6067 per share. On February 27, 2026, the Reporting Person sold 5,241 shares at an average price of $2.60 per share. On March 4, 2026, the Reporting Person sold 11,297 shares at an average price of $2.60 per share. On March 5, 2026, the Reporting Person sold 8,918 shares at an average price of $2.60 per share. On May 1, 2026, the Reporting Person sold 35,900 shares at an average price of $2.45 per share. On May 4, 2026, the Reporting Person sold 50,000 shares at an average price of $2.45 per share. On May 7, 2026, the Reporting Person sold 530 shares at an average price of $2.60 per share. On May 8, 2026, the Reporting Person sold 30,254 shares at an average price of $2.60 per share. On May 13, 2026, the Reporting Person sold 14,421 shares at an average price of $2.6027 per share. On May 14, 2026, the Reporting Person sold 4,336 shares at an average price of $2.60 per share.\nThe purpose of these transactions was investment purposes. These transactions were conducted for portfolio management and investment purposes. The Reporting Person reserves the right to make further purchases or sales of the Issuer's securities depending on market conditions and other factors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1616262/000203514626000006/0002035146-26-000006-index.html" }, { "accession_no": "0001805207-26-000003", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1527753, "issuer_name": "Personalis, Inc.", "issuer_cusip": "71535D106", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-08", "filed_date": "2026-06-10", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1527753/000180520726000003/0001805207-26-000003-index.html" }, { "accession_no": "0001398344-26-010702", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1574085, "issuer_name": "Braemar Hotels & Resorts Inc.", "issuer_cusip": "10482B101", "securities_class_title": "Common Stock", "date_of_event": "2026-06-10", "filed_date": "2026-06-10", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\nOn June 10, 2026, the Reporting Persons issued a press release regarding an open letter (the \"June 10, 2026 letter\") the Reporting Persons sent to the outside members of the Board. In the June 10, 2026 letter, the Reporting Persons urged the outside directors to resist any efforts by Ashford executives to manipulate the director nomination and election process.\nThe Reporting Persons reiterated their concern that, in the Reporting Persons' view, the current Board has no legitimacy and that shareholders should be given the opportunity to elect new directors at the 2026 Annual Meeting. The Reporting Persons also reiterated that ASIL intends to nominate several candidates for election to the Board at the 2026 Annual Meeting and has been preparing to submit its notice of nominations.\nThe Reporting Persons further expressed their concern that the current form of questionnaire (the \"Questionnaire\") required to be completed by director nominees under the Issuer's Fifth Amended and Restated Bylaws, as amended (the \"Bylaws\") differs materially from the form used by the Issuer just one year ago in connection with the 2025 Annual Meeting of Shareholders. The revisions add seven pages and more than 60 questions and sub-questions to an already lengthy document. The Reporting Persons believe that the Questionnaire has the effect of impeding the legitimate exercise of shareholder rights and appears designed to create procedural obstacles to the nomination of director candidates by shareholders.\nThe foregoing summary of the June 10, 2026 letter does not purport to be complete and is subject to, and qualified in its entirety by, the June 10, 2026 letter, a copy of which is attached here as Exhibit 9 and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574085/000139834426010702/0001398344-26-010702-index.html" }, { "accession_no": "0001213900-26-067514", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1728328, "issuer_name": "InMed Pharmaceuticals Inc.", "issuer_cusip": "457637700", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-05-19", "filed_date": "2026-06-10", "item3_funds_source": "The funds used to purchase the securities reported herein came from the working capital of Vivo Opportunity Fund Holdings, L.P. and Vivo Opportunity Cayman Fund, L.P.", "item4_transaction_purpose": "On May 19, 2026, the Issuer, Indigo Merger Sub Corp., a Delaware corporation and a wholly owned subsidiary of the Issuer (the \"First Merger Sub\"), Indigo Merger Sub II, LLC, a Delaware limited liability company and a wholly owned subsidiary of the Issuer (the \"Second Merger Sub\" and, together with First Merger Sub, the \"Merger Subs\"), and Mentari Therapeutics, Inc., a Delaware corporation (\"Mentari\"), entered into an Agreement and Plan of Merger and Reorganization (the \"Merger Agreement\"), pursuant to which, among other matters and subject to the satisfaction or waiver of the conditions set forth in the Merger Agreement, (i) the First Merger Sub will merge with and into Mentari, with Mentari surviving the merger as a wholly owned subsidiary of the Company (the \"First Merger\"), and (ii) immediately following the First Merger and as part of the same overall transaction as the First Merger, Mentari will merge with and into the Second Merger Sub, with the Second Merger Sub surviving such merger (the \"Second Merger\" and, together with the First Merger, the \"Merger\"). Subject to the terms and conditions of the Merger Agreement, at the effective time of the First Merger (the \"First Effective Time\"), each share of Mentari capital stock outstanding immediately prior to the First Effective Time will be converted into the right to receive a number of the Issuer's common shares (the \"Common Shares\") equal to the exchange ratio determined under the Merger Agreement (the \"Exchange Ratio\").\n\nConcurrently with the execution of the Merger Agreement, certain investors, including Vivo Opportunity Fund Holdings, L.P and Vivo Opportunity Cayman Fund, L.P., executed a Securities Purchase Agreement with Mentari, pursuant to which they agreed to purchase, immediately prior to the First Effective Time, shares of Mentari's common stock in the pre-closing financing. The closing of the pre-closing financing is conditioned upon the closing of the Merger. Upon closing of the pre-closing financing, shares of Mentari's common stock issued pursuant to this financing transaction will be converted into Common Shares of the Issuer, in accordance with the Exchange Ratio and the Merger Agreement.\n\nThe foregoing descriptions of the Merger Agreement and the Mentari Securities Purchase Agreement do not purport to be complete and are qualified in their entirety by the full text of such agreements, which are attached as exhibits to this Schedule 13D and incorporated herein by reference.\n\nThe Reporting Persons acquired the Common Shares of the Issuer set forth in this Schedule 13D on the open market, starting on May 19, 2026, after the announcement of the Merger Agreement by the Issuer, and ending on June 8, 2026. The Reporting Persons hold the Common Shares for investment purposes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1728328/000121390026067514/0001213900-26-067514-index.html" }, { "accession_no": "0001193125-26-266148", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1261654, "issuer_name": "Universal Technical Institute, Inc.", "issuer_cusip": "913915104", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-06-08", "filed_date": "2026-06-10", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1261654/000119312526266148/0001193125-26-266148-index.html" }, { "accession_no": "0001193125-26-265376", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1850235, "issuer_name": "D-MARKET Electronic Services & Trading", "issuer_cusip": "23292B104", "securities_class_title": "Ordinary Shares, nominal value TRY 0.20 per share", "date_of_event": "2026-06-08", "filed_date": "2026-06-10", "item3_funds_source": "On June 8, 2026, the Reporting Person purchased 1,885,027 Ordinary Shares (represented by ADSs) of the Issuer from an unrelated party at a purchase price of USD 2.87 per share, for an aggregate purchase price of USD 5,410,027.49. On May 18, 2026, the Reporting Person purchased 1,968,787 Ordinary Shares (represented by ADSs) of the Issuer from an unrelated party at a purchase price of USD 2.89 per share, for an aggregate purchase price of USD 5,689,794.43. Together, these purchases represent an acquisition of approximately 1% of the Issuer's total Ordinary Shares outstanding.\n\nThe source of funding for the purchases was the working capital of the Reporting Person.", "item4_transaction_purpose": "The purpose of the Reporting Person's transactions in the Issuer's securities, including the transaction reported in this Amendment No. 8, is to have a substantial controlling interest in the Issuer and to increase that interest if and when appropriate. The Reporting Person re-examines its investment in the Issuer on a continuing basis. Any actions the Reporting Person might undertake with respect to its investment may be made at any time and from time to time and will be dependent upon the Reporting Person's review of numerous factors, including, but not limited to: ongoing evaluation of the price levels of the Issuer's securities; general market, industry and economic conditions; and other factors and future developments. The Reporting Person considers regularly and may explore and/or develop plans and/or formulate proposals with respect to its investment in the Issuer and propose or consider one or more of the actions described in subparagraphs (a) - (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1850235/000119312526265376/0001193125-26-265376-index.html" }, { "accession_no": "0001193125-26-264808", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1703056, "issuer_name": "ADT, INC.", "issuer_cusip": "00090Q103", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-04-30", "filed_date": "2026-06-10", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1703056/000119312526264808/0001193125-26-264808-index.html" }, { "accession_no": "0001104659-26-072493", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 908937, "issuer_name": "Sirius XM Holdings Inc.", "issuer_cusip": "829933100", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-04-21", "filed_date": "2026-06-10", "item3_funds_source": null, "item4_transaction_purpose": "The information contained in Item 4 of the Schedule 13D is hereby amended to delete the last two paragraphs thereof and supplemented to include the following information:\n\nAs previously disclosed in this Schedule 13D, Mr. Malone has continued to review his investment in the Issuer on an ongoing basis and, based on various factors, including, without limitation, the Issuer's financial position, the price of shares of Common Stock, conditions in the securities markets and general economic and industry conditions, Mr. Malone has elected to dispose of shares of Common Stock reported herein. Mr. Malone has also written call options for additional shares that expire at various times from August 2026 to July 2027. These call options can be settled for cash or shares of Common Stock at Mr. Malone's election. Mr. Malone will continue to monitor such factors and conditions and may, in the future, take such actions with respect to his shares of Common Stock as he deems appropriate, including, without limitation, purchasing additional shares or disposing of all or a portion of the securities of the Issuer owned by him.\n\nOther than as described above and except to the extent the call options described herein are settled in shares of Common Stock, Mr. Malone does not have any present plans or proposals which relate to or would result in: (i) any acquisition by any person of additional securities of the Issuer, or any disposition of securities of the Issuer; (ii) any extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (iii) any sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (iv) any change in the Board or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any vacancies on the Board; (v) any material change in the present capitalization or dividend policy of the Issuer; (vi) any other material change in the Issuer's business or corporate structure; (vii) any change in the Issuer's charter or bylaws or other actions which may impede the acquisition of control of the Issuer by any person; (viii) any delisting from a national securities exchange or any loss of authorization for quotation in an inter-dealer quotation system of a registered national securities association of a class of securities of the Issuer; (ix) any termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended, of a class of equity securities of the Issuer; or (x) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/908937/000110465926072493/0001104659-26-072493-index.html" }, { "accession_no": "0001079973-26-000817", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 96664, "issuer_name": "American Fusion, Inc.", "issuer_cusip": "75971P101", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-15", "filed_date": "2026-06-10", "item3_funds_source": "The Reporting Person acquired the shares reported herein through a combination of shares received in connection with the reverse acquisition of Kepler Fusion Technologies Inc. and other acquisitions over time. No borrowed funds were used to acquire the shares.", "item4_transaction_purpose": "The Reporting Person acquired the securities for investment purposes and currently intends to hold the securities for investment. The Reporting Person may from time to time acquire additional securities of the Issuer or dispose of securities of the Issuer depending on market conditions, the Issuer's business and prospects, and other relevant factors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/96664/000107997326000817/0001079973-26-000817-index.html" }, { "accession_no": "0000950142-26-001726", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1612720, "issuer_name": "NextDecade Corp", "issuer_cusip": "65342K105", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-10", "item3_funds_source": "On November 17, 2025, AP Master Fund II, Rio Grande LNG Super Holdings, LLC (\"Super Holdings\"), the Company and certain financial institutions party to the agreement as lenders entered into an amended and restated credit agreement (the \"Credit Agreement\"). The Credit Agreement amended and restated that certain credit agreement, dated December 31, 2024, among Super Holdings, AP Master Fund II and certain financial institutions party to the agreement as lenders (as amended on May 14, 2025, the \"Original Credit Agreement\"). Pursuant to the Credit Agreement, APSC II Holdco I currently has the right to acquire 8,272,308 shares of common stock upon the conversion of $78,586,925 outstanding principal amount of Series A Loans (as defined below) at an exchange price of $9.50 per share (the \"Convertible Loans\"). The Convertible Loans mature on November 17, 2030 and are currently exchangeable, at any time prior to the prepayment or repayment in full of the Series A Loans, for shares of the Company's common stock, provided that, unless the outstanding Series A Loans are being exchanged in full, no exchange may reduce the aggregate outstanding principal amount of the Series A Loans below $19,000,000.\n\nAPSC II Holdco II directly holds 8,386,255 warrants issued in connection with the Original Credit Agreement which are currently exercisable to acquire (i) 3,579,499 shares of common stock currently exercisable at an exercise price of $7.15 per share (subject to adjustment), which were issued on December 31, 2024, amended and restated on November 17, 2025 and expire on December 31, 2031, (ii) 3,579,499 shares of common stock at an exercise price of $9.30 per share (subject to adjustment), which were issued on December 31, 2024, amended and restated on November 17, 2025 and expire on December 31, 2031, and (iii) 1,227,257 shares of common stock at an exercise price of $9.30 per share (subject to adjustment), which were issued on May 14, 2025, amended and restated on November 17, 2025 and expire on May 14, 2032 (the \"Warrants\").\n\nThe funds contributed in connection with the Original Credit Agreement and Credit Agreement were obtained from contributions from AP Master Fund II and AP Parallel Fund II.", "item4_transaction_purpose": "The Reporting Persons extended the Convertible Loans and acquired the Warrants reported herein for investment purposes. Consistent with such purposes, the Reporting Persons may engage in communications with, without limitation, one or more shareholders of the Company, management of the Company, one or more members of the board of directors of the Company, and may make suggestions concerning the Company's operations, prospects, business and financial strategies, strategic transactions, assets and liabilities, business and financing alternatives, the composition of the board of directors of the Company and such other matters as the Reporting Persons may deem relevant to their investment in the common stock. The Reporting Persons expect that they will, from time to time, review their investment position in the common stock or the Company and may, depending on the Company's performance and other market conditions, increase or decrease their investment position in the common stock. The Reporting Persons may, from time to time, make additional purchases of common stock either in the open market or in privately-negotiated transactions, depending upon the Reporting Persons' evaluation of the Company's business, prospects and financial condition, the market for the common stock, other opportunities available to the Reporting Persons, general economic conditions, stock market conditions and other factors. Depending upon the factors noted above, the Reporting Persons may also decide to hold or dispose of all or part of their investments in the common stock and/or enter into derivative transactions with institutional counterparties with respect to the Company's securities, including the common stock.\n\nExcept as set forth in this Item 4 or Item 6 below, the Reporting Persons have no present plans or proposals that relate to, or that would result in, any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1612720/000095014226001726/0000950142-26-001726-index.html" }, { "accession_no": "0000921895-26-001595", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 354963, "issuer_name": "SHENANDOAH TELECOMMUNICATIONS CO/VA/", "issuer_cusip": "82312B106", "securities_class_title": "Common Stock (No Par Value)", "date_of_event": "2026-06-08", "filed_date": "2026-06-10", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nLIF Vista received 4,100,375 of the Shares directly beneficially owned by it in exchange for each issued and outstanding Class A Unit of Horizon Acquisition Parent LLC (\"Horizon\") held by LIF Vista in connection with the Horizon Transaction (as defined in the Schedule 13D).\n\nLIF Vista received 15,675 of the Shares directly beneficially owned by it in connection with its director designee's service on the Board (as defined in the Schedule 13D).", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nEffective June 8, 2026, James DiMola resigned from the Board and Matthew Rinklin was appointed to the Board to serve as a Class 3 director to fill the vacancy created by Mr. DiMola's resignation. Mr. Rinklin's appointment was made pursuant to the Investor Rights Agreement (as defined in the Schedule 13D). Mr. Rinklin will be deemed to replace Mr. DiMola as the Investor Director (as defined in the Investor Rights Agreement) under the Investor Rights Agreement and will assume Mr. DiMola's roles on the standing committees of the Board. Mr. Rinklin will initially serve as a director until the Issuer's 2027 Annual Meeting of Stockholders.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/354963/000092189526001595/0000921895-26-001595-index.html" }, { "accession_no": "0000921895-26-001594", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 18498, "issuer_name": "GENESCO INC", "issuer_cusip": "371532102", "securities_class_title": "Common Stock, $1.00 par value", "date_of_event": "2026-06-08", "filed_date": "2026-06-10", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares directly owned by Mr. Radoff were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 460,000 Shares directly owned by Mr. Radoff is approximately $13,096,050 including brokerage commissions.\n\nThe Shares purchased by Jumana Capital were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 506,479 Shares directly owned by Jumana Capital is approximately $15,475,590, including brokerage commissions.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn June 8, 2026, Mr. Radoff delivered a letter to the Issuer withdrawing his nominations of Glen W. Herrick and Kashif (Kash) Molwani for election to the Board at the Annual Meeting. Also on June 8, 2026, the Reporting Persons filed a preliminary proxy statement with the Securities and Exchange Commission in connection with their solicitation of proxies for the election of Westervelt (Westy) T. Ballard, Jr. and Paula J. Poskon to the Board at the Annual Meeting.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/18498/000092189526001594/0000921895-26-001594-index.html" }, { "accession_no": "0001999371-26-012489", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1633061, "issuer_name": "Amplify ETF Trust", "issuer_cusip": "032108573", "securities_class_title": "Amplify Bloomberg AI Equal Weight ETF", "date_of_event": "2026-06-02", "filed_date": "2026-06-09", "item3_funds_source": "Shares of the issuer are held in separately managed accounts for which Hennion and Walsh Asset Management serves as investment advisor. Shares were purchased with available funds from the separately managed accounts.", "item4_transaction_purpose": "Hennion & Walsh Asset Management acts as an investment adviser. Shares of the issuer were purchased for investment purposes. Item 4 (a) through (j) is not applicable", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1633061/000199937126012489/0001999371-26-012489-index.html" }, { "accession_no": "0001539497-26-001705", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1158463, "issuer_name": "JETBLUE AIRWAYS CORP", "issuer_cusip": "477143101", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-09", "filed_date": "2026-06-09", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1158463/000153949726001705/0001539497-26-001705-index.html" }, { "accession_no": "0001493152-26-027988", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1897245, "issuer_name": "HWH INTERNATIONAL INC.", "issuer_cusip": "44852G309", "securities_class_title": "COMMON STOCK, $0.0001 PAR VALUE", "date_of_event": "2026-06-08", "filed_date": "2026-06-09", "item3_funds_source": "On June 8, 2026 Alset Inc. entered into a Stock Purchase Agreement with HWH International Inc. (the \"Issuer\") pursuant to which Alset Inc. purchased 250,000 newly-issued shares of the Issuer's common stock at a price of $2.00 per share.", "item4_transaction_purpose": "The Reporting Persons do not have any present plans or proposals related to the transaction described herein that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, the Reporting Person, at any time, and from time to time, may review, reconsider and change their position, purposes and plans.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1897245/000149315226027988/0001493152-26-027988-index.html" }, { "accession_no": "0001493152-26-027919", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1948864, "issuer_name": "Healthy Choice Wellness Corp.", "issuer_cusip": "422277105", "securities_class_title": "Class A Common Stock, $0.001 Par Value", "date_of_event": "2026-06-02", "filed_date": "2026-06-09", "item3_funds_source": "The information set forth in Item 4 is incorporated by reference herein.", "item4_transaction_purpose": "The Reporting Person acquired the securities identified in this Statement in connection with his service as an officer of the Issuer and pursuant to securities issued pursuant to the Issuer's 2024 Equity Incentive Plan. Restricted stock awards of 815,746 shares of Common Stock vested pursuant to applicable award agreements effective as of June 2, 2026.\n\nThe Reporting Person beneficially owns 1,568,604 shares of Common Stock of the Issuer. The Reporting Person beneficially owns 5.29% of the Issuer's Common Stock, calculated based on 29,642,378 shares of Common Stock outstanding as of June 2, 2026.\n\nThe securities described in this Statement are being held by the Reporting Person for investment purposes. The Reporting Person may acquire additional Common Stock of the Issuer through compensatory grants by the Issuer or through public or private purchases.\n\nExcept as described in this Statement or in his capacity as Chief Operating Officer and President of the Issuer, the Reporting Person has no plans or proposals which relate to or would result in:\n\n(a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer.\n\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries.\n\n(c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries.\n\n(d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board.\n\n(e) Any material change in the present capitalization or dividend policy of the issuer.\n\n(f) Any other material change in the issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940.\n\n(g) Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person.\n\n(h) Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of registered national securities association.\n\n(i) A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n\n(j) Any action similar to any of those enumerated above.\n\nThe information set forth in Items 5 and 6 are incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1948864/000149315226027919/0001493152-26-027919-index.html" }, { "accession_no": "0001493152-26-027909", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1948864, "issuer_name": "HEALTHY CHOICE WELLNESS CORP.", "issuer_cusip": "422277105", "securities_class_title": "Class A Common Stock, $0.001 Par Value", "date_of_event": "2026-06-02", "filed_date": "2026-06-09", "item3_funds_source": "The information set forth in Item 4 is incorporated by reference herein.", "item4_transaction_purpose": "The Reporting Person acquired the securities identified in this Statement in connection with his service as an officer and director of the Issuer and pursuant to securities issued pursuant to the Issuer's equity compensation plan. Restricted Stock Awards of 1,287,301 shares of Common Stock vested pursuant to applicable award agreements effective as of June 2, 2026.\n\nThe Reporting Person beneficially owns 2,664,899 shares of Common Stock of the Issuer. The Reporting Person beneficially owns 8.99% of the Issuer's Common Stock, calculated based on 29,642,378 shares of Common Stock outstanding as of June 2, 2026.\n\nThe securities described in this Statement are being held by the Reporting Person for investment purposes. The Reporting Person may acquire additional Common Stock of the Issuer through compensatory grants by the Issuer or through public or private purchases. The Reporting Person may exercise the stock options described above and subsequently dispose of the underlying Common Stock or otherwise acquire or dispose of additional securities of the Issuer, to the extent deemed advisable in light of his general investment strategies, market conditions, or other factors.\n\nIn the ordinary course of his duties as Chief Executive Officer and as the Chairman of the Board of Directors of the Issuer, the Reporting Person has and expects in the future to discuss and to make decisions regarding plans or proposals with respect to the matters specified in clauses (a) through (j) of this Item 4 with the Issuer.\n\nExcept as described in this Statement or in his capacity as Chief Executive Officer or the Chairman of the Board of Directors of the Issuer, the Reporting Person has no plans or proposals which relate to or would result in:\n\n(a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer.\n\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries.\n\n(c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries.\n\n(d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board.\n\n(e) Any material change in the present capitalization or dividend policy of the issuer.\n\n(f) Any other material change in the issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940.\n\n(g) Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person.\n\n(h) Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of registered national securities association.\n\n(i) A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n\n(j) Any action similar to any of those enumerated above.\n\nThe information set forth in Items 5 and 6 are incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1948864/000149315226027909/0001493152-26-027909-index.html" }, { "accession_no": "0001213900-26-066922", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2028293, "issuer_name": "Rain Enhancement Technologies Holdco, Inc.", "issuer_cusip": "75080J103", "securities_class_title": "Class A common stock, $0.0001 par value per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-09", "item3_funds_source": null, "item4_transaction_purpose": "On June 5, 2026, the Issuer entered into an Agreement to Convert Debt to Equity (the \"Conversion Agreement\") with RHY Management, a lender to the Issuer and entity of which the Reporting Person is the sole member. Pursuant to the Conversion Agreement, on June 5, 2026, RHY Management exchanged an aggregate of $4,000,000 of indebtedness owed by the Issuer to RHY Management into shares of Class A Common Stock at a price per share equal to the volume-weighted average price of the Class A Common Stock for the ten trading days preceding the date of the Conversion Agreement, which was $2.48 per share, for an aggregate of 1,612,903 shares of Class A Common Stock.\n\nIn connection with the Conversion Agreement, on June 5, 2026, RHY Management entered into a joinder to the lock-up agreement dated December 31, 2024 (the \"Lock-Up Joinder\"), which provides that the shares of Class A Common Stock issued to RHY Management pursuant to the Conversion Agreement are subject to transfer restrictions until the earlier of (x) December 31, 2026 and (y) the date on which the Company completes a liquidation, merger, capital stock exchange, reorganization or other similar transaction that results in all of the Company's shareholders having the right to exchange their shares of common stock for cash, securities or other property.\n\nThe foregoing descriptions of the Conversion Agreement and the Lock-Up Joinder do not purport to be complete and are qualified in their entirety by the full text of the Conversion Agreement and Lock-Up Joinder, copies of which are filed as exhibits to this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2028293/000121390026066922/0001213900-26-066922-index.html" }, { "accession_no": "0001213900-26-066827", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2098707, "issuer_name": "BurTech Acquisition Corp II", "issuer_cusip": "G1810A108", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-06-09", "filed_date": "2026-06-09", "item3_funds_source": "The information set forth in Item 4 hereof is hereby incorporated by reference into this Item 3, as applicable.", "item4_transaction_purpose": "Founder Shares\n\nIn connection with the organization of the Issuer, the Sponsor paid $25,000 for 12,321,429 Class B ordinary shares, $0.0001 par value per share (the \"Founder Shares\"), after the surrender of 7,392,858 Founder Shares on April 17, 2026 for no consideration and after the surrender of 985,714 Founder Shares on May 21, 2026 for no consideration, or, approximately $0.006 per share in connection with the Issuer's initial public offering (\"IPO\") which closed on May 26, 2026. The Issuer's registration statement on Form S-1 (File No. 333-295232, the \"Registration Statement\") was declared effective on May 13, 2026, and its final prospectus, dated May 21, 2026, filed on May 26, 2026, pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended, (the \"Securities Act\") (the \"Final Prospectus\"). See the Final Prospectus under the heading \"CERTAIN RELATIONSHIPS AND RELATED PARTY TRANSACTIONS.\"\n\nOn June 5, 2026, 514,286 Founder Shares were surrendered for no consideration because the underwriter did not exercise its over-allotment option.\n\nPublic Units\n\nOn May 26, 2026, the Issuer closed its initial public offering of 8,000,000 units, at a price of $10.00 per unit (the \"Public Units\"), for an aggregate purchase price of $80,000,000. Each Public Unit consists of one ordinary share and one redeemable warrant (each, a \"warrant\"). Each warrant entitles the holder thereof to purchase one Class A ordinary share at a price of $11.50 per share, subject to adjustment (as described more fully in the Registration Statement).\n\nPrivate Placement Units\n\nOn May 26, 2026, simultaneously with the closing of the Issuer's IPO, the Sponsor acquired 222,000 private placement units and an institutional investor acquired 30,000 private placement units (\"Private Placement Units\" and, together with the Public Units, the \"Units\") at $10.00 per Private Placement Unit, for an aggregate purchase price of $2,220,000, pursuant to a Private Placement Units Purchase Agreement dated May 21, 2026 between the Sponsor and the Issuer and a Founder Shares and Private Placement Units Agreement dated May 21, 2026 between the institutional investor and the Issuer (collectively, the \"Private Placement Units Purchase Agreements\"). The Private Placement Units are the same as the Public Units, except as described in the Registration Statement. The summary of such Private Placement Units Purchase Agreements contained herein is qualified in its entirety by reference to the full text of such agreements, copies of which are filed as exhibits hereto.\n\nThe Reporting Persons continuously assess the Issuer's business, financial condition, results of operations and prospects, general economic conditions, other developments and additional investment opportunities. Depending on such assessments, and subject to any restrictions described herein, the Reporting Persons may acquire additional securities of the Issuer or new securities of the Issuer or may determine to purchase, sell or otherwise dispose of all or some of the Issuer's securities beneficially owned by the Reporting Persons in the open market, as applicable, in privately negotiated transactions, in transactions directly with the Issuer or otherwise. Such actions will depend upon a variety of factors, including, without limitation, current and anticipated future trading prices, the financial condition, results of operations and prospects of the Issuer, alternative investment opportunities, general economic, financial market and industry conditions and other factors that the Reporting Persons may deem material to their investment decision.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2098707/000121390026066827/0001213900-26-066827-index.html" }, { "accession_no": "0001193125-26-264406", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1561921, "issuer_name": "TELA Bio, Inc.", "issuer_cusip": "872381108", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-09", "filed_date": "2026-06-09", "item3_funds_source": "The funds used to purchase the securities reported herein came from the working capital of EWHP and EWHP-A.", "item4_transaction_purpose": "The disclosure set forth in Item 6 below is hereby incorporated by reference in this Item 4.\n\nThis Schedule 13D reports that, on June 9, 2026, an operating partner affiliated with the Reporting Persons was appointed to the Board of Directors of the Issuer.\n\nExcept as described above, none of the Reporting Persons has any present plan or proposal which relates to, or could result in, any of the events referred to in paragraphs (a) through (j), inclusive, of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1561921/000119312526264406/0001193125-26-264406-index.html" }, { "accession_no": "0001171520-26-000133", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1307579, "issuer_name": "LiqTech International, Inc.", "issuer_cusip": "53632A300", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-06-05", "filed_date": "2026-06-09", "item3_funds_source": "Item 3 to Schedule 13D is hereby amended to include the following:\n\nOn June 5, 2026, funds managed by the Reporting Persons agreed to buy 700,000 shares of Common Stock in the Issuer's underwritten public offering (the \"2026 Offering\") pursuant to the Registration Statement on Form S-1 (File No. 333-296258) filed with the Securities and Exchange Commission on May 27, 2026, as amended, at the price of $1.00 per share, which 2026 Offering closed on June 8, 2026.\n\nOn June 8, 2026, pursuant to the terms of a debt cancellation and exchange agreement (the \"Debt Cancellation Agreement\") entered into between the Issuer and funds managed by the Reporting Persons on May 26, 2026, $3,000,000 of the outstanding principle amount (but not the interest accrued thereon) of the Notes (as amended pursuant to the Allonge #1 to Promissory Note, effective as of September 30, 2023, and the Allonge #2 to Promissory Note, effective as of March 26, 2025) were cancelled in exchange for the issuance to such funds managed by the Reporting Persons of 3,000,000 Shares in the aggregate. Concurrently, the remaining balance of the Notes and the accrued interest thereon was repaid in full. In addition, on June 4, 2026, the Issuer and such funds managed by the Reporting Persons entered into a registration rights agreement (the \"2026 Registration Rights Agreement\") pursuant to which the Issuer agreed to provide, among other things, resale registration rights with respect to the Shares issued pursuant to the Debt Cancellation Agreement.\n\nAs of June 8, 2026, accounts and funds managed by the Reporting Persons hold 6,882,239 Shares, which were acquired pursuant to open market purchases, private purchases and the terms of the Debt Cancellation Agreement.", "item4_transaction_purpose": "Item 4 to Schedule 13D is hereby amended to include the following:\n\nThe disclosure under Item 3 in this Amendment is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1307579/000117152026000133/0001171520-26-000133-index.html" }, { "accession_no": "0001104659-26-071942", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1798749, "issuer_name": "Jade Biosciences, Inc.", "issuer_cusip": "008064206", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-09", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1798749/000110465926071942/0001104659-26-071942-index.html" }, { "accession_no": "0001104659-26-071635", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1722606, "issuer_name": "Metalla Royalty & Streaming Ltd.", "issuer_cusip": "59124U605", "securities_class_title": "Common Shares, without par value", "date_of_event": "2026-06-05", "filed_date": "2026-06-09", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1722606/000110465926071635/0001104659-26-071635-index.html" }, { "accession_no": "0000950157-26-000693", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1941131, "issuer_name": "TORO CORP.", "issuer_cusip": "Y8900D108", "securities_class_title": "Common Shares, USD 0.001 par value per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-09", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended to add the following at the end thereof:\n\nOn April 22, 2026, the board of directors of the Issuer declared a one-time, special dividend of $0.90 per Share (the \"Special Dividend\"), consisting of either cash or, at the shareholder's election, the Issuer's Shares payable to the Issuer's shareholders of record as of May 4, 2026. Pani Corp. elected to receive such Special Dividend in Shares. The Special Dividend was paid on June 5, 2026. The number of Shares issued as a result of the Share dividend election was calculated based on the 20-day volume weighted average of the trading prices of the Issuer's Shares on the Nasdaq Stock Market through April 21, 2026, which the Issuer has determined was equal to $3.8821 per share. The Reporting Persons have not paid any consideration in connection with such Shares.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1941131/000095015726000693/0000950157-26-000693-index.html" }, { "accession_no": "0000950142-26-001669", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1913847, "issuer_name": "Coincheck Group N.V.", "issuer_cusip": "N20967118", "securities_class_title": "Ordinary Shares, nominal value Euro 0.01 per share", "date_of_event": "2026-06-09", "filed_date": "2026-06-09", "item3_funds_source": "The Reporting Person acquired beneficial ownership of 28,536,516 ordinary shares of the Issuer reported on this Schedule 13D (the \"Shares\") for aggregate consideration of $65,063,256.48 on June 9, 2026. The source of the funds used to acquire such beneficial ownership was the working capital of the Reporting Person.", "item4_transaction_purpose": "The information set forth in Items 3, 5 and 6 is hereby incorporated by reference into this Item 4.\n\nThe Reporting Person acquired the Shares as an investment and to seek business opportunities with the Issuer and its subsidiaries and affiliates. Consistent with such purposes, and pursuant to the share subscription and investor rights agreement between the Reporting Person and the Issuer, dated May 12, 2026 (the \"Share Subscription Agreement\")and the agreement between the Reporting Person and Monex Group, Inc., the controlling shareholder of the Issuer (\"Monex\"), dated May 12, 2026 (the \"Acknowledgement Agreement\"), each further described below, subject to the limitations, rules and requirements under applicable law, limitations under the articles of incorporation of the Issuer, as amended, as well as any restrictions under the transaction documents described in Item 6, including the aforementioned agreements, the Reporting Person may engage in communications with, without limitation, management of the Issuer, one or more members of the board of directors of the Issuer, other shareholders of the Issuer and other relevant parties, and may make suggestions, concerning the business, assets, capitalization, financial condition, operations, governance, management, prospects, strategy, strategic transactions, financing strategies and alternatives, and future plans of the Issuer, and such other matters as the Reporting Person may deem relevant to its investment in the Issuer, which communications and suggestions may include proposing or considering one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D.\n\nPursuant to the Share Subscription Agreement and the Acknowledgement Agreement, the Reporting Person expects to nominate a person to be elected in or around September 2026 to serve as a member of the board of directors of the Issuer.\n\nThe foregoing descriptions of the Share Subscription Agreement and the Acknowledgement Agreement do not purport to be complete and are qualified in their entirety by reference to the full text of the respective agreements, which are filed hereto as Exhibits 1 and 3 and are incorporated by reference herein.\n\nIn 2025, the Reporting Person established a joint venture with Coincheck, Inc., a subsidiary of the Issuer organized under the laws of Japan, and au Financial Holdings Corporation, a subsidiary of the Reporting Person organized under the laws of Japan. As a further strategic step forward, the Reporting Person intends to collaborate with Coincheck, Inc., through a business alliance, on initiatives aimed at expanding the digital asset market in Japan, including through mutual customer referral programs and related revenue sharing and referral fees.\n\nDepending on various factors (including, without limitation, the Issuer's financial position and strategic direction, actions taken by the board of directors of the Issuer, market conditions and general economic and industry conditions), and subject to certain restrictions and limitations included in the transaction documents described in Item 6, the Reporting Person may take such actions with respect to its investment in the Issuer as the Reporting Person deems appropriate, including, without limitation, purchasing additional ordinary shares or other financial instruments of or related to the Issuer, selling some or all of its beneficial holdings to a third party, or transferring some or all of its beneficial holdings to a subsidiary or affiliate, and/or otherwise changing its intention with respect to any and all matters referred to in this Item 4. Furthermore, the Reporting Person may, from time to time, propose modifications or additions to the business dealings with the Issuer or its subsidiaries and affiliates.\n\nExcept as set forth herein, the Reporting Person does not have plans or proposals at this time that relate to or would result in any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Person may, at any time and from time to time, review or reconsider its position and/or change its purpose and/or formulate plans or proposals with respect thereto.\n\nThe information set forth in this Item 4 is subject to change or update from time to time, and there can be no assurances that the Reporting Person will or will not exercise or take, or cause to be exercised or taken, any of the arrangements or actions described above or actions similar thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1913847/000095014226001669/0000950142-26-001669-index.html" }, { "accession_no": "0000921895-26-001587", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1970622, "issuer_name": "USA Rare Earth, Inc.", "issuer_cusip": "91733P107", "securities_class_title": "Common Stock, par value $0.0001", "date_of_event": "2026-06-05", "filed_date": "2026-06-09", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares beneficially owned directly by the Trust were acquired pursuant to the (i) closing of the business combination (the \"Business Combination\") between the Issuer (which was formerly known as Inflection Point Acquisition Corp. II or \"Inflection Point\") and USA Rare Earth, LLC (\"USARE\"), pursuant to the terms and conditions of the business combination agreement, by and among Inflection Point, USARE and IPXX Merger Sub, LLC (the \"BCA\"), on March 13, 2025 in exchange for 62,281,159 Class A Units of USARE and 3,250,779 Class C-1 Convertible Preferred Units of USARE and (ii) the issuance of 1,879,238 additional Shares pursuant to the earnout provisions of the BCA during the Earnout Period.\n\nThe Shares beneficially owned directly by Springfield were distributed by the Trust as set forth in more detail in Exhibit 1.\n\nThe 30,483 Shares beneficially owned directly by Mr. Gutnick were issued upon vesting of restricted stock units (\"RSUs\") awarded to him in his capacity as a director of the Issuer.", "item4_transaction_purpose": "Item 4 is hereby amended and restated to read as follows:\n\nAs disclosed in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on April 20, 2026, in connection with the Agreement and Plan of Merger, dated as of April 19, 2026 (the \"Merger Agreement\"), by and among the Issuer, SVRE Holdings Ltd. (\"SVRE\") and Middlebury Merger Sub Ltd., Mr. Gutnick entered into a Voting and Support Agreement, dated as of April 19, 2026 (the \"Voting Agreement\"), with SVRE. Pursuant to the Voting Agreement, Mr. Gutnick agreed, among other things, to vote all of his Shares in favor of the transactions contemplated by the Merger Agreement, including the issuance of Common Stock pursuant thereto, and agreed to certain restrictions on the transfer of his Shares, subject to the terms and conditions set forth therein. The Voting Agreement will terminate upon the earlier of the effective time of the merger contemplated by the Merger Agreement and the termination of the Merger Agreement in accordance with its terms. The foregoing description of the Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the form of Voting Agreement, which is incorporated herein by reference as Exhibit 99.2.\n\nMr. Gutnick did not stand for reelection to the Issuer's Board of Directors (the \"Board\") at the Issuer's 2026 annual meeting of stockholders held on June 3, 2026 (the \"2026 Annual Meeting\"). As a result, on June 3, 2026, following the 2026 Annual Meeting, Mr. Gutnick ceased serving as a member of the Board.\n\nOn June 5, 2026, Springfield entered into a prepaid variable share forward sale contract (the \"VPF\") with J.P. Morgan Chase Bank with respect to 3,877,565 Shares. Under the terms of the VPF, Springfield pledged such Shares as collateral. The VPF includes customary settlement, adjustment, termination, default, collateral and other provisions. Mr. Gutnick received a waiver under the terms of the Voting Agreement from SVRE in connection with entering into the VPF.\n\nNo Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position, results and strategic direction, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board, engaging in discussions with other shareholders of the Issuer and others about the Issuer and the Reporting Persons' investment, making recommendations or proposals to the Issuer concerning changes to the capital allocation strategy, capitalization, ownership structure, Board structure (including Board composition) or operations of the Issuer, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1970622/000092189526001587/0000921895-26-001587-index.html" }, { "accession_no": "0000919574-26-003923", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1162194, "issuer_name": "Standard BioTools Inc.", "issuer_cusip": "34385P108", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-06", "filed_date": "2026-06-09", "item3_funds_source": "On January 23, 2022, the Issuer agreed to issue and sell (a) 78,750 shares of Series B-1 Convertible Preferred Stock (\"Series B-1 Preferred Stock\") to Casdin PMF in exchange for cash consideration of $78,750,000 and (b) 33,750 shares of Series B-1 Preferred Stock to Casdin PGEII in exchange for cash consideration of $33,750,000. Pursuant to the Loan Agreement (defined below), (i) Casdin PMF provided a term loan to the Issuer in an aggregate original principal amount of $8,750,000 and (ii) Casdin PGEII provided a term loan to the Issuer in an aggregate original principal amount of $3,750,000. Upon the issuance of the Series B-1 Preferred Stock pursuant to the Stock Purchase Agreement (as defined below), (A) the aggregate principal amount of the term loan and all unpaid interest owed to Casdin PMF under the Loan Agreement was automatically converted into 10,696 shares of Series B-1 Preferred Stock and (B) the aggregate principal amount of the term loan and all unpaid interest owed to Casdin PGEII under the Loan Agreement was automatically converted into 4,584 shares of Series B-1 Preferred Stock, in each case in accordance with the terms of the Loan Agreement.\n\nCasdin PGEII and Casdin PMF used working capital to fund the term loan and purchase of the Series B-1 Preferred Stock.", "item4_transaction_purpose": "Item 4 of the Schedule 13D amendment filed on November 28, 2025 is hereby supplemented by the addition of the following:\n\nOn June 6, 2026, the Issuer, Treeline Biosciences, Inc., a Delaware corporation (the \"Company\"), and Siri Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of the Issuer (\"Merger Sub\"), entered into an Agreement and Plan of Merger and Reorganization (the \"Merger Agreement\"), pursuant to which, among other matters, and subject to the satisfaction or waiver of the conditions set forth in the Merger Agreement, Merger Sub will merge with and into the Company, with the Company continuing as a wholly owned subsidiary of the Issuer and the surviving corporation of the merger (the \"Merger\"). Upon the terms and subject to the conditions set forth in the Merger Agreement, at the effective time of the Merger (\"Effective Time\"), each share of capital stock of the Company will be converted into the right to receive a number of Shares in accordance with the Exchange Ratio (as defined in the Merger Agreement).\n\nVoting Agreement\n\nAlso on June 6, 2026, in connection with the Merger Agreement, the Issuer, the Company and Merger Sub entered into a voting agreement (the \"Voting Agreement\") with Casdin Private Growth Equity Fund II, L.P., Casdin Private Growth Equity Fund, L.P., Casdin Partners Master Fund, L.P. and Eli Casdin (collectively, the \"Casdin Parties\"). Pursuant to the Voting Agreement, the Casdin Parties have agreed, among other things, subject to the terms and conditions thereof, to: (i) vote their owned securities of record of the Issuer: (1) in favor of the approval of (i) the issuance of Shares to holders of Company stock pursuant to the Merger Agreement, (ii) an amendment to the Issuer's charter pursuant to which the name of Issuer will be changed to \"Treeline Biosciences Holdings, Inc.\", (iii) a reverse stock split of all outstanding Shares at a reverse stock split ratio mutually agreed to by the Company and the Issuer, and (iv) the adoption of the Post-Closing Equity Incentive Plan and Post-Closing ESPP (each as defined in the Merger Agreement); (2) in favor of any proposal to adjourn to a later date if there is not a quorum or sufficient affirmative votes (in person or by proxy) for approval of any such matters on the date on which the meeting is held; (3) against any action or agreement that would reasonably be expected to result in the conditions set forth in the Merger Agreement not being fulfilled or a breach of a covenant, representation or warranty or any other material obligation or agreement of the Issuer contained in the Merger Agreement; (4) against any action, proposal, transaction or agreement that would reasonably be expected to prevent or materially delay the consummation of the transactions contemplated by the Merger Agreement or the fulfillment of the Issuer's or Merger Sub's conditions to closing under the Merger Agreement; and (5) against any third party acquisition transactions; and (ii) comply with certain restrictions on the disposition of such shares, in each case subject to the terms and conditions contained therein.\n\nIn the event that the Special Committee of the Issuer's board of directors effects a Parent Change in Recommendation (as defined in the Merger Agreement): (i) 37.5% of the Casdin Parties' shares of Issuer capital stock entitled to vote with respect to a matter that is the subject of Parent Change in Recommendation (an \"Applicable Matter\") are released from the voting requirements and may be voted in the Casdin Parties' discretion; and (ii) if, the aggregate covered shares subject to voting requirements under the Voting Agreement and any covered shares subject to similar voting agreements entered into with other stockholders of the Issuer in connection with the Merger Agreement represent more than 30% of the outstanding shares of Issuer capital stock entitled to vote on the Applicable Matter, then a number of shares will be released on a pro rata basis (across all such stockholders) such that the aggregate number of outstanding shares of Issuer capital stock subject to the voting requirements in the Voting Agreement and all other voting agreements is reduced to approximately 30% of the outstanding shares of Issuer capital stock.\n\nThe Voting Agreement further provides that nothing therein restricts any stockholder (or its affiliates or designees) who serves as a director, board observer or officer of Parent from acting or voting in such capacity in accordance with his or her fiduciary duties. Actions taken in such capacity, including supporting or advocating for a change in recommendation or a superior proposal, will not constitute a breach of the Voting Agreement, which applies solely to such person in his, her or its capacity as a stockholder.\n\nThe foregoing description of the Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the form of the Voting Agreement, which is filed as an exhibit to this Schedule 13D, and is incorporated by reference herein.\n\nLock-Up Agreement\n\nConcurrently with the execution of the Merger Agreement, the Casdin Parties entered into a lock-up agreement (the \"Lock-Up Agreement\"), pursuant to which, subject to specified exceptions, the Casdin Parties agreed not to offer, pledge, sell or otherwise transfer or dispose of, directly or indirectly, shares of the common stock of the combined company (or any securities convertible into or exercisable or exchangeable for shares of the common stock of the combined company) held by such person for a period of 180 days following the closing of the transactions Merger.\n\nThe Reporting Persons expect to review from time to time their investment in the Issuer and may, depending on the Issuer's business, assets, operations, financial condition and/or prospects, legal, regulatory and/or contractual restrictions (such as the expiration of the cooling-off period and the transfer restrictions in the Voting Agreement and the Lock-Up Agreement) and other factors: (i) purchase additional Shares, options or other securities of the Issuer in the open market, in privately negotiated transactions or otherwise; (ii) sell all or a portion of the Shares, options or other securities now beneficially owned or hereafter acquired by them; (iii) enter into hedging transactions with respect to the Shares, options or other securities of the Issuer now beneficially owned or hereafter acquired by them; (iv) engage in communications with, without limitation, one or more holders of the Issuer's securities or derivatives, officers of the Issuer, members of the Issuer's board of directors, advisors, potential strategic partners, investment professionals, and/or other persons regarding the Merger or the Issuer more generally, including but not limited to its operations, governance, and control; and (v) engage in such other proposals as the Reporting Persons may deem appropriate under the circumstances, including plans or proposals which may relate to, or could result in, any of the matters referred to in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1162194/000091957426003923/0000919574-26-003923-index.html" }, { "accession_no": "0001731122-26-000822", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1894693, "issuer_name": "SaverOne 2014 Ltd.", "issuer_cusip": "80516T600", "securities_class_title": "Ordinary Shares, NIS 0.01 par value (underlying American Depositary Shares)", "date_of_event": "2026-03-11", "filed_date": "2026-06-08", "item3_funds_source": "In addition to the acquisitions described in the Original Schedule 13D and Amendment No. 1 and 2, 3, 4 & 5 between March 30, 2026 and June 5, 2026, the Reporting Person acquired an aggregate of 173,499 American Depositary Shares (\"ADSs\") of the Issuer in open-market transactions on The Nasdaq Stock Market LLC for an aggregate purchase price of approximately $618,196 (exclusive of commissions). Each ADS represents 43,200 Ordinary Shares pursuant to the ADS ratio effective February 25, 2026. These transactions resulted in the acquisition of 7,495,156,800 additional Ordinary Shares. The funds used for these purchases were from the Reporting Person's working capital.", "item4_transaction_purpose": "The additional acquisitions described in Item 3 above were made for investment and strategic purposes consistent with those described in the Original Schedule 13D and Amendments No. 1,2,3,4 & 5. The Reporting Person may from time to time acquire additional Ordinary Shares or ADSs of the Issuer in the open market or in privately negotiated transactions, subject to market conditions, applicable securities laws, and other considerations. Except as described herein or in the Original Schedule 13D and Amendment No. 1, the Reporting Person has no current plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1894693/000173112226000822/0001731122-26-000822-index.html" }, { "accession_no": "0001662544-26-000007", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1631761, "issuer_name": "YIREN DIGITAL LTD.", "issuer_cusip": "G9844L107", "securities_class_title": "Ordinary Shares, par value $0.0001", "date_of_event": "2026-06-05", "filed_date": "2026-06-08", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn June 5, 2026, a change in the shareholding structure of CreditEase Holdings (Cayman) Limited (\"CreditEase\"), the parent company and controlling shareholder of the Company holding approximately 82.0% of the Company, occurred as a result of the surrender of equity interests in CreditEase by certain of its shareholders (the \"Restructuring\"). Following the Restructuring, Mr. Ning Tang indirectly held, through Great Service, the entire equity interest in CreditEase, increased from approximately 43.4% prior to the Restructuring. Accordingly, Mr. Ning Tang's indirect beneficial ownership of the Company's Ordinary Shares increased from approximately 35.6% to approximately 82.0% of the total issued and outstanding Ordinary Shares of the Company, representing an aggregate of 143,421,412 Ordinary Shares.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by incorporating by reference therein the information in Item 3.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1631761/000166254426000007/0001662544-26-000007-index.html" }, { "accession_no": "0001607278-26-000004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1636422, "issuer_name": "Health Catalyst, Inc.", "issuer_cusip": "42225T107", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-08", "item3_funds_source": "The Common Stock reported herein as being beneficially owned by the Reporting Persons was purchased using working capital of the Funds. An aggregate of approximately $7,829,759.62 (excluding brokerage commissions) was used to purchase the Common Stock reported as beneficially owned by the Reporting Persons in this Amendment.", "item4_transaction_purpose": "See the Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1636422/000160727826000004/0001607278-26-000004-index.html" }, { "accession_no": "0001437749-26-019891", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 948708, "issuer_name": "SMITH MICRO SOFTWARE, INC.", "issuer_cusip": "832154504", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-08", "item3_funds_source": "The shares of Common Stock covered by this filing include shares purchased in the open market from time to time by William W. Smith, Jr. using personal funds, when permitted to do so under the terms of the Issuer's policies, including its Insider Trading Policy, shares acquired by him from the Issuer pursuant to private placement offerings of Common Stock and warrants exercisable for shares of Common Stock, stock splits, shares issued to him by the Issuer as compensation, and shares sold in the open market or transferred by William W. Smith, Jr. to the Smith Living Trust. The shares of Common Stock covered by this filing also include those of such shares held by the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees.", "item4_transaction_purpose": "Item 4 of the Schedule is hereby amended to add the following:\n\nAs noted in the Explanatory Note, on February 3, 2026, the Smith Living Trust purchased for investment purposes a common stock purchase warrant exercisable for 296,033 shares of Common Stock which as a result of the passage of time has become exercisable within 60 days.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/948708/000143774926019891/0001437749-26-019891-index.html" }, { "accession_no": "0001213900-26-066438", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2094919, "issuer_name": "Tribeca Strategic Acquisition Corp.", "issuer_cusip": "G90420103", "securities_class_title": "Class A Ordinary Shares, par value $0.0001", "date_of_event": "2026-06-01", "filed_date": "2026-06-08", "item3_funds_source": "The aggregate purchase price for the Founder Shares (as defined below) was $10,000, approximately $0.0019 per share. The aggregate purchase price of the Placement Units (as defined below) was $3,300,000. The source of these funds was the working capital of Sponsor.", "item4_transaction_purpose": "Founder Shares\n\nOn October 20, 2025, the Sponsor Manager acquired an aggregate of 6,708,333 Class B Ordinary Shares (the \"Founder Shares\"), for $10,000 pursuant to a securities subscription agreement (the \"Securities Subscription Agreement\"). The description of the Securities Subscription Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.8 to the Registration Statement on Form S-1 initially filed by the Issuer with the SEC on November 10, 2025 (and is incorporated by reference herein as Exhibit 10.1).\n\nOn March 16, 2026, the Sponsor Manager contributed all 6,708,333 Founder Shares to the Sponsor in exchange for membership units of the Sponsor, of which 700,000 Class B Ordinary Shares were subject to forfeiture to the extent the underwriters did not exercise its over-allotment option in connection with the Issuer's initial public offering (the \"IPO\") in full. As of the date of this Schedule 13D, the underwriters have not exercised their 45-day over-allotment option to purchase up to an additional 2,100,000 units.\n\nOn April 16, 2026, the Sponsor surrendered 1,341,666 Founder Shares to the Issuer for no consideration. Immediately before effectiveness of the Issuer's registration statement, the Sponsor transferred 20,000 Founder Shares to each of the four independent directors of the Issuer as compensation for their services. Following and as a result of that acquisition, contribution, exchange, surrender and transfer of Founder Shares, the Sponsor is deemed to have purchased the founder shares for $0.0019 per share. The Founder Shares will automatically convert into shares of Class A Ordinary Shares at the time of the Issuer's initial business combination (the \"Business Combination\") on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights.\n\nPrivate Placement Units\n\nOn June 1, 2026, as part of a private placement units purchase agreement dated May 28, 2026 (the \"Unit Purchase Agreement\"), Sponsor purchased 330,000 placement units (the \"Placement Units\") from the Issuer for an aggregate purchase price of $3,300,000. Each Placement Unit consists of one Class A Ordinary Share (\"Placement Share\") and one right to receive one tenth (1/10) of a Class A Ordinary Share upon the consummation of the Business Combination (\"Placement Share Right\").\n\nThe foregoing description of the Unit Purchase Agreement does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the agreement, which was filed as Exhibit 10.3 to the Issuer's Current Report on Form 8-K filed June 3, 2026 (and is incorporate by reference herein as Exhibit 10.4).\n\nLetter Agreement\n\nSponsor and the Issuer entered into a letter agreement (the \"Letter Agreement\") with other parties named thereunder on May 28, 2026, pursuant to which Sponsor agreed to (i) waive its redemption rights with respect to its Founder Shares, Placement Shares and any Class A Ordinary Shares purchased during or after the IPO (the \"public shares\") in connection with the completion of the Business Combination, (ii) waive its redemption rights with respect to its Founder Shares, Placement Shares, and any public shares in connection with the completion of the Business Combination in connection with a shareholder vote to approve an amendment to the Issuer's amended and restated memorandum and articles of association (A) to modify the substance or timing of the Issuer's obligation to allow redemption in connection with the Issuer's Business Combination or certain amendments to the Issuer's amended and restated memorandum and articles of association prior thereto or to redeem 100% of the Issuer's public shares if the Issuer does not complete the Business Combination within 21 months from the closing of the IPO (the \"Combination Period\") or (B) with respect to any other provision relating to shareholders' rights or pre-Business Combination activity and (iii) waive its rights to liquidating distributions from the trust account with respect to its Founder Shares and the Placement Shares if the Issuer fails to complete the Business Combination within the Combination Period, although Sponsor will be entitled to liquidating distributions from the trust account with respect to any public shares it holds if the Issuer fails to complete the Business Combination within the Combination Period.\n\nPursuant to the Letter Agreement, Sponsor agreed to vote any Founder Shares, Placement Shares and any public shares purchased during or after the IPO (including in open market and privately negotiated transactions) in favor of the Business Combination. If the Issuer submits the Business Combination to its public shareholders for a vote, the Issuer will complete the Business Combination only if a majority of the outstanding ordinary shares voted are voted in favor of the Business Combination.\n\nFurther pursuant to the Letter Agreement, Sponsor has agreed not to transfer, assign or sell the Founder Shares and any Class A Ordinary Shares purchased during or after the IPO, as applicable, until the earlier of (i) six months after the date of the consummation of the Business Combination or (ii) the date on which the closing price of the Class A Ordinary Shares equals or exceeds $12.00 per share (as adjusted for share sub-divisions, share dividends, rights issuances, reorganizations, recapitalizations and the like) for any 20 trading days within any 30-trading day period commencing after the Business Combination or (y) the date on which the Issuer completes a liquidation, merger, share exchange, reorganization or other similar transaction that results in all of the Issuer's public shareholders having the right to exchange their ordinary shares for cash, securities or other property.\n\nPursuant to the Letter Agreement, Sponsor also has agreed that the Placement Units (including the underlying Placement Shares and the Class A Ordinary Shares issuable upon conversion of the Placement Share Rights) will not be transferable, assignable or salable until 30 days after the completion of the Business Combination, subject to certain exceptions.\n\nThe description of the Letter Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.5 to the Issuer's Current Report on Form 8-K filed June 3, 2026 (and is incorporated by reference herein as Exhibit 10.2).\n\nRegistration Rights Agreement\n\nIn connection with the closing of the IPO, the Issuer entered into a registration rights agreement (the \"Registration Rights Agreement\") with Sponsor and other parties named thereunder on May 28, 2026. Pursuant to the Registration Rights Agreement, holders of Founder Shares, Representative Shares (defined in Item 5 below), Placement Units (including securities underlying such Placement Units), any shares of Class A Ordinary Shares issuable upon conversion of the Founder Shares, and any units that may be issued in connection with working capital loans, in the Registration Rights Agreement are entitled to make up to three demands that the Issuer offer such securities in an underwritten offering. These holders also have certain \"piggy-back\" registration rights with respect to certain underwritten offerings the Issuer may conduct. The holders of the Placement Units (including the underlying securities) and the Class A Ordinary Shares issued to the underwriters also will be entitled to registration rights. These registration rights are limited to one demand and unlimited \"piggy-back\" rights for periods of five and seven years, respectively, from the commencement of sales of the IPO.\n\nThe description of the Registration Rights Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.2 to the Issuer's Current Report on Form 8-K filed June 3, 2026 (and is incorporated by reference herein as Exhibit 10.3).\n\nGeneral\n\nThe Reporting Persons acquired the securities described in this Schedule 13D for investment purposes and intend to review their investments in the Issuer on a continuing basis. Subject to the terms of the Letter Agreement, any actions the Reporting Persons might undertake may be made at any time and from time to time without prior notice and will be dependent upon the Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nSubject to the terms of the Letter Agreement and applicable rules, the Reporting Persons may acquire additional securities of the Issuer or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions, including pursuant to registered transactions pursuant to the Registration Rights Agreement. In addition, the Reporting Persons may engage in discussions with management, the Issuer's board of directors (the \"Board\"), and securityholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or other transaction that could result in the de-listing or de-registration of the Class A Ordinary Shares; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board. There can be no assurance, however, that any Reporting Person will propose such a transaction or that any such transaction would be successfully implemented.\n\nOther than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2094919/000121390026066438/0001213900-26-066438-index.html" }, { "accession_no": "0001213900-26-066002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1981662, "issuer_name": "NewGenIvf Group Ltd", "issuer_cusip": "G0544E147", "securities_class_title": "Class B ordinary shares, no par value", "date_of_event": "2026-06-04", "filed_date": "2026-06-08", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented by inserting the following:\n\nOn May 4, 2026, each of the Reporting Person was granted share options to acquire 56,851 Class B ordinary shares of the Issuer under the Issuer's 2024 Share Incentive Plan for no consideration. On June 4, 2026, the Reporting Persons provided formal notices of their exercise of 56,851 share options each, totaling 113,702 share options as accelerated in accordance with the Board resolution passed on May 26, 2026, at an exercise price of US$0.0001 per share (the \"Exercise of Share Options\"). Upon settlement of the exercise price via the requested debit to their directors' current account and compliance with all applicable laws and Company policies, the Issuer allotted and issued each of the Reporting Persons 56,851 Class B ordinary shares, fully paid and non-assessable on June 4, 2026.\n\nThe Issuer's 2024 Share Incentive Plan is attached hereto as exhibit 8 to this Amendment No. 1 and is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented by inserting the following:\n\nThe information regarding the Exercise of Share Options set forth in Item 3 above is incorporated into this Item 4 by reference. The Reporting Persons hold the Class B ordinary shares to retain control of the Issuer. The Reporting Persons have served as director of the Issuer since 2019, and in such capacity may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as disclosed in this Item, the Reporting Persons do not have any current plans or proposals which relate to or would result in any of the events described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons, however, expect to evaluate on a continuing basis his goals and objectives, other business opportunities available to them and may change their plans or proposals in the future. In determining from time to time whether to sell the securities reported as beneficially owned in this Amendment No.1 (and in what amounts) or to retain such securities, the Reporting Persons will take into consideration such factors as they deems relevant, including the business and prospects of the Company, anticipated future developments concerning the Company, existing and anticipated market conditions from time to time, general economic conditions, regulatory matters, and other opportunities available to the Reporting Persons. In addition, the Reporting Persons may, from time to time, transfer shares beneficially owned by them for tax, estate or other economic planning purposes. The Reporting Persons reserve the right to acquire additional securities of the Issuer in the open market, in privately negotiated transactions (which may be with the Issuer or with third parties) or otherwise, to dispose of all or a portion of their holdings of securities of the Issuer or to change his intention with respect to any or all of the matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1981662/000121390026066002/0001213900-26-066002-index.html" }, { "accession_no": "0001140361-26-024534", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 2020354, "issuer_name": "West Bay BDC LLC", "issuer_cusip": "000000000", "securities_class_title": "Units of Limited Liability Company Interests", "date_of_event": "2026-06-04", "filed_date": "2026-06-08", "item3_funds_source": "The information in Items 4, 5 and 6 of this Amendment No. 7 is incorporated into this Item 3 by reference.\n\nThe response set forth in Item 3 of the Schedule 13D is amended and supplemented as follows:\n\nOn June 4, 2026, the Issuer delivered a Drawdown Notice, dated June 4, 2026, to the Investor to purchase Units on June 18, 2026 in an aggregate amount equal to $36,000,000 (the \"Eighth Purchase Amount\") at the then-applicable price per unit, which has not been determined as of the date hereof. The source of funds to be used to purchase such Units is expected to be cash reserves of the State of Qatar.\n\nThe Issuer has informed the Investor that the aggregate amount of Drawdown Notices dated June 4, 2026 is $37,080,000. The Eighth Purchase Amount represents approximately 97.09% of the aggregate amount of such Drawdown Notices. As of the date hereof, $283,500,000 of the Investor's Commitment has been drawn down by the Issuer.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended, supplemented and superseded, as the case may be, as follows:\n\nThe information in Items 3, 5 and 6 of this Amendment No. 7 is incorporated into this Item 4 by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2020354/000114036126024534/0001140361-26-024534-index.html" }, { "accession_no": "0001140361-26-024531", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1004702, "issuer_name": "OceanFirst Financial Corp.", "issuer_cusip": "675234108", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-01", "filed_date": "2026-06-08", "item3_funds_source": "On June 1, 2026, pursuant to that certain Investment Agreement, dated as of December 29, 2025 (the \"Investment Agreement\"), by and among the Issuer and the Investors, substantially concurrently with the closing of the transactions contemplated by that certain Agreement and Plan of Merger, dated as of December 29, 2025 (the \"Merger Agreement\"), by and among the Issuer, Flushing Financial Corporation, a Delaware corporation (\"Flushing\"), and Apollo Merger Sub Corp., a Delaware corporation, (a) WPGG14 Investor invested an aggregate of $149,242,500 (net of certain expenses reimbursed by the Issuer) in the Issuer in exchange for the sale and issuance, (i) at a purchase price of $19.76 per share, of 6,415,008 shares of common stock, par value $0.01 per share, of the Issuer (the \"Common Stock\") and (ii) at a purchase price of $19,760 per share, 1,214 shares of a new class of non-voting, common equivalent stock, par value $0.01 per share, of the Issuer (the \"NVCE Stock\"), (b) WPFSII Investor invested an aggregate of $73,507,500 (net of certain expenses reimbursed by the Issuer) in the Issuer in exchange for the sale and issuance, (i) at a purchase price of $19.76 per share, of 3,159,631 shares of Common Stock and (ii) at a purchase price of $19,760 per share, 598 shares of NVCE Stock, and (c) the Issuer issued to the Investors warrants to purchase 11,386.64 shares of NVCE Stock, with such warrants having an exercise price of $19,760 per share (the \"Warrants\" and, together with clauses (a) and (b), the \"Investments\"). As more fully described in Item 4 below, because the NVCE Stock (including shares of NVCE Stock for which the Warrants may be exercised) received by the Investors are not convertible by the Investors into Common Stock, they have been excluded from the Warburg Pincus Reporting Persons' beneficial ownership reported herein.\n\n\tTo enable the Investors to fund payment of the aggregate purchase price under the Investment Agreement, the Investors obtained equity commitments from the WP Global Growth 14 Funds and the WP Financial Sector II Funds, pursuant to which the WP Global Growth 14 Funds and the WP Financial Sector II Funds committed to make an aggregate cash contribution to WPGG14 Investor and WPFSII Investor, respectively, in exchange for equity securities of the applicable Investor, for the purpose of funding the aggregate purchase price under the Investment Agreement and related costs, fees and expenses. The WP Global Growth 14 Funds and the WP Financial Sector II Funds funded their cash commitments under the Investment Agreement with capital contributions, including from their respective limited partners, together with available line of credit.\n\n\tImmediately following the closing of the transactions contemplated by the Investment Agreement (the \"Closing\"), the Investors owned approximately 9.9% of the outstanding Common Stock of the Issuer.", "item4_transaction_purpose": "The information set forth in Items 3 and 6 of this Statement is hereby incorporated by reference into this Item 4.\n\n\tThe Warburg Pincus Reporting Persons beneficially own the Common Stock for investment purposes.\n\nInvestment Agreement\n\n\tThe following is a description of certain additional material terms of the Investment Agreement and the Investments.\n\n\tTransfer Restrictions. From and after the Closing, the Investors are prohibited from transferring any securities acquired pursuant to the Investment Agreement to certain activist investors, competitors of Issuer and/or sanctioned parties, subject to certain exceptions.\n\n\tIndemnification. Pursuant to the Investment Agreement, the Issuer and the Investors agree to indemnify the other and their affiliates from and against all losses (subject to certain exceptions) directly resulting from (a) any inaccuracy in or breach of any representation or warranty of such party set forth in the Investment Agreement or (b) such party's breach of any of its agreements or covenants in the Investment Agreement, in each case, subject to certain limitations. Additionally, the Investors agree to indemnify Issuer for certain potential withholding obligations related to any dividends deemed to be received by the Investors in respect of the Warrants.\n\n \tBoard Representation. Pursuant to the Investment Agreement, after the Closing, the Investors are entitled to nominate one representative to be appointed to the Board of Directors of the Issuer (the \"Issuer Board\"), so long as the Investors and their affiliates own at least the lesser of (a) 5% of the outstanding shares of Common Stock (on an as-converted basis) and (b) 50% of the Common Stock (on an as-converted basis, excluding any shares of Common Stock underlying the Warrants) that the Investors beneficially own immediately following the Closing (such time, the \"Director Rights Period\"). Effective as of the Closing, the Issuer appointed, at the Investors' request, Todd Schell (a Principal in WP LLC's Financial Services group) to the Issuer Board as the Investors' representative. During the Director Rights Period, the Investors and their affiliates will be subject to standstill obligations with respect to Issuer.\n\n\tCertain Other Terms and Conditions of the Investment Agreement. The Investment Agreement contains customary representations, warranties and agreements of each party. The Closing was conditioned on, among other things, (a) the concurrent closing of the Merger, (b) filing of a Certificate of Designations with the Delaware Secretary of State in respect of the NVCE Stock (the \"Certificate of Designations\"), (c) the Investors receiving oral confirmation from the Board of Governors of the Federal Reserve System that their investment will not result in it being deemed to have \"control\" of Issuer for purposes of the BHC Act or CIBC Act (each as defined in the Investment Agreement) and (d) other customary closing conditions.\n\nCertificate of Designations\n\n\tIn connection with the Closing, Issuer filed the Certificate of Designations with the Delaware Secretary of State to create, out of Issuer's authorized but unissued preferred stock, the NVCE Stock. Subject to any applicable transfer restrictions in the Investment Agreement, each share of NVCE Stock will automatically convert into 1,000 shares of Common Stock, subject to certain adjustments, when transferred (a) to Issuer, (b) in a widespread public distribution, (c) in a transfer in which no transferee (or group of associated transferees) would receive 2% or more of the outstanding securities of any class of voting securities of Issuer or (d) to a purchaser that would control more than 50% of every class of voting securities of Issuer without any transfer from such holder of the NVCE Stock. Each share of NVCE Stock will be entitled to receive, when, as and if declared by the Issuer Board, all cash dividends or distributions made in respect of the shares of Common Stock, at the same time and on the same terms as holders of Common Stock, subject to certain adjustments.\n\nWarrants\n\n\tAt the Closing, the Issuer issued the Warrants to the Investors at an exercise price of $19,760 per share, subject to customary anti-dilution adjustments provided under the Warrants. The Warrants carry a term of seven years and can be exercised voluntarily following the third anniversary of the Closing. The Warrants can also be voluntarily exercised prior to the third anniversary of the Closing, (A) in the event the market price of Common Stock reaches or exceeds $30 per share at the closing of any trading day or (B) in connection with certain change of control transactions involving the Issuer. The Warrants are subject to mandatory exercise, at any time, in the event the market price of Common Stock reaches or exceeds $30 per share for a certain number of trading days over a specified period. In the event of a change of control transaction where less than 90% of the consideration in such transaction is comprised of equity securities traded on the NASDAQ or NYSE, the Investors will be entitled to receive additional shares if they exercise the Warrants in connection with such transaction.\n\nRegistration Rights Agreement\n\n\tAt the Closing, the Investors entered into a registration rights agreement (the \"Registration Rights Agreement\"), pursuant to which Issuer provides customary registration rights to the Investors and their affiliates and certain permitted transferees with respect to the shares of Common Stock purchased under the Investment Agreement, and shares of Common Stock issued upon the conversion of shares of the NVCE Stock purchased under the Investment Agreement or issued upon the exercise of the Warrants. Under the Registration Rights Agreement, the Investors are entitled to customary S-3 shelf registration rights, \"demand\" registrations and \"piggyback\" registration rights, in each case, subject to certain limitations as set forth in the Registration Rights Agreement. The Registration Rights Agreement provides that the Issuer will pay certain expenses relating to such registrations and indemnify the registration rights holders against (or make contributions in respect of) certain liabilities which may arise under the Securities Act of 1933, as amended (the \"Securities Act\").\n\nAdditional Disclosure\n\nExcept as set forth herein, none of the Warburg Pincus Reporting Persons nor, to the best of their knowledge, any person listed in Schedule A, has any plans or proposals that relate to or would result in any transaction, event or action enumerated in paragraphs (a) through (j) of Item 4 of the instructions to Schedule 13D with respect to the Issuer.\n\nThe Warburg Pincus Reporting Persons acquired the securities described in this Statement in connection with the Closing and intend to review their investments in the Issuer on a continuing basis. The Warburg Pincus Reporting Persons reserve the right to formulate other plans or make proposals which relate to or would result in a transaction, event or action enumerated in paragraphs (a) through (j) of Item 4 of the instructions to Schedule 13D with respect to the Issuer, and take action in connection therewith, including a disposition of all or a portion of their investment in the Issuer. The Warburg Pincus Reporting Persons may at any time reconsider and change their plans or proposals relating to the foregoing with respect to the Issuer. Any actions the Warburg Pincus Reporting Persons might undertake may be made at any time and from time to time without prior notice and will be dependent upon the Warburg Pincus Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nAs described above, the Purchasers currently have the right to appoint one director to the Issuer Board. As a result of the Purchasers' continuous review and evaluation of the business of the Issuer, the Purchasers may communicate with the Issuer Board, members of management and/or other stockholders from time to time with respect to operational, strategic, financial or governance matters or, through their Issuer Board representation, participate in the management of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1004702/000114036126024531/0001140361-26-024531-index.html" }, { "accession_no": "0001140361-26-024479", "submission_type": "SCHEDULE 13D/A", "amendment_no": 33, "issuer_cik": 1981792, "issuer_name": "Howard Hughes Holdings Inc.", "issuer_cusip": "44267T102", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-08", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following information:\n\nOn June 4, 2026 (the \"Closing Date\"), Howard Hughes Insurance Holdings, LLC, a Delaware limited liability company (\"Buyer\") and wholly-owned subsidiary of the Issuer completed its previously announced acquisition (the \"Vantage Transaction\") of Vantage Group Holdings, Ltd., a Bermuda exempted company with liability limited by shares (such entity, \"Vantage\", and the completion of such transaction, the \"Closing\"), pursuant to that certain Purchase and Sale Agreement (the \"Purchase Agreement\"), dated as of December 17, 2025, by and among Buyer, Vantage, Carlyle Partners VII Cayman Holdings V, L.P., a Cayman Islands exempted limited partnership (the \"Carlyle Investor\"), H&F Vantage Aggregator, L.P., a Cayman Islands exempted limited partnership (the \"H&F Investor\"), each of the other shareholders of Vantage (the \"Additional Shareholders\", together with the Carlyle Investor and the H&F Investor, each a \"Seller\" and collectively, the \"Sellers\"), the Carlyle Investor and the H&F Investor, in their capacities as the Sellers' representatives, and, solely for purposes of guaranteeing the obligations of Buyer pursuant to the Purchase Agreement, the Issuer.\n\nAt the Closing, Buyer acquired all of Vantage's outstanding shares of capital stock for an aggregate cash consideration of approximately $2.1 billion, subject to customary adjustments. The Vantage Transaction was completed following the satisfaction of the closing conditions set forth in the Purchase Agreement.\n\nThe Financing\nThe Vantage Transaction was financed through cash on hand and $1 billion of non-voting preferred equity financing from PSH. A committee of the Board of Directors of the Issuer (the \"Board\"), comprised solely of independent and disinterested directors and established by the Board for the purpose of evaluating, negotiating and approving (or rejecting) the financing, in accordance with the terms of the existing Standstill Agreement between the Issuer and Pershing Square Inc. (formerly known as Pershing Square Holdco, L.P.), unanimously approved, and recommended that the Board approve, the financing. Based on the committee's recommendation, the Board approved such financing and the issuance of the Preferred Stock.\n\nSubscription Agreement\nIn connection with the Closing, on the Closing Date, the Issuer entered into a Subscription Agreement (the \"SA\") with PSH on terms substantially similar to the terms set forth in the equity commitment letter, dated as of December 17, 2025, by and between the Issuer and PSH (the \"Equity Commitment Letter\"). Pursuant to the SA, the Issuer issued and sold Series A Non-Voting Exchangeable Perpetual Preferred Stock, par value $0.01 per share (the \"Preferred Stock\") to PSH for an aggregate purchase price of $1.0 billion.\n\nPursuant to the SA, PSH has a right of first refusal with respect to any proposed secondary sale of any equity securities of Buyer (including any instruments convertible into such equity) to any third party. The right of first refusal permits PSH to purchase any of those equity securities from the Issuer or Buyer on the terms and conditions offered to the other third party. In the event the exercise of the right of first refusal would cause PSH to exceed the Ownership Cap (as defined below), the underlying proposed sale shall require the consent of a majority-in-interest of the holders of Preferred Stock (in addition to the approval of a majority of the Issuer's Disinterested Directors).\n\nThe foregoing description of the SA does not purport to be complete and is subject to, and qualified in its entirety by reference to, the full text of the SA, a copy of which is attached hereto as Exhibit 99.44 and incorporated herein by reference.\n\nCertificate of Designations of the Preferred Stock\nEach share of Preferred Stock issued to PSH pursuant to the SA has the powers, designations, preferences and other rights as set forth in the Certificate of Designations of the Preferred Stock filed by the Issuer with the Secretary of State of the State of Delaware on the Closing Date (the \"Certificate of Designations\").\n\nRanking\nThe Preferred Stock will rank pari passu with the Issuer's common stock, including with respect to payment rights and liquidation.\n\nVoting Rights\nExcept as required by law and subject to certain protective provisions in the Certificate of Designations, the holders of the Preferred Stock will not have any voting rights.\n\nDividends\nA majority of Disinterested Directors (as defined in the Certificate of Designations) of the Board may declare dividends on the Preferred Stock, and if declared, such dividends will be paid out of the assets of the Issuer legally available for the payment of dividends. Such declared dividends may not exceed the pro rata cash dividends or distributions actually received by the Issuer from Vantage (through Buyer).\n\nExchange Right\nWithin 60 days following (i) the end of the seventh fiscal year following the date of issuance of the Preferred Stock (the \"Original Issue Date\"), beginning with the fiscal year ending December 31, 2026 (subject to the Call Option (defined below)) and (ii) the end of each subsequent fiscal year, a holder of Preferred Stock may exchange shares of Preferred Stock, without the payment of additional consideration, into a number of common equity interests of Buyer (\"Buyer Units\"). Upon exchange of all Preferred Stock, the holders of Preferred Stock would own, in the aggregate, a fraction of all Buyer Units equal to (a) (1) the aggregate purchase price paid for primary acquisitions of the Preferred Stock plus (2) all dividends received by the Issuer (through Buyer) from Vantage that the Preferred Stock would have received had it been exchanged for Buyer Units (reduced by (but not below zero) the amount of all dividends passed on to holders of the Preferred Stock through a dividend on the Preferred Stock), in each case prior to the date of the applicable exchange plus (3) any dividends owed under the Defaulted Repurchase Dividend Rate (defined below) (reduced by (but not below zero) all such dividends paid to holders of Preferred Stock) divided by (b) (1) the aggregate purchase price of Buyer pursuant to the Purchase Agreement plus (2) any additional capital contributed to Buyer by the Issuer. In no event will the holders of Preferred Stock be permitted to acquire more than 49% of the total shares of Buyer Units outstanding at any time (the \"Ownership Cap\") without the approval of a majority of the Disinterested Directors. To the extent the holders of Preferred Stock have the right to exchange their Preferred Stock and have delivered a notice requesting such exchange, but are prohibited from completing all or any portion of the exchange due to the Ownership Cap, the Issuer has agreed to repurchase the excess portion of shares of Preferred Stock requested to be exchanged on the same terms as provided for a mandatory repurchase.\n\nCall Option\nDuring the period between 60 and 90 days following the end of each of the first seven fiscal years following the Original Issue Date beginning with the fiscal year ending December 31, 2026 or as may be mutually agreed by the Issuer and holders representing the majority of the Preferred Stock then-outstanding, the Issuer shall have the right, but not the obligation, to repurchase the Preferred Stock in one or more full tranches (the \"Call Option\"). The repurchase price for each share of Preferred Stock shall be equal to the greater of (i) (a) the original issue price of the Preferred Stock plus (b) interest, compounded daily, at a rate of 4% per annum and (ii) (a) 1.5 times the book value of Buyer (excluding non-controlling interests and good will and purchase-related intangibles attributable to the completion of the Transaction) multiplied by (b) the corresponding ownership percentage of Buyer represented by such share of Preferred Stock (on an as-exchanged basis).\n\nMandatory Repurchase\nThe Issuer shall offer to repurchase all of the outstanding shares of Preferred Stock upon the occurrence of any of the following:\n_\ta change of control or re-organization of the Issuer or Buyer (or any subsidiary of the Issuer or Buyer that holds a majority of the assets or business of the Issuer or Buyer), excluding any transactions resulting in the Issuer or Buyer (or such subsidiary) being majority owned or controlled by PSH or its affiliates;\n_\ta sale of all or substantially all of the assets or business of the Issuer and its subsidiaries or Buyer, excluding any sales or disposals to PSH or its affiliates; or\n_\tmaterial breach of the Certificate of Designations, the SA or the RRA (defined below), subject to a customary cure period.\n\nThe repurchase price for each share of Preferred Stock shall be cash consideration in an amount equal to the greater of (1) the amount that such holder of Preferred Stock would have been entitled to receive under the Call Option and (2) if the event triggering the mandatory repurchase offer is a direct or indirect transfer of equity in Buyer, the amount that such holder would have received in such transaction if it had exchanged its Preferred Stock into Buyer Units.\n\nIf not all shares of Preferred Stock are repurchased in full when required (the \"Repurchase Date\"), then beginning on the Repurchase Date and continuing until such shares are fully repurchased and the aggregate repurchase price is paid in full, the unpurchased shares of Preferred Stock (1) shall remain outstanding and continue to have the same rights, preferences and privileges specified in the Certificate of Designations and (2) shall bear a dividend of 10% of the original issue price of the Preferred Stock per annum (the \"Defaulted Repurchase Dividend Rate\"), to the extent permitted under applicable law. During such time, the Issuer (i) is not permitted to declare or pay any distributions, dividends, redemptions or otherwise make funds available in respect of securities that rank pari passu or junior to the Preferred Stock, and (ii) is required to use commercially reasonable efforts to generate sufficient funds to repurchase the remaining shares of Preferred Stock in full, to the extent permitted under applicable law.\n\nProtective Provisions\nIn the event of a proposed issuance of additional equity interests of Buyer, subject to certain customary exceptions, the holders of Preferred Stock shall have the right (but not the obligation) to purchase additional shares of Preferred Stock to participate on a pro rata basis. Any decisions to be made by the Issuer with respect to or affecting the Preferred Stock will be made by a majority of its Disinterested Directors. However, a majority of Preferred Stock holders must consent to any issuance of additional Preferred Stock, issuance of additional shares of the Issuer or of Buyer having rights, preferences or privileges senior to the Preferred Stock or to the Buyer Units, respectively, and issuance of any equity securities of Buyer (including any instruments convertible into equity), any alterations of the powers, preferences or special rights of the Preferred Stock material or adverse to the rights or preferences of the Preferred Stock, or any amendments to the Issuer's certificate of incorporation or any other constitutive document of the Issuer reasonably expected to materially or adversely affect any holder of Preferred Stock.\n\nThe foregoing description of the terms of the Preferred Stock and the Certificate of Designations does not purport to be complete and is subject to, and qualified in its entirety by reference to, the full text of the Certificate of Designations, a copy of which is attached hereto as Exhibit 99.45 and incorporated herein by reference.\n\n\nRegistration Rights Agreement\nPursuant to the SA, the Issuer, PSH and Buyer have entered into a Registration Rights Agreement (\"RRA\").\n\nPursuant to the RRA, Buyer has agreed to provide PSH and certain other affiliates of PSH with demand rights and customary piggyback registration rights. The demand rights under the RRA require Buyer, upon request and subject to limited exceptions, to conduct an initial public offering or a direct listing of the Buyer Units concurrently with the exchange by PSH or its affiliates of the Preferred Stock for Buyer Units under the terms of the Certificate of Designations. The RRA also requires the Issuer to file certain shelf registration statements, upon request, to register for resale all or a part of the Buyer Units owned by PSH and such affiliates. In addition, the Registration Rights Agreement contains customary indemnification provisions.\n\nThe foregoing description of the terms of the RRA does not purport to be complete and is subject to, and qualified in its entirety by reference to, the full text of the RRA, a copy of which is attached hereto as Exhibit 99.46 and incorporated herein by reference.\n\nInvestment Management Agreements\nUpon consummation of the Vantage Transaction, on the Closing Date, Pershing Square Capital Management, L.P. (\"PSCM\") entered into investment management agreements with each of Vantage Risk Specialty Insurance Company, Vantage Risk Assurance Company, Vantage Risk Ltd. and Vantage, pursuant to which PSCM will act as investment manager of each company's general account and other investment portfolios. As long as the Services Agreement, dated May 5, 2025, between the Company and PSCM remains in effect, none of the such companies will pay any additional investment management or advisory fees under the PSCM investment management agreements.\n\nVoting Proxy Agreement\nIn connection with the Closing, on the Closing Date, PS Inc., PSCM, PSH and certain of PSH's wholly owned subsidiaries entered into a Voting Proxy Agreement (the \"Voting Proxy Agreement\"), pursuant to which each of PSH and its applicable wholly owned subsidiaries appointed PS Inc. as its proxy and attorney-in-fact to vote all of the Preferred Stock (and applicable successor securities) that it holds.\n\nThe Voting Proxy Agreement does not restrict any of PSH or its applicable wholly owned subsidiaries from disposing any Preferred Stock that it owns. A disposition of Preferred Stock by any of them would automatically terminate the voting proxy granted pursuant to the Voting Proxy Agreement with respect to such Preferred Stock disposed. Additionally, the voting proxy granted pursuant to the Voting Proxy Agreement may be terminated (i) upon written notice by PS Inc. to PSH or (ii) upon written notice by PSH to PS Inc. given no less than twelve months after termination of its investment management agreement with PSCM.\n\nThe foregoing description of the Voting Proxy Agreement does not purport to be complete and is subject to, and qualified in its entirety by reference to, the full text of the Voting Proxy Agreement, a copy of which is attached hereto as Exhibit 99.47 and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1981792/000114036126024479/0001140361-26-024479-index.html" }, { "accession_no": "0001104659-26-071516", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1674168, "issuer_name": "Hilton Grand Vacations Inc.", "issuer_cusip": "43283X105", "securities_class_title": "Common stock, par value $0.01 per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-08", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1674168/000110465926071516/0001104659-26-071516-index.html" }, { "accession_no": "0001104659-26-071145", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1818838, "issuer_name": "Adagene, Inc.", "issuer_cusip": "005329107", "securities_class_title": "Ordinary shares, par value USD $0.0001 per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-08", "item3_funds_source": null, "item4_transaction_purpose": "On May 23, 2025, Mr. Luo received 191,667 ordinary shares from Great Han Fortune LP for the benefit of Peter Luo, and Xiaohong She received 23,333 ordinary shares from Great Han Fortune LP for the benefit of Xiaohong She.\n\nOn May 23, 2025, Mr. Luo and Xiaohong She transferred 191,667 and 23,333 ordinary shares respectively to HAN 2020 Irrevocable Trust, for estate planning purpose.\n\nDue to the operation of the Concert Party Agreement dated December 14, 2020 among members of Peter Luo-Acting-in-Concert-Group, Peter Luo may be deemed to acquire or dispose additional beneficial ownership from time to time due to the acquisition or disposal of beneficial ownership by the members of Peter Luo-Acting-in-Concert-Group.\n\nThe Reporting Persons acquired the ordinary shares reported herein for investment and estate planning purposes, in the ordinary course of business. Other than as disclosed in this Amendment, the Reporting Persons currently do not have any plans or proposals that would result in or relate to any of the transactions or changes listed in Items 4(a) through 4(j) of the Schedule 13D. Mr. Luo is the Chief Executive Officer and the Chairman of the Board of Directors of the Issuer. The Reporting Persons, including members of the Peter Luo-Acting-in-Concert-Group, may acquire additional ordinary shares in the ordinary course of business, including in connection with outstanding options or additional options to be granted by the Issuer to Mr. Luo and/or share repurchase plan established by Mr. Luo in his personal capacity.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1818838/000110465926071145/0001104659-26-071145-index.html" }, { "accession_no": "0001085146-26-000441", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1995668, "issuer_name": "NYLI MacKay Muni Income Opportunities Fund", "issuer_cusip": "56062L100", "securities_class_title": "Class I Common Shares", "date_of_event": "2026-05-01", "filed_date": "2026-06-08", "item3_funds_source": "On May 1, 2026, New York Life Investment Management LLC distributed all of its interests in the Fund's Class I Shares, consisting of 5,426,013.221 shares, to its sole member, New York Life Investment Management Holdings LLC, which in turn contributed all such shares to its wholly owned subsidiary, NYLIM Capital LLC. Both the distribution and the contribution were effected at a price of $10.15 per share.", "item4_transaction_purpose": "The reported securities were acquired solely in connection with a reorganization to consolidate various seed capital holdings under a single legal entity to facilitate improved tracking and oversight of such seed capital investments.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1995668/000108514626000441/0001085146-26-000441-index.html" }, { "accession_no": "0001085146-26-000440", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1995668, "issuer_name": "NYLI MacKay Muni Income Opportunities Fund", "issuer_cusip": "56062L407", "securities_class_title": "Class A3 Common Shares", "date_of_event": "2026-05-01", "filed_date": "2026-06-08", "item3_funds_source": "On May 1, 2026, New York Life Investment Management LLC distributed all of its interests in the Fund's Class A3 Shares, consisting of 2,674.933 shares, to its sole member, New York Life Investment Management Holdings LLC, which in turn contributed all such shares to its wholly owned subsidiary, NYLIM Capital LLC. Both the distribution and the contribution were effected at a price of $10.15 per share.", "item4_transaction_purpose": "The reported securities were acquired solely in connection with a reorganization to consolidate various seed capital holdings under a single legal entity to facilitate improved tracking and oversight of such seed capital investments.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1995668/000108514626000440/0001085146-26-000440-index.html" }, { "accession_no": "0001085146-26-000439", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1995668, "issuer_name": "NYLI MacKay Muni Income Opportunities Fund", "issuer_cusip": "56062L209", "securities_class_title": "Class A1 Common Shares", "date_of_event": "2026-05-01", "filed_date": "2026-06-08", "item3_funds_source": "On May 1, 2026, New York Life Investment Management LLC distributed all of its interests in the Fund's Class A1 Shares, consisting of 2,688.844 shares, to its sole member, New York Life Investment Management Holdings LLC, which in turn contributed all such shares to its wholly owned subsidiary, NYLIM Capital LLC. Both the distribution and the contribution were effected at a price of $10.15 per share.", "item4_transaction_purpose": "The reported securities were acquired solely in connection with a reorganization to consolidate various seed capital holdings under a single legal entity to facilitate improved tracking and oversight of such seed capital investments.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1995668/000108514626000439/0001085146-26-000439-index.html" }, { "accession_no": "0001085146-26-000438", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1995668, "issuer_name": "NYLI MacKay Muni Income Opportunities Fund", "issuer_cusip": "56062L100", "securities_class_title": "Class I Common Shares", "date_of_event": "2026-05-01", "filed_date": "2026-06-08", "item3_funds_source": "On March 25, 2024, in order to launch the Funds Class I Shares, NYLIM provided a seed investment in the Fund by acquiring 4,992,500 Class I Shares for $10.00 per share (the Seed Investment). The funds used to purchase the shares of Issuers Class I Shares in the above transaction were from existing available operating capital of NYLIM, and none of the consideration for such shares was represented by borrowed funds.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated as follows:\n\nThe reported securities were initially acquired solely to seed and support the Fund. On May 1, 2026, NYLIM distributed all of its interests in the Fund's Class I Shares, consisting of 5,426,013.221 shares, to its sole member, New York Life Investment Management Holdings LLC, which in turn contributed all such shares to its wholly owned subsidiary, NYLIM Capital LLC. Both the distribution and the contribution were effected at a price of $10.15 per share. The transfers were part of a reorganization to consolidate various seed capital holdings under a single legal entity to facilitate improved tracking and oversight of such seed capital investments.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1995668/000108514626000438/0001085146-26-000438-index.html" }, { "accession_no": "0001085146-26-000437", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1995668, "issuer_name": "NYLI MacKay Muni Income Opportunities Fund", "issuer_cusip": "56062L407", "securities_class_title": "Class A3 Common Shares", "date_of_event": "2026-05-01", "filed_date": "2026-06-08", "item3_funds_source": "On March 25, 2024, in order to launch the Funds Class A3 Shares, NYLIM provided a seed investment in the Fund by acquiring 2,500 Class A3 Shares for $10.00 per share (the Seed Investment). The funds used to purchase the shares of Issuers Class A3 Shares in the above transaction were from existing available operating capital of NYLIM, and none of the consideration for such shares was represented by borrowed funds.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated as follows:\n\nThe reported securities were initially acquired solely to seed and support the Fund. On May 1, 2026, NYLIM distributed all of its interests in the Fund's Class A3 Shares, consisting of 2,674.933 shares, to its sole member, New York Life Investment Management Holdings LLC, which in turn contributed all such shares to its wholly owned subsidiary, NYLIM Capital LLC. Both the distribution and the contribution were effected at a price of $10.15 per share. The transfers were part of a reorganization to consolidate various seed capital holdings under a single legal entity to facilitate improved tracking and oversight of such seed capital investments.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1995668/000108514626000437/0001085146-26-000437-index.html" }, { "accession_no": "0001085146-26-000436", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1995668, "issuer_name": "NYLI MacKay Muni Income Opportunities Fund", "issuer_cusip": "56062L308", "securities_class_title": "Class A2 Common Shares", "date_of_event": "2026-05-01", "filed_date": "2026-06-08", "item3_funds_source": "On March 25, 2024, in order to launch the Funds Class A2 Shares, NYLIM provided a seed investment in the Fund by acquiring 2,500 Class A2 Shares for $10.00 per share (the Seed Investment). The funds used to purchase the shares of Issuers Class A2 Shares in the above transaction were from existing available operating capital of NYLIM, and none of the consideration for such shares was represented by borrowed funds.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated as follows:\n\nThe reported securities were initially acquired solely to seed and support the Fund. On May 1, 2026, NYLIM distributed all of its interests in the Fund's Class A2 Shares, consisting of 2,688.763 shares, to its sole member, New York Life Investment Management Holdings LLC, which in turn contributed all such shares to its wholly owned subsidiary, NYLIM Capital LLC. Both the distribution and the contribution were effected at a price of $10.15 per share. The transfers were part of a reorganization to consolidate various seed capital holdings under a single legal entity to facilitate improved tracking and oversight of such seed capital investments.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1995668/000108514626000436/0001085146-26-000436-index.html" }, { "accession_no": "0001085146-26-000435", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1995668, "issuer_name": "NYLI MacKay Muni Income Opportunities Fund", "issuer_cusip": "56062L209", "securities_class_title": "Class A1 Common Shares", "date_of_event": "2026-05-01", "filed_date": "2026-06-08", "item3_funds_source": "On March 25, 2024, in order to launch the Funds Class A1 Shares, NYLIM provided a seed investment in the Fund by acquiring 2,500 Class A1 Shares for $10.00 per share (the Seed Investment). The funds used to purchase the shares of Issuers Class A1 Shares in the above transaction were from existing available operating capital of NYLIM, and none of the consideration for such shares was represented by borrowed funds.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated as follows:\n\nThe reported securities were initially acquired solely to seed and support the Fund. On May 1, 2026, NYLIM distributed all of its interests in the Fund's Class A1 Shares, consisting of 2,688.844 shares, to its sole member, New York Life Investment Management Holdings LLC, which in turn contributed all such shares to its wholly owned subsidiary, NYLIM Capital LLC. Both the distribution and the contribution were effected at a price of $10.15 per share. The transfers were part of a reorganization to consolidate various seed capital holdings under a single legal entity to facilitate improved tracking and oversight of such seed capital investments.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1995668/000108514626000435/0001085146-26-000435-index.html" }, { "accession_no": "0000929638-26-002179", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1844862, "issuer_name": "Solid Power, Inc.", "issuer_cusip": "83422N105", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-04-20", "filed_date": "2026-06-08", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows (capitalized terms have the meanings ascribed to them in the Schedule 13D filed by the Reporting Persons on December 20, 2021):\r\n\r\nAs announced in the Company's Current Report on Form 8-K, as filed with the Securities and Exchange Commission on April 24, 2026, on April 20, 2026 Rainer Feurer, an executive within BMW Group, provided notice to the Company of his intention to retire from the Board of Directors effective June 30, 2026. Dr. Feurer's decision to retire and step down from the Board of Directors was not the result of any disagreement on matters relating to the Company's operations, policies or practices. BMW Holding continues to retain its director nomination rights.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1844862/000092963826002179/0000929638-26-002179-index.html" }, { "accession_no": "0000919574-26-003911", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 314808, "issuer_name": "Valaris Ltd", "issuer_cusip": "G9460G101", "securities_class_title": "Common Shares, $0.01 par value per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-08", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/314808/000091957426003911/0000919574-26-003911-index.html" }, { "accession_no": "0000902664-26-002722", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 842633, "issuer_name": "TRIMAS CORP", "issuer_cusip": "896215209", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-03-02", "filed_date": "2026-06-08", "item3_funds_source": "As further explained in Item 6, the 2,853 shares of Common Stock underlying restricted stock units (\"RSUs\") reported herein are directly held by Mr. Sedaghat and were issued in consideration for his service on the Board.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/842633/000090266426002722/0000902664-26-002722-index.html" }, { "accession_no": "0000899140-26-000635", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 709283, "issuer_name": "QUANTUM CORP /DE/", "issuer_cusip": "747906600", "securities_class_title": "Common Stock", "date_of_event": "2026-06-04", "filed_date": "2026-06-08", "item3_funds_source": "Item 3 of the Amended Statement is hereby amended by adding the following to the end thereof:\n\nThe information set forth in Item 4 of Amendment No. 3 is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of the Amended Statement is hereby amended by adding the following paragraphs to the end of Item 4:\n\nEntry into Conversion Agreement\n\nOn June 4, 2026 (the \"Closing\"), the Company issued and sold to certain accredited investors in a private placement (the \"Private Placement\"), an aggregate of 10,615,712 shares of Common Stock. In order to facilitate, among other things, the Private Placement, Dialectic, as the sole beneficial owner of the Convertible Notes issued under the Indenture, agreed to voluntarily convert the Convertible Notes into Common Stock.\n\nPursuant to a Conversion Agreement dated June 1, 2026 (the \"Conversion Agreement\"), by and among the Company, Dialectic and, solely with respect to Sections 7.1 and 7.3 and Articles III and X thereof, U.S. Bank Trust Company, National Association, as the trustee and Notes Collateral Agent under the Indenture, Dialectic converted the entire principal amount of the Convertible Notes, together with all accrued and unpaid interest thereon at the Closing, subject to certain conditions set forth in the Conversion Agreement (the \"Conversion\"). At the Closing, the Convertible Notes were canceled in accordance with the Indenture, and the Indenture was satisfied and discharged. In connection with the Conversion, at the Closing, the Company issued to Dialectic 11,020,645 shares of Common Stock.\n\nAt the Closing, as consideration for Dialectic's agreement to voluntarily convert the Convertible Notes, the Company issued to Dialectic, (i) 3,083,975 additional shares of Common Stock in connection with the Conversion (the \"Consideration Shares\"), which represents the quotient of (A) approximately $13.0 million, the present value of nominal PIK interest that would accrue on the Convertible Notes from the Closing to the maturity date thereof, assuming the Convertible Notes had remained outstanding until the end of the stated term, discounted at a rate of 11%, plus (B) approximately $3.0 million, the Term Loan Deferred Cash Interest Amount (as defined in the Credit Agreement) owed to Dialectic and accrued interest thereon, divided by $5.1940, the current conversion price of the Convertible Notes; and (ii) the Conversion Warrant (as defined below).\n\nConversion Warrant\n\nOn June 1, 2026, as additional consideration for the Conversion, the Company issued to Dialectic a warrant (the \"Conversion Warrant\") to purchase up to 105,911 shares of Common Stock at an exercise price of $5.1940 per share (the \"Conversion Warrant Exercise Price\") (equal to the conversion price of the Convertible Notes in effect following the reset period ending March 31, 2026), at any time until the fifth anniversary of the issuance of the Conversion Warrant. The exercise price and the number of shares underlying the Conversion Warrant are subject to adjustment in the event of specified events, including dilutive issuances at a price lower than the exercise price of the Conversion Warrant, a subdivision or combination of the Common Stock, a reclassification of the Common Stock or specified dividend payments, subject to certain limitations as set forth in the Conversion Warrant. Upon exercise, the aggregate exercise price may be paid, at Dialectic's election, in cash or on a net issuance basis, based upon the then current market price of the Common Stock at the time of exercise. The Conversion Warrant includes certain antidilution protections in favor of Dialectic, subject to certain limitations, including limitations that restrict Dialectic from beneficially owning more than 19.99% of the Company's outstanding Common Stock and certain exclusions. Additionally, Dialectic may require the Company to repurchase the unexercised portion of the Conversion Warrant for an amount equal to $844,255, proportionately adjusted for the portion of the Conversion Warrant subject to repurchase, after the fourth anniversary of the issuance of the Conversion Warrant, or, prior to the fourth anniversary, upon a change of control of the Company or immediately prior to the occurrence of a voluntary dissolution, liquidation or winding up of the affairs of the Company.\n\nAmendment to Forbearance Warrant and Warrant Registration Rights Agreement\n\nIn connection with the issuance of the Conversion Warrant, on June 1, 2026, the Company and Dialectic entered into (i) a First Amendment (\"Registration Rights Agreement Amendment\") to the Warrant Registration Rights Agreement, pursuant to which, among other things, the Warrant Registration Rights Agreement was amended to provide Dialectic with certain registration rights with respect to the shares of Common Stock issuable upon any exercise of the Conversion Warrant and (ii) a First Amendment (\"Forbearance Warrant Amendment\") to the Forbearance Warrant, pursuant to which, among other things, the Forbearance Warrant was amended to update its terms to be consistent with the Conversion Warrant.\n\nRight of First Refusal Agreement\n\nOn June 1, 2026, the Company entered into a Right of First Refusal Agreement (the \"ROFR Agreement\") with Dialectic and certain investors in the Private Placement (together, the \"Stockholders\"), pursuant to which the Company granted a right of first refusal to purchase 25% of all equity securities to each Stockholder that the Company may issue or sell for a period of the earlier of six (6) months following the date of the ROFR Agreement and completion of the Company's next equity financing transaction, subject to certain exceptions as described in the ROFR Agreement.\n\nDistributions to Limited Partners\n\nDialectic is a special purpose entity with limited partners and, for economic, tax, regulatory or other reasons, may in the future determine to distribute some or all of the shares of Common Stock it holds to its limited partners. Any such distribution would be made pursuant to, and in reliance on, the distribution carveout described in clause (e) of Dialectic's lock-up agreement entered into in connection with the Private Placement, which permits, among other things, a distribution by Dialectic to its limited partners so long as the applicable conditions set forth therein are satisfied. Any such distribution would not, by itself, reflect a change in Dialectic's views regarding the Company or the merits of its investment. In connection with any such distribution, each limited partner receiving shares of Common Stock would be expected to enter into customary lock-up arrangements on substantially the same terms as, and only for the same duration as, the lock-up arrangements to which Dialectic is subject. Although Dialectic's and its limited partners' plans and intentions with respect to the distribution, holding, sale, transfer or other disposition of shares of Common Stock may change from time to time based on market conditions, the Company's performance, general economic conditions and other factors, Dialectic's limited partners have indicated that they currently intend to be long-term supporters of the Company.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/709283/000089914026000635/0000899140-26-000635-index.html" }, { "accession_no": "0001999371-26-012252", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 912892, "issuer_name": "GRUPO TELEVISA, S.A.B.", "issuer_cusip": "40049J206", "securities_class_title": "Series A Shares; Series B Shares; Dividend Preferred Shares; Series L Shares", "date_of_event": "2026-06-03", "filed_date": "2026-06-05", "item3_funds_source": "The information set forth in Item 4 of this Amendment No. 1 is hereby incorporated herein by reference.", "item4_transaction_purpose": "On June 3, 2026 (the \"Closing Date\"), the Reporting Person purchased from the Issuer a zero-coupon mandatory convertible debenture (the \"Convertible Debenture\") convertible into 68,625,040 CPOs, for an aggregate purchase price of Ps. 674,028,280.38, in order to maintain the proportion of the Issuer's A Shares relative to the other series of shares of the Issuer's capital stock in light of the issuance of Convertible Debentures to other third parties.\n\nThe Convertible Debenture does not accrue interest, and will mature and be mandatorily convertible into A Shares on the earlier of (a) June 3, 2027 and (b) the date on which the Issuer defaults on liabilities in excess of $100,000,000, among other events of distress and default, subject to obtaining applicable regulatory authorizations (the \"Maturity Date\"), unless earlier converted pursuant to the terms of the Convertible Debenture.\n\nThe Convertible Debenture is not redeemable.\n\nThe Reporting Person also agreed to undertake, for a period of 360 (three hundred sixty) days counted from the Maturity Date, not to, without the prior written consent of the Issuer, directly or indirectly: (i) offer, pledge, sell, contract to sell, offer or sell, enter into any option or contract to sell, grant any option, right or warrant to purchase, lend, dispose of or otherwise transfer the A shares underlying the Convertible Debenture; (ii) enter into any derivative financial transaction, swap, forward contract, hedge or other contract or transaction that transfers, in whole or in part, directly or indirectly, the economic benefit of ownership of the A shares underlying the Convertible Debenture, regardless of whether such transaction is settled by delivery of the A shares underlying the Convertible Debenture, in cash or otherwise; or (iii) publicly announce the intention to carry out any of the transactions referred to in the foregoing subsections.\n\nA copy of the Convertible Debenture certificate is included as Exhibit 99.1 to this Amendment No. 1, and is qualified in its entirety to the full text thereof and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/912892/000199937126012252/0001999371-26-012252-index.html" }, { "accession_no": "0001999371-26-012228", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 912892, "issuer_name": "GRUPO TELEVISA, S.A.B.", "issuer_cusip": "40049J206", "securities_class_title": "Series A Shares; Series B Shares; Dividend Preferred Shares; Series L Shares", "date_of_event": "2026-06-03", "filed_date": "2026-06-05", "item3_funds_source": "The information set forth in Item 4 of this Amendment No. 5 is hereby incorporated herein by reference.", "item4_transaction_purpose": "On June 3, 2026 (the \"Closing Date\"), the Reporting Person purchased from the Issuer a zero-coupon mandatory convertible debenture (the \"Convertible Debenture\") convertible into 781,881,251 A Shares, for an aggregate purchase price of Ps. 65,637,260.34, in order to maintain the proportion of the Issuer's A Shares relative to the other series of shares of the Issuer's capital stock in light of the issuance of Convertible Debentures to other third parties. Accordingly, AAN and BGM also agreed to subscribe for Convertible Debentures convertible into 13,396,406,679 A Shares in the aggregate (as applicable, the \"Conversion Shares\"), under the same terms and at the same price per share as the Reporting Person.\n\nThe Convertible Debenture does not accrue interest, and will mature and be mandatorily convertible into A Shares on the earlier of (a) June 3, 2027 and (b) the date on which the Issuer defaults on liabilities in excess of $100,000,000, among other events of distress and default, subject to obtaining applicable regulatory authorizations (the \"Maturity Date\"), unless earlier converted pursuant to the terms of the Convertible Debenture.\n\nThe Convertible Debenture is not redeemable.\n\nThe Reporting Person also agreed to undertake, for a period of 360 (three hundred sixty) days counted from the Maturity Date, not to, without the prior written consent of the Issuer, directly or indirectly: (i) offer, pledge, sell, contract to sell, offer or sell, enter into any option or contract to sell, grant any option, right or warrant to purchase, lend, dispose of or otherwise transfer the A shares underlying the Convertible Debenture; (ii) enter into any derivative financial transaction, swap, forward contract, hedge or other contract or transaction that transfers, in whole or in part, directly or indirectly, the economic benefit of ownership of the A shares underlying the Convertible Debenture, regardless of whether such transaction is settled by delivery of the A shares underlying the Convertible Debenture, in cash or otherwise; or (iii) publicly announce the intention to carry out any of the transactions referred to in the foregoing subsections.\n\nA copy of the Convertible Debenture certificate is included as Exhibit 99.4 to this Amendment No. 5, and is qualified in its entirety to the full text thereof and incorporated herein by reference.\n\nIn addition, on June 3, 2026, the Reporting Person and the Azcarraga Trust entered into an agreement (the \"Conversion Shares Voting Agreement\") with AAN and BGM, pursuant to which the Reporting Person, through the Azcarraga Trust, will have the right to exercise all voting rights attached to the Conversion Shares with respect to the appointment, removal and/or ratification of members of the Issuer's board of directors (\"Special Voting Rights of Conversion Shares\") so long as the Reporting Person is not declared legally dead, incapacitated or absent and holds more than 13,329,746,451 A Shares in the Azcarraga Trust. Each of AAN and BGM will have the right to exercise all voting rights attached to each of their Conversion Shares other than those specified in the preceding sentence.\n\nThe foregoing summary of the Conversion Shares Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the, a copy of which is filed as Exhibit 99.5 to this Amendment No. 5 and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/912892/000199937126012228/0001999371-26-012228-index.html" }, { "accession_no": "0001678511-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1881551, "issuer_name": "Solidion Technology Inc.", "issuer_cusip": "834212102", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-05", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1881551/000167851126000002/0001678511-26-000002-index.html" }, { "accession_no": "0001493152-26-027596", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1140215, "issuer_name": "REED'S, INC.", "issuer_cusip": "758338404", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-20", "filed_date": "2026-06-05", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:\n\nOn December 30, 2024, ERM acquired 2,205,882 shares of Common Stock on a pre-Reverse Stock Split basis (equivalent to 367,647 shares after giving effect to the Reverse Stock Split) directly from the Issuer in a private placement of securities by the Issuer to investors, as disclosed in the Issuer's Current Report on Form 8-K relating to such private placement. The source of funds for such acquisition was the working capital of ERM. This Amendment reflects ERM's direct ownership of such shares.\n\nOn September 30, 2025, D&D entered into a Purchase and Sale Agreement (the \"Whitebox PSA\") with Whitebox Multi-Strategy Partners, LP, Whitebox Relative Value Partners, LP, Pandora Select Partners, LP and Whitebox GT Fund, LP (collectively, the \"Whitebox Sellers\"), pursuant to which D&D purchased an aggregate of 257,743 shares of Common Stock (on a pre-Reverse Stock Split basis, equivalent to approximately 42,957 shares on a post-Reverse Stock Split basis) from the Whitebox Sellers for an aggregate purchase price of $257,743 in cash ($1.00 per share). The Whitebox PSA was entered into concurrently with, and in connection with, the effectiveness of Amendment No. 1 to the Issuer's Senior Secured Loan and Security Agreement, as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 26, 2025. The Whitebox Sellers were affiliates of lenders party to such financing arrangements with the Issuer. The source of funds was the working capital of D&D.\n\nOn October 31, 2025, the Issuer effected a 1-for-6 reverse stock split of its Common Stock (the \"Reverse Stock Split\"). As a result of the Reverse Stock Split, every six shares of Common Stock held by the Reporting Persons were automatically combined into one share of Common Stock. The Reverse Stock Split did not change the proportionate economic or voting interest of the Reporting Persons in the Issuer, and no consideration was paid in connection therewith.\n\nOn December 8, 2025, the Issuer closed an underwritten public offering of units, each consisting of one share of Common Stock and one warrant to purchase one share of Common Stock, at a combined public offering price of $4.00 per unit, in connection with which the Common Stock was listed on the NYSE American on December 5, 2025. D&D purchased 1,250,000 units in the offering for an aggregate purchase price of $5,000,000, consisting of 1,250,000 shares of Common Stock and warrants to purchase an aggregate of 1,250,000 shares of Common Stock, at the public offering price of $4.00 per unit. The source of funds was the working capital of D&D. The warrants acquired in the offering are subject to a beneficial ownership limitation that prohibits exercise to the extent the holder would beneficially own in excess of 4.99% of the outstanding Common Stock (the \"Warrant Blocker\"), which limitation the holder may, upon not less than 61 days' prior notice to the Issuer, elect to increase to 9.99% (but not above 9.99%) of the outstanding Common Stock.\n\nThe pledge transactions described in Item 6 did not involve the acquisition of any additional securities of the Issuer by the Reporting Persons, and no funds were used in connection therewith.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:\n\nDeng Shufen was appointed as an authorized signatory of D&D on May 20, 2026. By virtue of such appointment and the other arrangements described herein, the Reporting Persons may be deemed to have become a group within the meaning of Rule 13d-5(b)(1) under the Act on that date.\n\nDai Siqi has, since the date ERM acquired its interest in D&D, been the sole shareholder and sole director of ERM and an authorized signatory of D&D. By virtue of such positions, Dai Siqi has shared voting and dispositive power with respect to the securities of the Issuer beneficially owned by ERM and D&D since such date. In connection with the formation of a group with the other Reporting Persons on May 20, 2026 and on review of the prior Schedule 13D filings, the Reporting Persons have determined to identify Dai Siqi as a Reporting Person in this Amendment going forward.\n\nERM acquired the shares purchased in the December 2024 private placement, D&D acquired the shares purchased from the Whitebox Sellers pursuant to the Whitebox PSA, and D&D acquired the units purchased in the Issuer's December 2025 underwritten public offering, in each case for investment purposes and in connection with the transactions relating to the amendment and restructuring of the Issuer's senior secured financing arrangements and the Issuer's capital-raising and NYSE American listing. As a result of these acquisitions, the Reporting Persons beneficially own, in the aggregate, more than 50% of the outstanding Common Stock.\n\nIn May 2026, D&D entered into the Pledge Agreements and Issuer Control Agreements described in Item 6. The purpose of those agreements is to pledge certain shares of Common Stock owned by D&D as collateral to secure payment and performance obligations of third parties under separate transactions unrelated to the Issuer. The Reporting Persons did not enter into the Pledge Agreements or the Issuer Control Agreements with any present plan or proposal to dispose of, or to cause the disposition of, any shares of Common Stock or to effect any of the actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D. The pledged shares remain owned of record and beneficially by D&D, and D&D retains voting and dispositive power with respect to such shares (shared with ERM as described in Item 5) unless and until an event of default occurs and is continuing and the applicable secured party delivers a notice of exclusive control under the applicable Issuer Control Agreement.\n\nThe Reporting Persons may from time to time engage in discussions with the Issuer and its management, board of directors, lenders, stockholders and other third parties concerning financing, capitalization, strategic transactions, corporate governance and related matters. Except as set forth in this Item 4 and elsewhere in this Amendment, the Reporting Persons have no present plans or proposals which relate to or would result in any of the matters set forth in paragraphs (a) through (j) of Item 4 of Schedule 13D, although they may, depending on prevailing conditions, acquire additional securities of the Issuer or dispose of securities of the Issuer.\n\nThe Whitebox Sellers from whom D&D acquired Common Stock were affiliates of lenders under the Issuer's senior secured financing arrangements, and that purchase was made concurrently with, and in connection with, the amendment of those arrangements. The Reporting Persons hold board nomination rights under the Shareholders Agreement, dated May 25, 2023 (as amended), as described in the Schedule 13D and the Issuer's public filings. Except as described in this Amendment and in the Schedule 13D, the Reporting Persons have no agreements, arrangements or understandings with the Issuer's lenders or their affiliates with respect to the securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1140215/000149315226027596/0001493152-26-027596-index.html" }, { "accession_no": "0001493152-26-027424", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1966233, "issuer_name": "NIP Group Inc.", "issuer_cusip": "654503101", "securities_class_title": "Class A Ordinary Shares, par value US$0.0001 per share", "date_of_event": "2026-05-29", "filed_date": "2026-06-05", "item3_funds_source": null, "item4_transaction_purpose": "On May 29, 2026, the Issuer and the Second Tranche Selling Parties entered into a Second Amendment to the Second Tranche Agreement (the \"Second Amendment\"). Pursuant to the Second Amendment, the Issuer issued a total of 62,579,674 Class A Ordinary Shares (the \"Transaction\"). The Transaction, which had previously been contemplated to be settled through the issuance of convertible notes, was instead settled through the issuance of Class A Ordinary Shares of the Issuer.\n\nThe information set forth in Item 6 is hereby incorporated by reference in its entirety.\n\nOther than as set forth in this Schedule 13D, no Reporting Person has any present plans or proposals which relate to or would result in:\n\n(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;\n\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n\n(c) A sale or transfer of a material amount of assets of the Issuer or of any of its subsidiaries;\n\n(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n\n(e) Any material change in the present capitalization or dividend policy of the Issuer;\n\n(f) Any other material change in the Issuer's business or corporate structure;\n\n(g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;\n\n(h) A class of securities of the Issuer being delisted from a national securities exchange or ceasing to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n\n(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n\n(j) Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1966233/000149315226027424/0001493152-26-027424-index.html" }, { "accession_no": "0001493152-26-027423", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1966233, "issuer_name": "NIP Group Inc.", "issuer_cusip": "654503101", "securities_class_title": "Class A Ordinary Shares, par value US$0.0001 per share", "date_of_event": "2026-05-29", "filed_date": "2026-06-05", "item3_funds_source": "The consideration for the purchase of 23,641,865 Class A Ordinary Shares by the Reporting Person was certain on-rack crypto mining machines with an aggregate hashrate of around 0.61 Exahash per second.", "item4_transaction_purpose": "On May 29, 2026, the Issuer and the Second Tranche Selling Parties entered into a Second Amendment to the Second Tranche Agreement (the \"Second Amendment\"). Pursuant to the Second Amendment, the Issuer issued a total of 62,579,674 Class A Ordinary Shares (the \"Transaction\"), including 23,641,865 Class A Ordinary Shares to the Reporting Person. The Transaction, which had previously been contemplated to be settled through the issuance of convertible notes, was instead settled through the issuance of Class A Ordinary Shares of the Issuer.\n\nThe information set forth in Item 6 is hereby incorporated by reference in its entirety.\n\nOther than as set forth in this Schedule 13D, the Reporting Person has no present plans or proposals which relate to or would result in:\n\n(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;\n\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n\n(c) A sale or transfer of a material amount of assets of the Issuer or of any of its subsidiaries;\n\n(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n\n(e) Any material change in the present capitalization or dividend policy of the Issuer;\n\n(f) Any other material change in the Issuer's business or corporate structure;\n\n(g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;\n\n(h) A class of securities of the Issuer being delisted from a national securities exchange or ceasing to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n\n(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n\n(j) Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1966233/000149315226027423/0001493152-26-027423-index.html" }, { "accession_no": "0001398344-26-010479", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1258602, "issuer_name": "NELNET, INC.", "issuer_cusip": "64031N108", "securities_class_title": "Class A Common Stock, Par Value $0.01 per Share", "date_of_event": "2026-05-14", "filed_date": "2026-06-05", "item3_funds_source": "The source and consideration for the Common Stock beneficially owned by the Reporting Persons, as described in this Schedule 13D, are as follows:\n\n(1) MCF directly holds 1,493,149 shares of Common Stock. Its cost basis in these assets is $87,260,681.24. Consideration for these assets came from the working capital of MCF.\n\n(2) Adam K. Peterson directly holds 9,554 shares of Common Stock for his own account.", "item4_transaction_purpose": "This Schedule 13D amendment is being jointly filed to report that, in partial satisfaction of certain withdrawal requests, effective May 13 and May 14, 2026, MCF distributed in-kind, to withdrawing limited partners 76,401 and 99,426 shares, respectively, of the Issuer's Common Stock. As a result of the distributions:\n\n(1) MCF is no longer deemed a beneficial owner of such distributed shares and, accordingly, the number of shares reported by MCF is decreased by 175,827 (with a corresponding decrease in the number of shares beneficially owned by TMG, as the general partner of MCF, and Adam Peterson, as the managing member of TMG).\n\nAlthough Reporting Persons have no specific plan or proposal to acquire additional Common Stock or dispose of the Common Stock, Reporting Persons at any time and from time to time may acquire additional Common Stock or dispose of any or all of its Common Stock depending upon on ongoing evaluation of the investment in the Common Stock, prevailing market conditions, other investment opportunities, liquidity requirements of the Reporting Person and/or other investment considerations.\n\nOn March 23, 2026, Adam Peterson notified Nelnet, Inc. of his resignation from the Board of Directors effective immediately.\n\nAs a result of Mr. Peterson's resignation and the noted distributions herein, the Reporting Persons requirement to maintain a Schedule 13D have ceased.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1258602/000139834426010479/0001398344-26-010479-index.html" }, { "accession_no": "0001213900-26-065887", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1847075, "issuer_name": "SAIHEAT Ltd", "issuer_cusip": "G7852T145", "securities_class_title": "Class A and Class B Ordinary Shares, par value $0.0015 per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-05", "item3_funds_source": "On June 5, 2026, Peng Zhang entered into a share transfer form with Longwin Global, pursuant to which Peng Zhang, as transferor, agreed to transfer his one ordinary share of Energy Science, representing 100% issued share capital of Energy Science, to Longwin Global, as transferee (the \" Transaction\") at a consideration of US$1,000,000. The consummation of the Transaction resulted in a change in control of the Issuer, with To Ma becoming the sole controlling shareholder of the Issuer, holding 84.36% voting power in the Issuer. Subsequent to the Transaction, each of Energy Science and Longwin Global is 100% controlled by its sole shareholder, To Ma.", "item4_transaction_purpose": "See response to Item 3. Except to the extent provided in this Schedule 13D/A, none of the Reporting Persons have any current plans or proposals that relate to, or could result in any of the matters referred to in paragraphs (a) through (j) inclusive, of Item 4 of this Schedule 13D/A. The Reporting Persons may, at any time and from time to time, review or reconsider their positions and/or change their purposes and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1847075/000121390026065887/0001213900-26-065887-index.html" }, { "accession_no": "0001193125-26-260340", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1065088, "issuer_name": "eBay Inc.", "issuer_cusip": "278642103", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-05", "item3_funds_source": "The first sentence of the first paragraph of Item 3 of the Original 13D is hereby amended and restated in its entirety as follows:\n\n\"GameStop purchased the 827,648 shares of Common Stock reported herein as beneficially owned by it as of June 5, 2026 for a total purchase price of $91,004,145.37 excluding fees and expenses. The source of funds used by GameStop to purchase such shares of Common Stock was cash from its working capital.\"\n\nItem 3 of the Original 13D is hereby supplemented as follows:\n\n\"As further detailed on Exhibit 99.2 of Amendment No. 3, GameStop has entered into additional Put/Call Pairs providing economic exposure to a further 4,537,668 shares of Common Stock (i.e., a further approximately 1.0% of the Common Stock). Such Put/Call Pairs are settleable in cash or Common Stock at the election of the exercising party. The source of funds to be used by GameStop to settle such shares of Common Stock, to the extent GameStop elects physical settlement, is anticipated to be cash from its working capital. The total net premium paid by the Reporting Person for the 4,537,668 Put/Call Pairs reported on this Amendment No. 3 was $1,239,167.53 and was paid from the Reporting Person's working capital.\n\nUnless noted above, no portion of the purchase price for either of the shares of Common Stock beneficially owned directly by the Reporting Person or the shares of Common Stock underlying the Put/Call Pairs was or is currently expected to be borrowed by the Reporting Person for the purpose of acquiring, holding, trading or voting any securities discussed in this Item 3.\n\nTo the knowledge of the Reporting Person, as of the filing of this Amendment No. 3, none of the executive officers or directors of the Reporting Person listed on Exhibit 99.3 have anything additional to disclose in response to this Item.\"", "item4_transaction_purpose": "Item 4 of the Original 13D is hereby amended and restated in its entirety as follows:\n\n\"The Reporting Person believes that the Issuer's Common Stock is undervalued and represents an attractive investment opportunity.\n\nOn May 3, 2026, GameStop delivered to the Issuer a non-binding proposal (the \"Offer Letter\") to acquire all of the issued and outstanding shares of Common Stock of the Issuer at a price of $125.00 per share, in cash and stock. A copy of the Offer Letter is filed herewith as Exhibit 99.1 and is incorporated herein by reference.\n\nThe Reporting Person from time to time expects to enter into discussions with directors and officers of the Issuer, other stockholders of the Issuer or third parties in connection with the above-described matters and, more generally, in connection with the Reporting Person's investment in the Issuer. Such discussions may include, without limitation, one or more of members of management, members of the board (individually or acting as a whole), other stockholders of the Issuer and other persons to discuss the governance, board composition, management, operations, business, assets, capitalization, financial condition, strategic plans and future of the Issuer (including without limitation, the potential acquisition by the Reporting Person of control of the Issuer and or any and all of the issued and outstanding Common Stock (and the terms of any such potential acquisition)), as well as other matters related to the Issuer. The Reporting Person may also seek to explore other methods for increasing its ownership position in, or economic exposure to, the Issuer, including, without limitation, through open market purchases or an acquisition of shares of Common Stock from other stockholders or through the entry into additional derivatives arrangements.\n\nThe Reporting Person intends to review its investments in the Issuer on a continuing basis and may from time to time and at any time in the future depending on various factors, including, without limitation, the outcome of any discussions referenced above, the Issuer's financial position and strategic direction, actions taken by the board, price levels of the shares of Common Stock, other investment opportunities available to the Reporting Person, conditions in the securities and other markets, and general economic and industry conditions, take such actions with respect to the investment in the Issuer as it deems appropriate, including, without limitation: (i) acquiring additional shares of Common Stock and/or other equity, debt, notes, other securities, or derivatives or other instruments that are based upon or relate to the value of the Common Stock or otherwise relate to the Issuer (collectively, \"Securities\") in the open market or otherwise; (ii) disposing of any or all of its Securities in the open market or otherwise and/or physically-settling or cash-settling any derivatives (including without limitation Put/Call Pairs) or other instruments that are based upon or relate to the value of the Common Stock or otherwise relate to the Issuer; (iii) engaging in any hedging or similar transactions with respect to the Securities; (iv) change the terms on which it would propose to acquire control of the Issuer and or any and all of the issued and outstanding Common Stock and/or at any time abandon its current intention to seek to acquire control of the Issuer and or any and all of the issued and outstanding Common Stock or (v) otherwise proposing or considering, or changing its intention with respect to, one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D (whether or not otherwise described above).\n\nThe response to Item 3, Item 5, Item 6 and Exhibit 99.2 of Amendment No. 3 are each incorporated herein by reference.\n\nTo the knowledge of the Reporting Person, as of the filing of this Amendment No. 3, none of the executive officers or directors of the Reporting Person listed on Exhibit 99.3 have anything additional to disclose in response to this Item.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1065088/000119312526260340/0001193125-26-260340-index.html" }, { "accession_no": "0001193125-26-260317", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1957892, "issuer_name": "StepStone Private Infrastructure Fund", "issuer_cusip": "85914R403", "securities_class_title": "Class I, Class D, Class S, Class T and Class U Common Shares of Beneficial Interest", "date_of_event": "2023-08-17", "filed_date": "2026-06-05", "item3_funds_source": "The information set forth in Items 4, 5 and 6 hereof is hereby incorporated by reference into this Item 3.\n\nOn June 16, 2023, solely for purposes of satisfying the requirements of Section 14(a) of the Investment Company Act of 1940, as amended, the Issuer issued 10,000 Class I Shares to the Reporting Person for an aggregate purchase price of $100,000, or $10.00 per Class I Share. The Class I Shares were purchased using working capital of the Reporting Person.\n\nThe Issuer's Registration Statement on Form N-2 (File No. 333-268986) was declared effective by the Securities and Exchange Commission on July 13, 2023. On August 17, 2023, the Reporting Person exchanged 3,000 Class I Shares for 1,000 Class D Shares, 1,000 Class S Shares and 1,000 Class T Shares for no consideration in connection with the seeding of new share classes. The net asset value (\"NAV\") per share for each of the Class I Shares, Class D, Shares, Class S Shares and Class T Shares was $10.00 per share.\n\nOn September 28, 2023, the Issuer issued 50,050.05 Class I Shares to the Reporting Person for an aggregate purchase price of $500,000.00, or $9.99 per Class I Share. On January 10, 2024, the Issuer issued 215,517.241 Class I Shares to the Reporting Person for an aggregate purchase price of $2,500,000.00, or $11.60 per Class I Share. The Class I Shares were purchased using working capital of the Reporting Person.\n\nOn January 17, 2025, the Reporting Person exchanged 1,003.024 Class T Shares for 1,002.824 Class S Shares for no consideration.\n\nOn May 18, 2026, the Reporting Person exchanged 2,014.252 Class S Shares for 2,014.252 Class U Shares for no consideration.\n\nThe Reporting Person participates in the distribution reinvestment plan (the \"DRIP\") of the Issuer, through which holders of Class I, Class D, Class S and Class T Shares may choose to have cash dividends or cash distributions automatically reinvested in Class I, Class D, Class S and Class T Shares, as applicable, and, consequently, were issued additional Class I, Class D, Class S and Class T Shares in lieu of receiving cash payments as set forth in Item 5(c) of this Schedule 13D and incorporated herein by reference.", "item4_transaction_purpose": "The information set forth in Items 3, 5 and 6 of this Schedule 13D is incorporated herein by reference.\n\nAll of the Common Shares were acquired for investment purposes. Depending on market conditions and other factors (including evaluation of the Issuer's businesses and prospects, availability of funds, alternative uses of funds and general economic conditions), the Reporting Person may from time to time acquire additional securities of the Issuer or dispose of all or a portion of its investment in the Issuer.\n\nWhen permitted by applicable law, the Reporting Person may dispose of some or all of its Common Shares, from time to time, by tendering such Common Shares for repurchase by the Issuer, depending on price, market liquidity, developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Person, general stock market and economic conditions, tax considerations and other factors deemed relevant. The Reporting Person intends to review its investment in the Issuer on an ongoing basis and, in the course of its review, may take actions (including through its affiliates) with respect to its investment or the Issuer, including communicating with the board of trustees of the Issuer (the \"Board\"), members of management or other security-holders of the Issuer, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available.\n\nStepStone Group Private Wealth LLC (\"Adviser\"), an investment adviser registered under the Investment Advisers Act of 1940, as amended, and a wholly-owned business of the Reporting Person, serves as the Issuer's investment adviser and is responsible for, among other things, making investment decisions for the Issuer's portfolio, subject to oversight by the Issuer's board of trustees (the \"Board\"). StepStone Group Real Assets LP (\"Sub-Adviser\"), serves as the Issuer's investment sub-adviser and is responsible for the day-to-day management of the Issuer's assets and activities including structuring, governance, distribution, reporting and oversight. All of the Issuer's officers and trustees, other than the Issuer's independent trustees, are employees of the Adviser or its affiliates. In such capacities, these individuals, together with the Adviser and Sub-Adviser may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nOn May 24, 2023, the Adviser entered into a Sub-Advisory Agreement (the \"Sub-Advisory Agreement\") with the Sub-Adviser and the Issuer, pursuant to which the Sub-Adviser agreed to provide investment sub-advisory services to the Issuer. Under the Sub-Advisory Agreement, the Adviser employs the Sub-Adviser to assist the Adviser in identifying investment opportunities.\n\nThe Sub-Advisory Agreement provides that the Adviser will pay the Sub-Adviser 50% of the management fee received by the Adviser under the Investment Advisory Agreement between the Adviser and the Issuer each month. The management fee payable to the Adviser under the Investment Advisory Agreement with the Issuer is calculated and payable monthly in arrears at the annual rate of 1.60% of the Issuer's average daily net assets.\n\nThe Sub-Advisory Agreement may be terminated at any time, without the payment of any penalty, upon 120 days' written notice by the Sub-Adviser to the Issuer or, upon 60 days' notice if either the Board or the holders of a majority of the Issuer's outstanding voting securities determine that the Sub-Advisory Agreement with the Reporting Person should be terminated. The Sub-Advisory Agreement will automatically and immediately terminate in the event of its \"assignment,\" as such term is defined under the 1940 Act.\n\nExcept as described herein, the Reporting Person has no present plans, proposals or intentions which would result in or relate to any of the matters described in Items 4(a)-(j) of the Instructions to Schedule 13D. However, as part of the ongoing evaluation of investment and investment alternatives, the Reporting Person may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the Board or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1957892/000119312526260317/0001193125-26-260317-index.html" }, { "accession_no": "0001193125-26-260078", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 1571996, "issuer_name": "Dell Technologies Inc.", "issuer_cusip": "24703L202", "securities_class_title": "Class C Common Stock, par value $0.01 per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-05", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1571996/000119312526260078/0001193125-26-260078-index.html" }, { "accession_no": "0001193125-26-259859", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2013745, "issuer_name": "Calumet, Inc.", "issuer_cusip": "131428104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-05", "filed_date": "2026-06-05", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the 2024 Schedule 13D is hereby amended to incorporate the following at the end thereof:\n\nAs previously reported and in connection with the July 2024 restructuring, the Reporting Person received warrants to acquire 1,020,000 shares of Common Stock at an exercise price of $20.00 per share (the \"Heritage Warrants\"). On May 15, 2026, the Reporting Person exercised the Heritage Warrants in full, receiving 393,002 shares of Common Stock in net settlement thereof resulting in a decrease in beneficial ownership of 626,998 shares of Common Stock.\n\nOn June 5, 2026, the General Partner Trustees approved a gift of 540,000 shares of Common Stock (the \"Gift\") directly held by the Reporting Person.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2013745/000119312526259859/0001193125-26-259859-index.html" }, { "accession_no": "0001193125-26-259707", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 912892, "issuer_name": "Grupo Televisa, S.A.B.", "issuer_cusip": "40049J206", "securities_class_title": "Series A Shares (\"A Shares\"), Series B Shares (\"B Shares\"), Dividend Preferred Shares (\"D Shares\"), Series L Shares (\"L Shares\")", "date_of_event": "2026-06-03", "filed_date": "2026-06-05", "item3_funds_source": "On June 3, 2026, the Reporting Person purchased from the Issuer a Convertible Debenture (as defined in Item 4) convertible into 6,307,262,714 A Shares, for an aggregate cash purchase price of Ps. 529,481,227.78.", "item4_transaction_purpose": "On June 3, 2026 (the \"Closing Date\"), the Reporting Person purchased from the Issuer a zero-coupon mandatory convertible debenture (the \"Convertible Debenture\") convertible into 6,307,262,714 A Shares, for an aggregate purchase price of Ps. 529,481,227.78 in order to maintain the proportion of the Issuer's A Shares relative to the other series of shares of the Issuer's capital stock in light of the issuance of Convertible Debentures to other third parties. Accordingly, each of EAJ and BGM also agreed to subscribe for Convertible Debentures, convertible into 781,881,251 and 6,307,262,714 A Shares, respectively (as applicable, the \"Conversion Shares\"), under the same terms and at the same price per share as the Reporting Person.\n\nThe Convertible Debenture does not accrue interest, and will mature and be mandatorily convertible into A Shares on the earlier of (a) June 3, 2027 and (b) the date on which the Issuer defaults on liabilities in excess of $100,000,000, among other events of distress and default, subject to obtaining applicable regulatory authorizations (the \"Maturity Date\"), unless earlier converted pursuant to the terms of the Convertible Debenture.\n\nThe Convertible Debenture is not redeemable.\n\nThe Reporting Person also agreed to undertake, for a period of 360 (three hundred sixty) days counted from the Maturity Date, not to, without the prior written consent of the Issuer, directly or indirectly: (i) offer, pledge, sell, contract to sell, offer or sell, enter into any option or contract to sell, grant any option, right or warrant to purchase, lend, dispose of or otherwise transfer the A shares underlying the Convertible Debenture; (ii) enter into any derivative financial transaction, swap, forward contract, hedge or other contract or transaction that transfers, in whole or in part, directly or indirectly, the economic benefit of ownership of the A shares underlying the Convertible Debenture, regardless of whether such transaction is settled by delivery of the A shares underlying the Convertible Debenture, in cash or otherwise; or (iii) publicly announce the intention to carry out any of the transactions referred to in the foregoing subsections.\n\nThe foregoing summary of the Convertible Debenture does not purport to be complete and is qualified in its entirety by reference to the Convertible Debenture certificate, a copy of which is filed as Exhibit 99.2 to the Schedule 13D and is incorporated herein by reference.\n\nIn addition, on June 3, 2026, the Reporting Person entered in an agreement with EAJ, BGM and the Azcarraga Trust (the \"Conversion Shares Voting Agreement\"), pursuant to which EAJ, through the Azcarraga Trust, will have the right to exercise all voting rights attached to the Conversion Shares, with respect to the appointment, removal and/or ratification of members of the Issuer's board of directors so long as EAJ is not declared legally dead, incapacitated or absent and holds more than 13,329,746,451 of A Shares through the Azcarraga Trust. The Reporting Person will have the right to exercise all voting rights attached to the Conversion Shares other than those specified in the preceding sentence.\n\nThe foregoing summary of the Conversion Shares Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the Conversion Shares Voting Agreement, a copy of which is filed as Exhibit 99.3 to the Schedule 13D and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/912892/000119312526259707/0001193125-26-259707-index.html" }, { "accession_no": "0001193125-26-259706", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 912892, "issuer_name": "Grupo Televisa, S.A.B.", "issuer_cusip": "40049J206", "securities_class_title": "Series A Shares (\"A Shares\"), Series B Shares (\"B Shares\"), Dividend Preferred Shares (\"D Shares\"), Series L Shares (\"L Shares\")", "date_of_event": "2026-06-03", "filed_date": "2026-06-05", "item3_funds_source": "On June 3, 2026, the Reporting Person purchased from the Issuer a Convertible Debenture (as defined in Item 4) convertible into 6,307,262,714 A Shares, for an aggregate cash purchase price of Ps. 529,481,227.78.", "item4_transaction_purpose": "On June 3, 2026 (the \"Closing Date\"), the Reporting Person purchased from the Issuer a zero-coupon mandatory convertible debenture (the \"Convertible Debenture\") convertible into 6,307,262,714 A Shares, for an aggregate purchase price of Ps. 529,481,227.78 in order to maintain the proportion of the Issuer's A Shares relative to the other series of shares of the Issuer's capital stock in light of the issuance of Convertible Debentures to other third parties. Accordingly, each of EAJ and AAN also agreed to subscribe for Convertible Debentures, convertible into 781,881,251 and 6,307,262,714 A Shares, respectively (as applicable, the \"Conversion Shares\"), under the same terms and at the same price per share as the Reporting Person.\n\nThe Convertible Debenture does not accrue interest, and will mature and be mandatorily convertible into A Shares on the earlier of (a) June 3, 2027 and (b) the date on which the Issuer defaults on liabilities in excess of $100,000,000, among other events of distress and default, subject to obtaining applicable regulatory authorizations (the \"Maturity Date\"), unless earlier converted pursuant to the terms of the Convertible Debenture.\n\nThe Convertible Debenture is not redeemable.\n\nThe Reporting Person also agreed to undertake, for a period of 360 (three hundred sixty) days counted from the Maturity Date, not to, without the prior written consent of the Issuer, directly or indirectly: (i) offer, pledge, sell, contract to sell, offer or sell, enter into any option or contract to sell, grant any option, right or warrant to purchase, lend, dispose of or otherwise transfer the A shares underlying the Convertible Debenture; (ii) enter into any derivative financial transaction, swap, forward contract, hedge or other contract or transaction that transfers, in whole or in part, directly or indirectly, the economic benefit of ownership of the A shares underlying the Convertible Debenture, regardless of whether such transaction is settled by delivery of the A shares underlying the Convertible Debenture, in cash or otherwise; or (iii) publicly announce the intention to carry out any of the transactions referred to in the foregoing subsections.\n\nThe foregoing summary of the Convertible Debenture does not purport to be complete and is qualified in its entirety by reference to the Convertible Debenture certificate, a copy of which is filed as Exhibit 99.2 to the Schedule 13D and is incorporated herein by reference.\n\nIn addition, on June 3, 2026, the Reporting Person entered in an agreement with EAJ, AAN and the Azcarraga Trust (the \"Conversion Shares Voting Agreement\"), pursuant to which EAJ, through the Azcarraga Trust, will have the right to exercise all voting rights attached to the Conversion Shares, with respect to the appointment, removal and/or ratification of members of the Issuer's board of directors so long as EAJ is not declared legally dead, incapacitated or absent and holds more than 13,329,746,451 of A Shares through the Azcarraga Trust. The Reporting Person will have the right to exercise all voting rights attached to the Conversion Shares other than those specified in the preceding sentence.\n\n\nThe foregoing summary of the Conversion Shares Voting Agreement does not purport to be complete and is qualified in its entirety by reference to the Conversion Shares Voting Agreement, a copy of which is filed as Exhibit 99.3 to the Schedule 13D and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/912892/000119312526259706/0001193125-26-259706-index.html" }, { "accession_no": "0001193125-26-258539", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1034665, "issuer_name": "BLACKROCK MUNIHOLDINGS FUND, INC.", "issuer_cusip": "09253N609", "securities_class_title": "VARIABLE RATE MUNI TERM PREFERRED SHARES", "date_of_event": "2026-06-02", "filed_date": "2026-06-05", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1034665/000119312526258539/0001193125-26-258539-index.html" }, { "accession_no": "0001140361-26-024308", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1865782, "issuer_name": "BrightSpring Health Services, Inc.", "issuer_cusip": "10950A106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-05", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn June 3, 2026, KKR Phoenix Aggregator L.P., as a selling stockholder, the Issuer, and the other selling stockholders identified therein, entered into an underwriting agreement (the \"Underwriting Agreement\") with Goldman Sachs & Co. LLC, (the \"Underwriter\"), providing for the offer and sale of 15,000,000 shares of Common Stock by the selling stockholders, including 14,669,771 shares by KKR Phoenix Aggregator L.P. (the \"Offering\"), and purchase by the Underwriter of the shares of Common Stock, at a net price to KKR Phoenix Aggregator L.P. of $58.453 per share. The Offering closed on June 5, 2026. The Offering was made pursuant to the Issuer's shelf registration statement on Form S-3 (File No. 333- 287916), as supplemented by a base prospectus dated June 10, 2025 as supplemented by a preliminary prospectus supplement and prospectus supplement, each dated June 5, 2026.\n\nPursuant to the Underwriting Agreement, KKR Phoenix Aggregator L.P. has entered into a lock-up agreement (the \"Lock-Up Agreement\") with the Underwriter pursuant to which it has agreed with the Underwriter, subject to customary exceptions, not to offer, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase, lend, or otherwise transfer or dispose of, directly or indirectly, any shares of Common Stock, or any securities convertible into or exercisable or exchangeable for Common Stock, during the period from June 3, 2026 continuing through the date 60 days thereafter, except with the prior written consent of the Underwriter.\n\nThe descriptions of the Underwriting Agreement and Lock-Up Agreement contained in this Item 4 are not intended to be complete and are qualified in their entirety by reference to the Underwriting Agreement and Form of Lock-Up Agreement, each of which is filed as an exhibit hereto and incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1865782/000114036126024308/0001140361-26-024308-index.html" }, { "accession_no": "0001140361-26-024263", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1539838, "issuer_name": "Diamondback Energy, Inc.", "issuer_cusip": "25278X109", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-04", "filed_date": "2026-06-05", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to add the following:\n\nOn June 4, 2026, SGF FANG sold an aggregate of 10,000,000 shares of Common Stock at a price of $204.25 per share pursuant to Rule 144 under the Securities Act of 1933, as amended (the \"June 4, 2026 Sale\"). In connection with the June 4, 2026 Sale, SGF FANG is subject to a lock-up period from June 4, 2026 through the date 30 days after June 4, 2026, during which SGF FANG may not sell any shares of Common Stock without the mutual agreement of SGF FANG and J.P. Morgan Securities LLC.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1539838/000114036126024263/0001140361-26-024263-index.html" }, { "accession_no": "0001104659-26-070997", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 885550, "issuer_name": "Credit Acceptance Corporation", "issuer_cusip": "225310101", "securities_class_title": "Common Stock", "date_of_event": "2026-06-05", "filed_date": "2026-06-05", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": "This Schedule 13D/A is being filed to report a change in the shares beneficially owned by the Reporting Persons. The Reporting Persons intend to evaluate on an ongoing basis the investments in the Issuer and their options with respect to such investments. The Reporting Persons may from time to time, acquire additional common stock from time to time for investment purposes if market conditions are favorable, in the open market, in privately negotiated transactions or otherwise. The Reporting Persons may also dispose of some or all of the Issuer's common stock that the Reporting Persons beneficially own, periodically, by public or private sale (registered or unregistered and with or without the simultaneous sale of newly-issued common stock by the Issuer), gift, expiration of options, forfeiture of restricted shares or otherwise, including, without limitation, sales of common stock pursuant to Rule 144 under the Securities Act of 1933, as amended, or otherwise. The Reporting Persons reserve the right not to acquire common stock at any given time and not to dispose of all or part of common stock the Reporting Persons may own at any given time if they determine such acquisition or disposal is not in their best interests at the time in question.\n\nOther than as described above, the Reporting Persons does not have any current plans or proposals which relate to, or would result in, (a) any acquisition or disposition of securities of the Issuer, (b) any extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) any sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries, (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board, (e) any material change in the Issuer's present capitalization or dividend policy, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's articles of incorporation or bylaws or other actions which may impede the acquisition of control of the Issuer by any person, (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of the Issuer's equity securities becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended, or (j) any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/885550/000110465926070997/0001104659-26-070997-index.html" }, { "accession_no": "0001104659-26-070963", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 885550, "issuer_name": "CREDIT ACCEPTANCE CORP", "issuer_cusip": "225310101", "securities_class_title": "Common Stock", "date_of_event": "2026-06-05", "filed_date": "2026-06-05", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": "This Schedule 13D is being filed to report a change in the shares beneficially owned by the Reporting Persons. The Reporting Persons intend to evaluate on an ongoing basis the investments in the Issuer and their options with respect to such investments. The Reporting Persons may from time to time, acquire additional common stock from time to time for investment purposes if market conditions are favorable, in the open market, in privately negotiated transactions or otherwise. The Reporting Persons may also dispose of some or all of the Issuer's common stock that the Reporting Persons beneficially own, periodically, by public or private sale (registered or unregistered and with or without the simultaneous sale of newly-issued common stock by the Issuer), gift, expiration of options, forfeiture of restricted shares or otherwise, including, without limitation, sales of common stock pursuant to Rule 144 under the Securities Act of 1933, as amended, or otherwise. The Reporting Persons reserve the right not to acquire common stock at any given time and not to dispose of all or part of common stock the Reporting Persons may own at any given time if they determine such acquisition or disposal is not in their best interests at the time in question.\n\nOther than as described above, the Reporting Persons do not have any current plans or proposals which relate to, or would result in, (a) any acquisition or disposition of securities of the Issuer, (b) any extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) any sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries, (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the Board, (e) any material change in the Issuer's present capitalization or dividend policy, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's articles of incorporation or bylaws or other actions which may impede the acquisition of control of the Issuer by any person, (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of the Issuer's equity securities becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended, or (j) any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/885550/000110465926070963/0001104659-26-070963-index.html" }, { "accession_no": "0001104659-26-070961", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 39911, "issuer_name": "The Gap, Inc.", "issuer_cusip": "364760108", "securities_class_title": "Common Stock", "date_of_event": "2026-06-03", "filed_date": "2026-06-05", "item3_funds_source": "The Reporting Person is deemed to beneficially own certain shares of Common Stock of the Issuer as reflected in this Statement. No consideration was used to acquire beneficial ownership of the shares of Common Stock of the Issuer by the Reporting Person, other than exercise prices paid upon exercises of Issuer stock options for certain shares of Common Stock previously acquired by the Reporting Person.", "item4_transaction_purpose": "This Statement is filed on behalf of the Reporting Person to update the beneficial ownership information from that reported in the Schedule 13D. The changes in beneficial ownership are the result of the implementation of an estate plan due to Doris F. Fisher's death.\n\nThe Reporting Person reviews their investments in the Issuer on a continuing basis and may, at any time, consistent with the obligations of the Reporting Person under the federal securities laws, determine to increase or decrease their respective ownership of shares of the Issuer's Common Stock through purchases or sales of such Common Stock of the Issuer in the open market, in privately negotiated transactions or by gift or other transfers as circumstances dictate. From time to time, the Reporting Person has transferred shares to various entities controlled by him, disposed of certain shares to third parties by gift and sold shares of Issuer Common Stock in the open market and in privately negotiated transactions, and the Reporting Person may do so in the future. The review of his investment in the Issuer by the Reporting Person will depend on various factors, including the Issuer's business prospects, other developments concerning the Issuer, alternative investment opportunities, general economic conditions, money and stock market conditions, and any other facts and circumstances which may become known to the Reporting Person regarding his investment in the Issuer. At the time of filing this Statement, the Reporting Person has no plans to sell or to purchase additional shares of Common Stock of the Issuer in the open market or in privately negotiated transactions but may engage in such transactions in the future.\n\nAt the time of the filing of this Statement, except as disclosed herein, the Reporting Person has no present plans or proposals in his capacity as a stockholder which relate to or would result in (i) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer, (ii) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (iii) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries, (iv) any change in the Board of Directors or management of the Issuer or any of its subsidiaries, (v) any material change in the present capitalization or dividend policy of the Issuer, (vi) any other material change in the Issuer's business or corporate structure; (vii) changes in the Issuer's charter or bylaws or other actions which may impede the acquisition of control of the Issuer by any person, (viii) causing a class of securities of the Issuer to be delisted from a national securities exchange or cease to be quoted in an inter-dealer quotation system of a registered national securities association, (ix) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act or (x) any action similar to any of those described above. However, because the Reporting Person is a member of the Board of Directors of the Issuer, he may, from time to time, be involved in discussions which relate to one or more of the matters described in this Item 4. The Reporting Person disclaims any obligation to report on any plans or proposals with respect to the matters described in this Item 4 that develop or occur as a result of his role as a director of the Issuer and participation in decisions regarding the Issuer's actions.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/39911/000110465926070961/0001104659-26-070961-index.html" }, { "accession_no": "0001104659-26-070708", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 28917, "issuer_name": "DILLARD'S, INC.", "issuer_cusip": "254067101", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-06-04", "filed_date": "2026-06-05", "item3_funds_source": "In addition to the shares acquired pursuant to the Merger (as defined and disclosed in Item 4 of this Schedule 13D), each Reporting Person acquired his shares of Class A Common Stock reported in this Schedule 13D through inheritance, with personal funds, and/or as compensation from the Issuer, as applicable.", "item4_transaction_purpose": "The information set forth in Item 6 of this Schedule 13D is incorporated herein by reference.\n\nMerger Agreement\n\nOn June 4, 2026, the Issuer completed the transactions contemplated by that certain Agreement and Plan of Merger, dated as of March 20, 2026 (the \"Original Merger Agreement,\" and as amended on March 25, 2026, the \"Merger Agreement\"), by and among the Issuer, W.D. Company, Inc., an Arkansas corporation (\"WDC\"), and Alex Dillard (solely in his capacity as the representative of the shareholders of WDC), including the merger of WDC with and into the Issuer (the \"Merger\"), with the Issuer surviving the Merger (collectively, the \"Transactions\").\n\nWDC was a privately held Arkansas corporation that was organized as a family holding company to own and hold shares of Dillard's Common Stock (as defined below) primarily for the benefit of the Dillard family. WDC had no business operations and engaged in no business activities other than (a) owning, holding, and disposing of certain equity securities, including shares of Class A Common Stock and shares of Class B Common Stock (together, the \"Dillard's Common Stock\") and a de minimis amount of shares of another publicly traded common stock, and (b) receiving cash dividends from the Issuer and distributing such dividends directly to WDC's shareholders, including the Reporting Persons (the \"WDC Shareholders\"), in each case solely in a manner incidental to the ownership of such securities and the maintenance of WDC's corporate existence. As of the date of the Merger Agreement, WDC owned 41,496 shares of Class A Common Stock and 3,985,776 shares of Class B Common Stock.\n\nAt the effective time of the Merger (the \"Effective Time\"), in accordance with the terms and conditions set forth in the Merger Agreement, each share of voting common stock, $1.00 par value per share, of WDC (the \"WDC Voting Common Stock\") and each share of non-voting common stock, $1.00 par value per share, of WDC (the \"WDC Non-Voting Common Stock\", and together with the WDC Voting Common Stock, the \"WDC Common Stock\"), issued and outstanding immediately prior to the Effective Time was cancelled, and each WDC Shareholder became entitled to receive such WDC Shareholder's Pro Rata Share (as defined below) of (a) up to 41,496 shares of Class A Common Stock and up to 3,985,776 shares of Class B Common Stock, excluding, for the avoidance of doubt, any fractional shares; and (b) the amount in cash equal to the sum of (i) WDC's cash and cash equivalents as of the closing date of the Merger (the \"Closing Date\"), plus (ii) the amount equal to the average of the high and low trading prices of other publicly traded securities owned by WDC, determined on the last trading day 2 business days prior to the Closing Date. \"Pro Rata Share\" means, with respect to any WDC Shareholder, a fraction expressed as a percentage, the numerator of which is the number of shares of WDC Common Stock held by such WDC Shareholder immediately prior to the Effective Time and the denominator of which is the total number of shares of WDC Common Stock issued and outstanding immediately prior to the Effective Time.\n\nAt the Effective Time, the shares of Dillard's Common Stock held by WDC immediately prior to the Effective Time automatically became treasury stock of the Issuer, as the surviving corporation, and, immediately thereafter, were cancelled and returned to the status of authorized but unissued shares available for future reissuance. As a result of the payment of cash in lieu of fractional shares, the Issuer ultimately issued 41,494 shares of Class A Common Stock and 3,985,758 shares of Class B Common Stock, in the aggregate, to WDC Shareholders (the \"Aggregate Issued Stock Merger Consideration\") and paid $85,652.51 in cash, in the aggregate, to WDC Shareholders. Because the shares of Dillard's Common Stock held by WDC were cancelled, and the number of shares of Class A Common Stock and Class B Common Stock held by WDC immediately prior to the Effective Time exceeded the Aggregate Issued Stock Merger Consideration, the former WDC Shareholders, collectively, have a slightly lower percentage interest in the voting power, liquidation value and aggregate book value of the Issuer following the consummation of the Merger as such shareholders held immediately prior to the Effective Time. Accordingly, there was no dilution to current shareholders of the Issuer as a result of the Merger.\n\nThe foregoing description of the Merger Agreement and the Transactions, including the Merger, does not purport to be complete and qualified in its entirety by reference to the full text of the Original Merger Agreement, and Amendment No. 1 to Agreement and Plan of Merger, which are incorporated herein by reference to Exhibit 99.3 and Exhibit 99.4, respectively.\n\nGeneral\n\nThe Reporting Persons acquired the securities described in this Schedule 13D in connection with the transactions and agreements as discussed above and in Item 6 of this Schedule 13D, and the Reporting Persons intend to review their investments in the Issuer on a continuing basis.\n\nSubject to the Issuer's insider trading policy, the Reporting Persons may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. In addition, the Reporting Persons may engage in discussions with management, the Board, and shareholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or other transaction that could result in the de-listing or de-registration of the shares of Class A Common Stock; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board. Holders of Class A Common Stock are empowered as a class to elect one-third of the members of the Board of Directors, and the holders of Class B Common Stock are empowered as a class to elect two-thirds of the members of the Board of Directors.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis taking into consideration various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for shares of Class A Common Stock, in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time.\n\nSubject to the Issuer's insider trading policy, any open market or privately negotiated purchases or sales, acquisition recommendations or proposals or other transactions concerning the Issuer may be made at any time without prior notice. Any alternative may depend upon a variety of factors, including, without limitation, current and anticipated future trading prices of the securities, the financial condition, results of operations and prospects of the Issuer and general industry conditions, the availability, form and terms of financing, other investment and business opportunities, general stock market and economic conditions, tax considerations and other factors.\n\nDepending upon each factor discussed above and any other factor (which may be unknown at this time) that is, or may become relevant, the Reporting Persons may consider, among other things: (a) the acquisition by the Reporting Persons of additional securities of the Issuer, the disposition of securities of the Issuer, or the exercise of convertible securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) changes in the present Board or management of the Issuer; (e) a material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's articles of incorporation, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing any class of the Issuer's securities to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) any action similar to those enumerated above.\n\nExcept to the extent that the foregoing may be deemed to be a plan or proposal, the Reporting Persons do not currently have any plans or proposals that relate to or would result in any of the actions specified in clause (a) through (j) of this Item 4 of Schedule 13D. Depending upon the foregoing factors and to the extent deemed advisable in light of their general investment policies, or other factors, the Reporting Persons may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer or the shares of Class A Common Stock, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in paragraphs (a) through (j) of this Item 4 of Schedule 13D. The foregoing is subject to change at any time, and there can be no assurance that the Reporting Persons will take any of the actions set forth above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/28917/000110465926070708/0001104659-26-070708-index.html" }, { "accession_no": "0000038777-26-000173", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-06-04", "filed_date": "2026-06-05", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000173/0000038777-26-000173-index.html" }, { "accession_no": "0001725721-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1808805, "issuer_name": "Nautilus Biotechnology, Inc.", "issuer_cusip": "63909J108", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1808805/000172572126000002/0001725721-26-000002-index.html" }, { "accession_no": "0001552781-26-000356", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1828108, "issuer_name": "Aurora Innovation, Inc.", "issuer_cusip": "051774107", "securities_class_title": "Class A common stock, par value $0.00001 per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nOn June 2, 2026, Neben Holdings, LLC, a wholly-owned subsidiary of the Reporting Person, sold 67,500,000 shares of Class A Common Stock to a financial institution in a block sale transaction at a price per share of $7.10 (the \"Block Sale\").\n\nExcept to the extent disclosed or incorporated herein, as of the date hereof, other than as noted herein, the Reporting Person has no plans or proposals that relate to or would result in (a) the acquisition of additional securities of the Issuer or the disposition of securities of the Issuer other than as described herein; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's charter, bylaws, or other instruments corresponding thereto or other actions that may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action similar to any of the matters enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828108/000155278126000356/0001552781-26-000356-index.html" }, { "accession_no": "0001477932-26-003642", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 744452, "issuer_name": "BNB Plus Corp.", "issuer_cusip": "03815U607", "securities_class_title": "COMMON STOCK, PAR VALUE $0.001 PER SHARE", "date_of_event": "2026-05-28", "filed_date": "2026-06-04", "item3_funds_source": "Private Placement and Inducement Transaction\r \r On May 26, 2026, BNB Plus Corp., a Delaware corporation (the \"Company\"), entered into agreements to issue in one or more offerings up to an aggregate amount of $5 million of the Company's securities in a convertible preferred equity private placement financing pursuant to: a Securities Purchase Agreement (the \"SPA\") with accredited investors (\"Purchasers\") whereby Purchasers were to invest in the Company's securities in U.S. dollars or stablecoins recognized by the GENIUS Act.\r \r The private placement transaction discussed herein is referred to as the \"Offering\".\r \r Securities Purchase Agreement\r \r Pursuant to the SPA, the Company agreed to sell and issue to each Purchaser, at an offering price of $1.05 per share, Series B-1 Convertible Preferred Stock (\"Series B-1 Preferred Stock\"), and/or Series B-1 Prefunded Preferred Stock Purchase Warrants in lieu thereof (the \"Series B-1 Prefunded Warrants\"), and Series F Common Stock Purchase Warrants (the \"Common Warrants\") to purchase a number of shares of $0.001 par value common stock of the Company (\"Common Stock\") equal to 100% of the shares of Common Stock issuable upon conversion of the Series B-1 Preferred Stock issued to the Purchaser in connection with the SPA.\r \r KGPLA Holdings LLC (\"KGPLA\") was a Purchaser in the Offering, which as to KGPLA's investment closed on May 28, 2026, pursuant to which KGPLA acquired 2,380,953 shares of Series B-1 Preferred Stock and Common Warrants to purchase 2,380,953 shares of Common Stock in consideration for an aggregate of $2.5 million in cash.\r \r The cash used for the acquisition of the Series B-1 Preferred Stock and Warrants was transferred to KGLPA from its parent, and was obtained from the proceeds of a margin loan arrangement with Charles Schwab on customary terms, including a floating annual interest rate equal to the federal funds rate plus 1.25%, which is currently 5%.\r \r Additional Terms\r \r Each Common Warrant is exercisable for one share of Common Stock at the exercise price of $0.76 per share of Common Stock (the \"Common Warrant Shares\"). The Common Warrants are exercisable for cash immediately upon issuance and thereafter may be exercised at any time until three (3) years after issuance. The Common Warrants may also be exercised on a cashless basis at any time beginning six (6) months after their initial issuance if, at the time of exercise, there is no effective registration statement registering, or the prospectus contained therein is not available for, the resale of the Common Warrant Shares by the holder thereof and are subject to cancellation by the Company if they are not exercised after certain specified trading criteria of the Common Stock is satisfied.\r \r KGPLA's ability to exercise its Common Warrants in exchange for Common Warrant Shares is subject to a 19.99% beneficial ownership limitations set forth therein. \r \r Guaranty Agreement\r \r In connection with the SPA and a separate Warrant Inducement and Exchange Agreements (each an \"Inducement Agreement\"), entered into with certain other persons (the \"Exchanging Holders\"), certain subsidiaries of the Company (the \"DATS Subsidiaries\") agreed to execute a guaranty in favor of the holders of the Preferred Stock and Prefunded Warrants. \r \r Registration Rights Agreement\r \r In connection with the SPA and the Inducement Agreement, the Company, Purchasers, and Exchanging Holders entered into a Registration Rights Agreement dated May 26, 2026, pursuant to which the Company will agree to file a registration statement with the U.S. Securities and Exchange Commission (the \"SEC\") within thirty (30) days of the date of the Registration Rights Agreement, registering, as applicable, the resale of the Common Stock issuable upon conversion of the Preferred Stock (the \"Preferred Stock Shares\"), the shares of Common Stock issuable upon exercise of the Series B-1 Prefunded Warrants and certain Series B-2 Prefunded Warrants (the \"Prefunded Warrant Shares\"), and Common Warrant Shares. The Registration Rights Agreement will also cover the registration of the resale of the Preferred Stock Shares, Prefunded Warrant Shares, and Common Warrant Shares issuable to Purchasers and Exchanging Holders who enter into the SPA or Inducement Agreement after the initial closing and prior to June 15, 2026.\r \r Holders of Preferred Stock have the right to require the Company to redeem all or any portion of such holder's Preferred Stock for cash upon a Fundamental Transaction (including a Liquidation Event), Delisting Event, Treasury Value Event, Warrant Ratchet Event, or Event of Default, as each term is defined in the relevant Certificate of Designation evidencing the applicable Preferred Stock (the \"Certificate of Designations\"). \r \r Preferred Stock Terms\r \r Annual Dividends\r \r The Preferred Stock is entitled to an annual dividend on the Preferred Stock's Accumulated Liquidation Preference, defined below, and which shall be payable quarterly in arrears. Until the first quarterly dividend payment required after the second anniversary of the initial issuance of the Preferred Stock, the Company may, in its sole discretion, choose to pay dividends required under the Certificate of Designations in a dollar amount expressed as an amount per shares of Preferred Stock, which amount will increase such Preferred Stock's stated value. Following the second year anniversary of the initial issuance of the Preferred Stock all dividend payments are required to be made in cash. The Series B-1 Preferred Stock carries an annual dividend rate of 8%.\r \r Liquidation and Dividend Preferences\r \r As defined in the Certificate of Designations, the Series B-1 Preferred Stock has an \"Initial Liquidation Preference\" of $1.05 and an \"Accumulated Liquidation Preference\" which equals $1.05 plus any and all dividends.\r \r The \"Liquidation Preference\" of the Series B-1 Preferred Stock equals an amount equal to (x) 1.5 multiplied by (y) the Accumulated Liquidation Preference plus (z) accrued and unpaid dividends, whether or not declared, that have not yet been compounded and added to the Accumulated Liquidation Preference. \r \r Subject to a maximum distribution of two (2.0) times the Liquidation Preference per share, the Series B-1 Preferred Stock ranks senior to Common Stock and Series B-2 Preferred Stock, with respect to the distribution of assets upon the Company's liquidation, dissolution or winding up, until such Preferred Stock has received an amount equal to its Liquidation Preference, at which point holders of Preferred Stock will participate on a pro-rata as-converted basis with holders of Common Stock in the distribution of any remaining assets of the Company available for distribution to stockholders.\r \r In addition, the holders of Preferred Stock may elect to receive the amounts they would have received upon the distribution of assets upon the Company's liquidation, dissolution or winding up, had such holder converted their Preferred Stock into Common Stock immediately prior to the liquidation event.\r \r Pursuant to the Certificate of Designations, the Company cannot issue capital stock that ranks senior to, or equally with, the Preferred Stock with respect to the (i) distribution of assets upon the Company's liquidation, dissolution or winding up, and (ii) payment of dividends (without regard to whether or not dividends accumulate cumulatively), without the prior approval of holders representing a majority of the outstanding shares of Series B-1 Preferred Stock.\r \r Right to Vote with Holders of Common Stock\r \r The holders of Preferred Stock will have the right to vote together as a single class with the holders of Common Stock on each matter submitted for a vote or consent by the holders of Common Stock, and (i) the Preferred Stock of each holder will entitle such holder to be treated as if such holder were the holder of record, as of the record or other relevant date for such matter, of a number of shares of Common Stock equal to the number of shares of Common Stock that would be issuable upon conversion of such Preferred Stock, subject to the terms of conversion in the Certificate of Designations, assuming such Preferred Stock were converted on such record or other relevant date; and (ii) the holders will be entitled to notice of all stockholder meetings or proposed actions by written consent in accordance with the Company's Certificate of Incorporation, as amended, Bylaws, and the Delaware General Corporation Law as if the holders were holders of Common Stock.\r \r Protective Provisions\r \r While any Series B-1 Preferred Stock remains outstanding, the Company may not take certain significant actions without the approval of holders representing a majority of the outstanding Series B-1 Preferred Stock, which majority is currently held by KGPLA. These protective provisions apply to, among other things, the issuance of additional preferred or senior securities; amendments to organizational or governing documents that adversely affect the Series B-1 Preferred Stock; liquidation events or fundamental transactions that do not provide holders with at least their liquidation preference and the right to receive payment in cash or liquid digital treasury assets; the creation of securities ranking senior or pari passu to the Series B-1 Preferred Stock; dividends, redemptions or repurchases of junior securities; incurrence of liens or indebtedness above specified thresholds; material transfers or misuse of digital treasury assets; waivers of events of default; and a broad range of actions involving any DAT Subsidiary, including reorganizations, insolvency actions, asset sales, changes to organizational documents, intercompany transfers, commingling of assets, or amendments impairing the guaranty.\r \r Conversion Rights\r \r The Convertible Preferred Stock is convertible solely at the option of the holders, subject to any applicable beneficial ownership limitations. KGPLA's ability to convert the Series B-1 Preferred Stock into Common Stock is subject to a 19.99% beneficial ownership limitation.\r . \r Upon conversion, holders are entitled to receive a number of shares of Common Stock determined by dividing the liquidation preference of the converted preferred shares by the applicable conversion price, initially resulting in a one-for-one conversion ratio, subject to customary anti-dilution adjustments. Fractional shares are not issuable, with cash payable in lieu thereof. The Company is generally required to deliver the conversion consideration within two trading days following the conversion date, and holders become record owners of the underlying Common Stock as of the close of business on the applicable conversion date.\r \r The conversion price is subject to customary adjustment provisions for stock dividends, stock splits, stock combinations, tender offers, exchange offers and similar recapitalization events, as well as broader \"Common Stock Change Events,\" including mergers, consolidations, asset sales and similar transactions. In such events, holders will thereafter be entitled to receive the same type and amount of property that holders of Common Stock would have received in the transaction. The certificate also includes customary provisions governing calculation methodologies, deferred adjustments below a one percent threshold, notices of adjustments, treatment under stockholder rights plans, and execution of supplemental agreements to preserve holder economics following corporate transactions.\r \r The Company may voluntarily reduce the conversion price for limited periods if approved by the board and otherwise permitted by law and stock exchange rules, although any reduction reasonably expected to create adverse tax consequences for holders requires approval of a majority of the outstanding Preferred Stock. Certain issuances of Common Stock, including employee equity issuances, preexisting warrants or convertible securities, dividend reinvestment plans, and approved commercial arrangements, do not trigger conversion price adjustments.", "item4_transaction_purpose": "The Reporting Persons acquired the securities for investment purposes. In the future, depending on general market and economic conditions affecting the Company and other relevant factors, the Reporting Persons may purchase additional securities of the Company or dispose of some or all of the securities they currently own from time to time in open market transactions, private transactions or otherwise. Other than as discussed above, or in connection with the Transactions, defined above in Item 3, the Reporting Persons do not currently have any plans or proposals which relate to or would result in the following described: (a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer, except as discussed above and except that the Reporting Persons currently contemplate acquiring additional securities of the Issuer from time to time in open market or private purchases subject to market conditions and other factors; (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) Any material change in the present capitalization or dividend policy of the Issuer; (f) Any other material change in the Issuer's business or corporate structure, including but not limited to, if the Issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940; (g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to section 12(g)(4) of the Act; or (j) Any action similar to any of those enumerated above, except as discussed above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/744452/000147793226003642/0001477932-26-003642-index.html" }, { "accession_no": "0001437749-26-019619", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 889971, "issuer_name": "LIGHTPATH TECHNOLOGIES INC", "issuer_cusip": "532257805", "securities_class_title": "Class A common stock, $0.01 par value", "date_of_event": "2026-06-03", "filed_date": "2026-06-04", "item3_funds_source": "Item 3 is hereby amended and supplemented to add the following at the end thereof:\n\nThe information in Item 5(c) is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to add the following at the end thereof:\n\nThe information in Item 5(c) is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/889971/000143774926019619/0001437749-26-019619-index.html" }, { "accession_no": "0001214659-26-007175", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1600620, "issuer_name": "Aurinia Pharmaceuticals Inc.", "issuer_cusip": "05156V102", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and restated by replacing the text thereof in its entirety with the following:\n\nThe Reporting Persons' acquisition was made for investment purposes. In accordance with applicable securities laws, the Reporting Persons may, from time to time and at any time, acquire additional shares and/or other equity, debt or other securities or instruments (collectively, \"Securities\") of the Issuer in the open market or otherwise, and reserves the right to dispose of any or all of its Securities in the open market or otherwise at any time and from time to time, and to engage in similar transactions with respect to the Securities, the whole depending on market conditions, the business and prospects of the Issuer and other relevant factors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1600620/000121465926007175/0001214659-26-007175-index.html" }, { "accession_no": "0001213900-26-065438", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1856437, "issuer_name": "Victoria's Secret & Co.", "issuer_cusip": "926400102", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1856437/000121390026065438/0001213900-26-065438-index.html" }, { "accession_no": "0001213900-26-065310", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1851484, "issuer_name": "Citius Oncology, Inc.", "issuer_cusip": "17331Y109", "securities_class_title": "Common Shares, $0.0001 par value per share", "date_of_event": "2026-05-15", "filed_date": "2026-06-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1851484/000121390026065310/0001213900-26-065310-index.html" }, { "accession_no": "0001213900-26-065295", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2095743, "issuer_name": "Rare Earths Americas, Inc.", "issuer_cusip": "75381A108", "securities_class_title": "Common Stock", "date_of_event": "2026-05-07", "filed_date": "2026-06-04", "item3_funds_source": "In July 2025, ACN acquired 372,582 shares of Common Stock from the Issuer in an in-specie distribution by Rare Earths Americas Pty Ltd, and subsequently acquired 375,000 shares of Common Stock in a private placement from the Issuer in exchange for AUD$3,750,000 using cash on hand from WHC group working capital. In December 2025, ACN entered into a Simple Agreement for Future Equity (\"SAFE\") in exchange for USD$5,814,500 using cash on hand from WHC group working capital, to which ACN's investment would automatically convert into shares of Common Stock of the Issuer upon its next qualifying equity financing round, subject to a valuation cap of USD$250,000,000 and a 20% discount on the applicable conversion price. Pursuant to the SAFE, 399,896 shares of Common Stock were automatically converted under the terms of the SAFE upon the completion of the IPO on May 7, 2026. At the completion of the IPO, ACN also acquired 525,000 shares of Common Stock from the underwriters of the IPO in exchange for USD$9,975,000 using cash on hand from WHC group working capital.", "item4_transaction_purpose": "The Reporting Persons acquired the securities reported herein for strategic investment purposes. The Reporting Persons will continuously review their investment in Issuer, and depending on market, economic and industry conditions, their continuing evaluation of the business, strategies, prospects, management, governance, operations, performance, financial matters, capital structure and prospects, market positions, strategic and other transactions of the Issuer, alternative investment opportunities and changes in applicable law and/or regulations and all other factors that may be deemed relevant, the Reporting Persons may dispose of or acquire additional securities of the Issuer. The Reporting Persons may, and expect that they will, engage in discussions with the Issuer's management and/or Board, other stockholders of the Issuer and other interested parties that may relate to the business, management, operations (including cost structure), assets, capitalization, financial condition, strategic plans, governance, Board composition and the future of the Issuer. Subject to market conditions and other factors described in this Schedule 13D, the Reporting Persons may also seek to monetize their securities in the Issuer through various transactions, including, without limitation, derivative transactions or a pledge of their interests in the securities of the Issuer as collateral for liquidity purposes.\n\nThe Reporting Persons do not have any current plans or proposals which relate to or would result in any of the actions described in Items 4(a)-(j) of Schedule 13D. However, the Reporting Persons may consider such matters in the future and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, the Reporting Persons may hold discussions with or make informal recommendations or formal proposals to the Issuer's management or Board, including any special committees of the Board and their respective advisors, other holders of the Issuer's securities, industry analysts, financial sponsors, existing or potential strategic partners, actual or potential sources of capital and other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2095743/000121390026065295/0001213900-26-065295-index.html" }, { "accession_no": "0001193125-26-258039", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 11544, "issuer_name": "W. R. BERKLEY CORPORATION", "issuer_cusip": "084423102", "securities_class_title": "Common Stock, par value $0.20 per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-04", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended by replacing the second to last paragraph of Item 4 with the following:\n\nIn connection with MSI's acquisition of fifteen percent (15%) of the Outstanding Agreement Shares, MSI designated Andrew Carrier, an executive officer of MSI, to serve as a director of the Issuer. Mr. Carrier was nominated to the slate of directors up for election to the Issuer's Board at the Issuer's 2026 annual meeting by the Issuer's Board following the recommendation of the Issuer's Nominating and Corporate Governance Committee to the Board. On June 3, 2026, Mr. Carrier was elected to the Board at the annual meeting of stockholders of the Issuer. Mr. Carrier was designated by MSI pursuant to the terms of the Framework Agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/11544/000119312526258039/0001193125-26-258039-index.html" }, { "accession_no": "0001193125-26-257866", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1826889, "issuer_name": "The Beachbody Company, Inc.", "issuer_cusip": "073463309", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1826889/000119312526257866/0001193125-26-257866-index.html" }, { "accession_no": "0001193125-26-257508", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1559432, "issuer_name": "TXO Partners, L.P.", "issuer_cusip": "87313P103", "securities_class_title": "Common Units representing limited partner interests", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": "Item 3 of the Schedule 13D is amended and supplemented as follows:\n\nFrom May 21, 2026 to June 3, 2026, the Reporting Person purchased an aggregate of 1,050,000 Common Units for aggregate consideration of approximately $14.4 million. The Reporting Person used personal funds for each of these acquisitions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1559432/000119312526257508/0001193125-26-257508-index.html" }, { "accession_no": "0001185185-26-002348", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2111038, "issuer_name": "DISCIPLINED GROWTH ACQUISITION Corp", "issuer_cusip": "G2775W101", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-05-28", "filed_date": "2026-06-04", "item3_funds_source": "The aggregate purchase price for the Ordinary Shares currently beneficially owned by the Reporting Persons was $1,842,500. The source of these funds was the working capital of the Sponsor.", "item4_transaction_purpose": "In connection with the organization of the Issuer, on January 19, 2026, the Sponsor paid $25,000, or approximately $0.004 per share, to cover certain of the Issuer's offering costs in exchange for 5,750,000 Class B Ordinary Shares (the \"Founder Shares\"), pursuant to the Securities Subscription Agreement dated as of January 19, 2026 between the Sponsor and the Issuer (the \"Founder Share Purchase Agreement\") as more fully described in Item 6 of this Section 13D, which information is incorporated by reference.\n\nOn May 26, 2026, prior to the consummation of the IPO, the Sponsor surrendered 1,100,000 Class B Ordinary Shares, and certain at-risk capital investors purchased, 1,100,000 founder shares, which resulted in the Sponsor owning 4,650,000 Class B Ordinary Shares.\n\nOn May 28, 2026, simultaneously with the consummation of the Issuer's Initial Public Offering (the \"IPO\"), the Sponsor purchased 175,000 units (\"Placement Units\") of the Issuer at $10.00 per Placement Unit, pursuant to a Private Placement Units Purchase Agreement, dated as of May 26, 2026, by and between the Issuer and the Sponsor (the \"Placement Units Purchase Agreement\"), as more fully described in Item 6 of this Schedule 13D, which information is incorporated herein by reference.\n\nOn June 4, 2026, the underwriter purchased an additional 750,000 Option Units pursuant to the partial exercise of its Over-Allotment Option, with such notice of partial exercise provided to the Company on June 2, 2026. The Option Units were sold at an offering price of $10.00 per Unit, generating additional gross proceeds to the Company of $7,500,000. In connection with the underwriter's exercise of its Over-Allotment Option, the underwriter purchased an additional 3,000 Placement Units and 33,750 Representative Shares. In addition, the Sponsor purchased an additional 6,750 Placement Units. Following the exercise of the Over-Allotment Option, 500,000 Founder Shares remain subject to forfeiture if the underwriter does not exercise Over-Allotment Option to purchase additional Units within 45 days of May 26, 2026.\n\nEach Placement Unit consists of one Class A Ordinary Share and one right to receive one-fourth (1/4) of a Class A ordinary share upon the consummation of an initial business combination (as described more fully in the Issuer's Final Prospectus dated May 26, 2026).\n\nThe Ordinary Shares owned by the Reporting Persons have been acquired for investment purposes. The Reporting Persons may make further acquisitions of the Ordinary Shares from time to time and, subject to certain restrictions, may dispose of any or all of the Ordinary Shares held by the Reporting Persons at any time depending on an ongoing evaluation of the investment in such securities, prevailing market conditions, other investment opportunities and other factors. However, certain of such shares are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses.\n\nUnder various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed business combination and (B) not to redeem any shares in connection with a shareholder vote (or tender offer) to approve (or in connection with) a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2111038/000118518526002348/0001185185-26-002348-index.html" }, { "accession_no": "0001123292-26-000806", "submission_type": "SCHEDULE 13D/A", "amendment_no": 23, "issuer_cik": 1819989, "issuer_name": "Cipher Digital Inc.", "issuer_cusip": "17253J106", "securities_class_title": "Common Stock", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following: \r\n\r\nThis Amendment No. 23 is being filed for purposes of disclosing the Bitfury Top HoldCo Forward Contract described in this Amendment No. 23. The information contained in Item 5(c) of this Amendment No. 23 with respect thereto is incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819989/000112329226000806/0001123292-26-000806-index.html" }, { "accession_no": "0001104659-26-070426", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1367859, "issuer_name": "Citizens Community Bancorp Inc.", "issuer_cusip": "174903104", "securities_class_title": "Common Stock", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": "Row 4 of each Reporting Person's cover page to this Schedule 13D is incorporated herein by reference.", "item4_transaction_purpose": "The information set forth in Item 3, Item 5 and Item 6 are hereby incorporated by reference in its entirety.\n\nThe Reporting Persons acquired their shares of Common Stock for investment purposes. The Reporting Persons believe the shares are undervalued relative to the Issuer's intrinsic value, long-term earnings potential, and franchise value.\n\nThe Reporting Persons are experienced community banking operators with a track record of building and growing community banking franchises. The Reporting Persons believe the Issuer possesses an attractive community banking platform with strong deposit-gathering capabilities, disciplined credit management, and favorable market positioning in Wisconsin and Minnesota. The Reporting Persons intend to use their experience to support the Issuer's continued growth and the enhancement of long-term value for all shareholders.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending upon the price and availability of shares of Common Stock, subsequent developments affecting the Issuer, the Issuer's business and prospects, general stock market and economic conditions, tax considerations, and other factors, the Reporting Persons may from time to time acquire additional shares of Common Stock or dispose of shares of Common Stock in open market transactions, privately negotiated transactions, or otherwise.\n\nThe Reporting Persons may from time to time engage in discussions with the Issuer's management, Board of Directors, other shareholders, industry participants, or other relevant parties regarding the Issuer's business, operations, governance, capitalization, ownership structure, strategy, board composition, and other matters, including the possibility of one or more extraordinary transactions such as a merger, business combination, recapitalization, restructuring, or other strategic transaction involving the Issuer.\n\nExcept as set forth herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons reserve the right to develop such plans or proposals in the future and to take any and all actions that they may deem appropriate to maximize the value of their investment in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1367859/000110465926070426/0001104659-26-070426-index.html" }, { "accession_no": "0001099910-26-000205", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1962481, "issuer_name": "BranchOut Food Inc.", "issuer_cusip": "105230106", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nBlock Sale. On June 2, 2026, Kaufman Kapital sold 1,189,676 shares of Common Stock in a privately negotiated block transaction at a price of $3.06 per share, for aggregate gross proceeds of approximately $3,640,409. These shares were sold pursuant to the Issuer's Registration Statement on Form S-3 (Reg. No. 333-288512).", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nBlock Sale. On June 2, 2026, Kaufman Kapital sold 1,189,676 shares of Common Stock in a privately negotiated block transaction. Following such sale, the Reporting Persons' remaining direct common stock holdings consist of 500,000 shares acquired upon exercise of the $1.50 Warrant on May 7, 2026.\n\nCurrent Plans and Purposes. The Reporting Persons currently hold the securities of the Issuer for investment purposes. The Reporting Persons continuously evaluate their investment in the Issuer based on a variety of factors, including the Issuer's financial condition, results of operations, business prospects, general market and economic conditions, and other factors. Depending on such evaluation, the Reporting Persons may from time to time acquire additional securities of the Issuer, including through conversion of outstanding Convertible Note principal and accrued interest, subject to the Beneficial Ownership Limitation described below, dispose of some or all of the securities of the Issuer, including through open-market sales, privately negotiated transactions, block trades, registered offerings or otherwise, or take any other action with respect to their investment in the Issuer as they may deem appropriate. Any such transactions may be effected at any time and from time to time, subject to applicable law, and will depend upon a variety of factors, including those described above.\n\nThe Reporting Persons may sell some or all of the 500,000 shares currently held directly by Kaufman Kapital if and when such shares are registered for resale or otherwise may be sold in accordance with applicable law. Sales of directly held Common Stock may increase the number of shares issuable upon conversion of the Convertible Note that may be acquired without exceeding the Beneficial Ownership Limitation, without increasing the Reporting Persons' aggregate beneficial ownership above the Maximum Percentage.\n\nExcept as otherwise described in this Amendment, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1962481/000109991026000205/0001099910-26-000205-index.html" }, { "accession_no": "0001062993-26-003063", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1710680, "issuer_name": "Highland Opportunities and Income Fund", "issuer_cusip": "43010E404", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $31,800,960 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1710680/000106299326003063/0001062993-26-003063-index.html" }, { "accession_no": "0001062993-26-003057", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1316463, "issuer_name": "Clough Global Equity Fund", "issuer_cusip": "18914C100", "securities_class_title": "Common Shares, par value $0.001", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $8,818,087 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1316463/000106299326003057/0001062993-26-003057-index.html" }, { "accession_no": "0000950142-26-001646", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1879248, "issuer_name": "Ads-Tec Energy Public Ltd Co", "issuer_cusip": "G0085J117", "securities_class_title": "Class A Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-08", "filed_date": "2026-06-04", "item3_funds_source": "Acquisition and Cancellation of Ayrton/Anson SPA Rights and Warrants\n\nLucerne Master Fund acquired from Alto Opportunity Master Fund SPC - Master Segregated Portfolio B (\"Ayrton\"), AEMF SPV LLC and AIMF SPV LLC (together, \"Anson\") all of their respective rights under that certain Securities Purchase Agreement, dated May 1, 2025, by and among the Company, Ayrton and Anson (the \"Ayrton/Anson SPA\"), together with the warrants issued thereunder (the \"Ayrton/Anson Warrants\"), pursuant to (i) a Warrant Purchase Agreement between Lucerne Master Fund and Ayrton dated April 6, 2026, and (ii) Securities Purchase Agreements between Lucerne Master Fund and each of AEMF SPV LLC and AIMF SPV LLC, each dated April 2, 2026 for aggregate cash consideration of $12,500,000.\n\nOn May 8, 2026, the Company and Lucerne Master Fund entered into a cancellation agreement (the \"Cancellation Agreement\"), pursuant to which Lucerne Master Fund has agreed that rights under the Ayrton/Anson SPA and the Ayrton/Anson Warrants previously acquired by Lucerne Master Fund will be cancelled in consideration of an aggregate cash payment by the Company to Lucerne Master Fund of $12,556,857.89. As of May 8, 2026, the number of Ayrton/Anson Warrants cancelled pursuant to the Cancellation Agreement is 742,924 and 1,084,360 Ayrton/Anson Warrants remain outstanding.\n\nLucerne Warrants\n\nOn April 9, 2026, the Company issued a Warrant Adjustment Notice (the \"Warrant Adjustment Notice\") to The Lucerne Capital Master Fund, L.P. (\"Lucerne Master Fund\") and The Lucerne Capital Special Opportunity Fund, Ltd. (\"Lucerne Special Opportunity Fund\", and together with Lucerne Master Fund, \"Lucerne\"), pursuant to Section 3(a) and 3(b) of those certain amended and restated warrants to purchase up to an aggregate of 5,172,045 Common Shares, each dated as of August 26, 2024 (collectively, the \"Lucerne Warrants\"). Pursuant to the Warrant Adjustment Notice, the exercise price of each Lucerne Warrant was adjusted from $6.20 per share to $1.00 per share.\n\nOn April 10, 2026, Lucerne Master Fund delivered an Amended Warrant Exercise Notice to the Company exercising 5,105,379 Lucerne Warrants at an exercise price of $1.00 per share, for an aggregate exercise price of $5,105,379. On April 15, 2026, Lucerne Special Opportunity Fund delivered an Amended Warrant Exercise Notice to the Company exercising 66,666 Lucerne Warrants at an exercise price of $1.00 per share, for an aggregate exercise price of $66,666. The Company received payment of the aggregate subscription price in cleared funds on April 14, 2026 and April 16, 2026, respectively. The Company issued an aggregate of 5,172,045 Common Shares to Lucerne in connection with the exercise of the Lucerne Warrants, consisting of 5,105,379 Common Shares to Lucerne Master Fund and 66,666 Common Shares to Lucerne Special Opportunity Fund.\n\n\nSubscription Agreements\n\nOn May 8, 2026, the Company entered into subscription agreements (collectively, the \"Subscription Agreements\") with certain investors, including the Reporting Persons, pursuant to which the Company agreed to issue non-transferable subscription rights to purchase up to an aggregate of 6,324,000 Common Shares at an exercise price of $1.00 per Common Share , subject to the terms and conditions set forth therein, in exchange for support in connection with the Company's efforts to simplify its capital structure. On May 8, 2026, investors exercised their right to subscribe for 6,324,000 Common Shares, which shares were delivered to the investors on May 8, 2026. The Reporting Persons acquired 2,097,000 Common Shares pursuant to the transaction.\n\nAdditionally, in connection with the Subscription Agreements, the Company will enter into a registration rights agreement with certain investors (the \"Registration Rights Agreement\"), pursuant to which the Company will agree to provide customary resale shelf registration rights with respect to the registrable securities held by such investors, including, subject to certain thresholds and conditions, the right to request underwritten shelf takedowns and block trades. The Company also agreed to bear the registration expenses and granted customary indemnification, contribution, suspension and related procedural rights and obligations under the agreement.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1879248/000095014226001646/0000950142-26-001646-index.html" }, { "accession_no": "0000921895-26-001560", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1985337, "issuer_name": "YY Group Holding Ltd.", "issuer_cusip": "G9888Q103", "securities_class_title": "Class A Ordinary Shares, each with no par value", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 180,000 Shares beneficially owned by Alpha Fund that were purchased directly by Alpha Fund with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $184,287, including brokerage commissions.\n\nThe aggregate purchase price of the 1,639,532 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $(11,392), including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985337/000092189526001560/0000921895-26-001560-index.html" }, { "accession_no": "0000921895-26-001555", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1720592, "issuer_name": "Repay Holdings Corporation", "issuer_cusip": "76029L100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-04", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nAs of the date hereof, the Fund held voting and dispositive power over 7,301,290 shares of Class A Common Stock, par value $0.0001 per share (the \"Shares\"), including options to acquire 110,400 Shares, representing a combined total of 8.1% of the outstanding Shares.\n\nThe aggregate purchase price of the 7,301,290 Shares directly beneficially owned by the Fund is $31,099,007, excluding brokerage commissions. The aggregate purchase price of the 69,500 Shares directly beneficially owned by Mr. Vezendan is $246,500, excluding brokerage commissions. No borrowed funds were used to purchase the Shares, other than under margin accounts with a brokerage firm in the ordinary course of business. Positions in Issuer securities may be held in margin accounts and may be pledged as collateral security for the repayment of debit balances in such accounts. Such margin accounts may from time to time have debit balances. In addition, since other securities may be held in such margin accounts, it may not be possible to determine the amounts, if any, of margin used to purchase the Shares. The funds for the purchase of the Shares directly beneficially owned by the Fund came from the working capital of the Fund and the funds for the purchase of the Shares directly beneficially owned by Mr. Vezendan came from Mr. Vezendan's personal savings.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the addition of the following:\n\nOn June 2, 2026, the Reporting Persons delivered a notice to the Issuer withdrawing the nomination by the Reporting Persons of Mr. Vezendan and Mr. Jacobs for election to the board of directors of the Issuer (the \"Board\"). On June 4, 2026, the Reporting Persons issued a press release regarding an open letter (the \"Press Release\") from certain of the Reporting Persons to the shareholders of the Issuer regarding the withdrawal of such nominations and stating the intention of the Reporting Persons to withhold votes for all members of the Board at the Issuer's 2026 annual meeting of stockholders, based on the Reporting Persons' belief that urgent changes to the governance of the Issuer are needed to prevent the destruction of shareholder value and that withholding votes for the incumbent directors is the best way for the Reporting Persons to deliver this message and express their dissatisfaction with the Board's failure to engage with Forager Capital's recent acquisition proposal, its decision to proceed with the acquisition of KUBRA, and its compensation practices, which the Reporting Persons believe significantly dilute shareholders and reward underperformance by management.\n\nA copy of the Press Release is attached hereto as Exhibit 99.1 and incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1720592/000092189526001555/0000921895-26-001555-index.html" }, { "accession_no": "0000897101-26-000203", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1436126, "issuer_name": "Mistras Group, Inc.", "issuer_cusip": "60649T107", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-04-27", "filed_date": "2026-06-04", "item3_funds_source": "The Trust was established by its grantor, Aspasia F. Vahaviolos. The shares held by the Trust were acquired by a gift from Ms. Vahaviolos. Ms. Foglia is the trustee for the trust.\n\nMs. Foglia directly owns 2,000 shares purchased for cash in the issuer's initial public offering and holds 12,663 shares received as compensation for employment with the issuer. All other shares beneficially owned by Ms. Foglia are indirectly held through immediate family members.", "item4_transaction_purpose": "The Reporting Persons acquired, and presently beneficially own, shares of the issuer's common stock for investment purposes. None of the Reporting Persons currently has any plans or proposals that would result in or relate to any of the transactions or changes listed in Items 4(a) through 4(j) of Schedule 13D. However, as part of their ongoing evaluation of their investment and investment alternatives, the Reporting Persons may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters or make formal proposals to the board of directors of the issuer, other stockholders of the issuer, or other third parties regarding such matters. The Reporting Persons reserve the right to acquire additional securities of the issuer in the open markets, in privately negotiated transactions (which may be with the issuer or with third parties) or otherwise, to dispose of all or a portion of their holdings of securities of the issuer, or to change their intention with respect to any or all of the matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1436126/000089710126000203/0000897101-26-000203-index.html" }, { "accession_no": "0002136560-26-000004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1905660, "issuer_name": "Hub Cyber Security Ltd.", "issuer_cusip": "M6000J184", "securities_class_title": "ordinary shares", "date_of_event": "2026-05-18", "filed_date": "2026-06-03", "item3_funds_source": null, "item4_transaction_purpose": "The Reporting Person has disposed of all Ordinary Shares previously reported herein and no longer holds any beneficial ownership interest in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1905660/000213656026000004/0002136560-26-000004-index.html" }, { "accession_no": "0001915673-26-000031", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 40570, "issuer_name": "GEE GROUP INC.", "issuer_cusip": "36165A102", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-06-01", "filed_date": "2026-06-03", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn June 2, 2026 Star Equity Fund delivered a letter to the Issuer (the \"Nomination Letter\") dated June 1, 2026, nominating Richard Coleman (the \"Nominee\"), a highly qualified director candidate for election to the Board at the Issuer's 2026 annual meeting of shareholders (the \"Annual Meeting\"). As evidenced by his detailed biography below, the Nominee is extremely experienced, capable, and fully committed to act in the best interests of all the Issuer's shareholders.\n\nRichard K. Coleman, Jr., age 69, has served as Chief Operating Officer of Star Equity Holdings, Inc. (formerly known as Hudson Global, Inc.) (\"Star Equity Holdings\") since August 2025. Prior to that, Mr. Coleman served as Star Operating Companies, Inc.'s (\"Star Operating Companies\") Chief Executive Officer, from April 2022 to August 2025, and Chief Operating Officer from January 2022 to March 2022. He also previously served on Star Equity Holdings, Inc.'s board from May 2014 to January 2022, and served as Chairman of Star Equity Holdings between April 2018 and January 2022. Mr. Coleman was formerly the President, Chief Executive Officer, and director of Command Center, Inc., a provider of on-demand flexible employment solutions, from April 2018 to July 2019. He was the Principal Executive Officer of Crossroads Systems from August 2017 to March 2018, and Chief Executive Officer from March 2013 to August 2017. Mr. Coleman began his career as an Air Force Telecommunications Systems Officer managing Department of Defense R&D projects. He has also served as an adjunct professor for Regis University's graduate management program and as a guest lecturer for Denver University's Pioneer Leadership Program, focusing on leadership and ethics. Mr. Coleman holds a Master's degree in Business Administration from Golden Gate University and is a graduate of the United States Air Force Communications Systems Officer School. He holds a Bachelor of Science Degree from the United States Air Force Academy and also has completed leadership, technology, and marketing programs at Kansas University, UCLA, and Harvard Business School.\n\nStar Equity Fund also stated in the Nomination Letter its intention to present a proposal at the Annual Meeting providing for the removal of two incumbent directors, Peter Tanous and Thomas Vetrano, who approved the Company's egregious 2023 executive employment agreements (\"Proposal\").", "edgar_url": "https://www.sec.gov/Archives/edgar/data/40570/000191567326000031/0001915673-26-000031-index.html" }, { "accession_no": "0001683168-26-004503", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 894556, "issuer_name": "CitroTech Inc.", "issuer_cusip": "369759204", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-28", "filed_date": "2026-06-03", "item3_funds_source": "The Reporting Person acquired his shares of: (1) Series C Convertible Preferred Stock for services performed for the Company and through purchases using his own personal funds; (2) Common Stock from conversions of Series C Convertible Preferred Stock and through purchases using his own personal funds; and (3) Series A Preferred Stock from the purchase in a private transaction.", "item4_transaction_purpose": "On May 28, 2026 (the \"Closing Date\"), the Issuer and TCSI entered into a Stock Exchange and Stockholder Agreement (the \"TCSI Exchange Agreement\"), pursuant to which the Issuer reacquired 1,364,141 shares of Series A Preferred Stock from TCSI (the \"Reacquisition\"). Under the TCSI Exchange Agreement, the Issuer agreed to issue 467,012 shares of Series C Convertible Preferred Stock to TCSI on the date that is 18 months after the Closing Date, or earlier in connection with a change of control of the Issuer (which, as defined in the TCSI Exchange Agreement, includes the appointment of the Reporting Person to the Issuer's board of directors). The above description of the TCSI Exchange Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the agreement, which is filed as an exhibit hereto and incorporated herein by reference.\n\nThe Reporting Person holds the securities of the Issuer for general investment purposes. The Reporting Person intends to evaluate his holdings in the Issuer on a continuous basis. Subject to all relevant securities law provisions, the Reporting Person may acquire or dispose of securities of the Issuer from time to time in the open market or in privately negotiated transactions with third parties. Subject to the foregoing, the Reporting Person does not have any plans that would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any material changes in the present capitalization or dividend policy of the Issuer; (f) any other material changes in the Issuer's business or corporate structure; (g) changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) any action similar to any of those enumerated above. Except as set forth above, the Reporting Person has no present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/894556/000168316826004503/0001683168-26-004503-index.html" }, { "accession_no": "0001674752-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1091596, "issuer_name": "Nuo Therapeutics, Inc.", "issuer_cusip": "67059V209", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-29", "filed_date": "2026-06-03", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of this Schedule 13D is hereby amended as follows:\n\nOn January 23, 2026, the closing (the \"Initial Closing\") occurred of a Loan and Security Agreement dated January 21, 2026 (the \"Initial Loan Agreement\") among the Company and certain lenders (including the Reporting Person). Upon the Initial Closing, the Reporting Person loaned $200,000 to the Company and, pursuant to the Initial Loan Agreement, committed to loaning $410,000 in a second funding, if requested by the Company, to be held on September 30, 2026 (a \"Second Closing\").\n\nOn May 29, 2026, the closing (the \"Interim Closing\") occurred of an Amended and Restated Loan and Security Agreement dated May 29, 2026 (the \"Interim Loan Agreement\") among the Company and certain lenders (including the Reporting Person). The Interim Loan Agreement amended and restated the Initial Loan Agreement. Upon the Interim Closing, the Reporting Person loaned $100,000 to the Company and, as amended pursuant to the Interim Loan Agreement, committed to loaning $100,000 in the Second Closing.\n\nAt the Initial Closing, the Company issued a Secured Promissory Note (the \"Initial Note\") to each of the lenders (including the Reporting Person), at the Interim Closing, the Company issued a Secured Promissory Note (the \"Interim Note\") to each of the lenders (including the Reporting Person), and upon a Second Closing, if any, the Company will issue an additional Secured Promissory Note (a \"Second Note\") to each of the lenders (including the Reporting Person). The terms of the Initial Notes initially provided that they would bear interest at an annual rate of 10%; however, as amended pursuant to the Interim Loan Agreement, the interest rate of the Initial Notes increased to an annual rate of 12% as a result of the Interim Closing. The Interim Notes bear interest at an annual rate of 12%. Upon a Second Closing, the Second Notes will bear interest at an annual rate of 12%.\n\nThe maturity date of the Initial Notes, Interim Notes, and any Second Notes is December 31, 2028 (the \"Maturity Date\").\n\nInterest on the Initial Notes, Interim Notes, and, if any, the Second Notes (together, the \"Notes\") will be payable in Interest Warrants as described below, and not in cash. Interest on the Notes will be payable and issued at the Maturity Date (or earlier upon certain prepayments as described below). Interest on the Notes will accrue on a quarterly calendar basis with partial quarters being treated as full quarters for accrual purposes.\n\nThe Notes are interest only through December 31, 2026. The principal on the Notes is repayable in cash in equal quarterly installments on the last business day of each calendar quarter commencing March 31, 2027 and continuing to the Maturity Date.\n\nThe Company may, at its option on the last business day of a calendar quarter commencing December 31, 2026, voluntarily prepay the Notes in their entirety by paying the then outstanding principal balance and all accrued interest on the Notes, subject to a prepayment fee equal to 1.5% of the then outstanding principal balance if the Notes are prepaid on or after December 31, 2026 but before December 31, 2027, with no prepayment fee applicable to such prepayments on or after December 31, 2027. The prepayment fee, if any, is payable in Prepayment Restated Warrants as described below, and not in cash, that vest in the event of a voluntary prepayment.\n\nIn addition, prepayment of the Notes is mandated in the event of (A) an equity financing by the Company of at least $5 million, (B) certain changes in control of the Company as defined in the Interim Loan Agreement, or (C) a default by the Company. In the event of such an equity financing or change in control, the Company has agreed to repay the Notes in their entirety by paying the then outstanding principal balance and all accrued interest on the Notes, subject to a prepayment fee equal to 2.75% of the then outstanding principal balance if such event occurs before December 31, 2026 and 1.5% of the then outstanding principal balance if such event occurs on or after December 31, 2026 but before December 31, 2027, with no prepayment fee applicable if such event occurs on or after December 31, 2027. In the event of a default, the Company has agreed to repay the Notes in their entirety by paying the then outstanding principal balance and all accrued interest on the Notes, subject to a prepayment fee equal to 2.75% of the then outstanding principal balance. The prepayment fee, if any, is payable in Prepayment Restated Warrants as described below, and not in cash, that will vest in the event of a mandatory prepayment.\n\nThe Notes are secured by a lien upon and security interest in all of the Company's assets, including intellectual property.\n\nThe Interim Loan Agreement contains customary representations, warranties, and covenants.\n\nThe foregoing description of each of the Initial Loan Agreement and the Interim Loan Agreement does not purport to be complete and is qualified in its entirety by reference to the text of the Loan and Security Agreement, which is filed as Exhibit 1 hereto and is incorporated herein by reference, and the Amended and Restated Loan and Security Agreement, which is filed as Exhibit 2 hereto and is incorporated herein by reference.\n\nAt the Initial Closing and the Interim Closing, and pursuant to the Initial Loan Agreement and Interim Loan Agreement respectively, the Company issued to each lender (including the Reporting Person) warrants, some of which are subject to vesting provisions, to purchase shares of Common Stock and agreed to issue additional warrants to purchase shares of Common Stock as payment for accrued interest under the Notes.\n\nThe securities issued by the Company at the Initial Closing consisted of: (i) warrants representing a fee of 0.75% of each lender's commitment pursuant to the Initial Loan Agreement (the \"Commitment Warrants\"); (ii) warrants representing a fee of 1.00% of each lender's initial loan amount (the \"Origination Warrants\"); (iii) warrants representing 20% coverage of each lender's initial loan amount (the \"Capital Warrants\"); (iv) warrants representing a fee of 1.25% of each lender's loan commitment amount, if any, at a Second Closing, vesting on September 30, 2026 only upon the occurrence of a Second Closing (the \"Origination Second Warrants\"); (v) warrants representing 25% coverage of each lender's loan commitment amount, if any, at a Second Closing, vesting on September 30, 2026 only upon the occurrence of a Second Closing (the \"Capital Second Warrants\"); and (vi) warrants representing a fee, if any, vesting only in the event of a voluntary or mandatory prepayment as described above and at a percentage as described above of each lender's then outstanding principal balance (the \"Prepayment Warrants\"). The Commitment Warrants, Origination Warrants, and Capital Warrants were issued in the form of Initial Warrants. The Origination Second Warrants and Capital Second Warrants were issued in the form of Second Warrants.\n\nThe securities issued by the Company at the Interim Closing consisted of: (i) warrants representing a fee of 0.75% of each lender's commitment pursuant to the Interim Loan Agreement (the \"Commitment Supplemental Warrants\"); (ii) warrants representing a fee of 1.25% of each lender's initial loan amount (the \"Origination Interim Warrants\"); (iii) warrants representing 25% coverage of each lender's interim loan amount (the \"Capital Interim Warrants\"); (iv) warrants representing a fee of 1.25% of each lender's loan commitment amount, if any, at a Second Closing, vesting on September 30, 2026 only upon the occurrence of a Second Closing (the \"Origination Restated Second Warrants\"); (v) warrants representing 25% coverage of each lender's loan commitment amount, if any, at a Second Closing, vesting on September 30, 2026 only upon the occurrence of a Second Closing (the \"Capital Restated Second Warrants\"); and (vi) warrants representing a fee, if any, vesting only in the event of a voluntary or mandatory prepayment as described above and at a percentage as described above of each lender's then outstanding principal balance (the \"Prepayment Restated Warrants\"). The Commitment Supplemental Warrants, Origination Interim Warrants, and Capital Interim Warrants were issued in the form of Interim Warrants. Further, the number of Interim Warrants issued reflected an offset to account for an aggregate $50,000 decrease in the commitment amount of two of the Lenders since the Initial Closing. In addition, the Origination Restated Second Warrants and Capital Restated Second Warrants were issued in the form of Second Restated Warrants. Further, pursuant to the Interim Loan Agreement, the Second Warrants and Prepayment Warrants previously issued in the Initial Closing were cancelled in the Interim Closing, and amended and restated as Second Restated Warrants and Prepayment Restated Warrants.\n\nIn addition, warrants are issuable by the Company at the Maturity Date (or earlier upon voluntary or mandatory prepayment as described above) as payment for accrued interest on the Notes (the \"Interest Warrants\").\n\nExcept as described above, each of the warrants issued and issuable under the Initial Loan Agreement and the Interim Loan Agreement contains similar material terms. The exercise price of each of the warrants is $1.50 per share of Common Stock. The determination of the number of shares issuable upon exercise of each of the warrants is calculated based upon the same $1.50 exercise price. Each of the warrants contains provisions for anti-dilution and certain other adjustments, such as due to stock dividends, stock splits, and reverse stock splits. The expiration date of each warrant is January 23, 2030 (the \"Expiration Date\"), which is five years from closing date pursuant to the Initial Loan Agreement. Subject to the vesting provisions described above, each of the warrants is exercisable at any time, or from time to time up to and including the Expiration Date, by (a) making a cash payment equal to the exercise price multiplied by the quantity of shares, or (b) on a cashless basis by receiving a net number of shares calculated pursuant to the formula set forth in the warrant, provided that the shares issuable upon exercise are not registered for sale under the Securities Act of 1933, as amended.\n\nAccordingly, upon the Initial Closing on January 23, 2026, the Reporting Person was issued (i) an Initial Warrant immediately exercisable for 30,050 shares, (ii) a Second Warrant exercisable, subject to vesting as described above, for 36,750 shares, and (iii) a Prepayment Warrant exercisable, subject to vesting as described above, for up to 7,516 shares.\n\nAlso accordingly, upon the Interim Closing on May 29, 2026, the Reporting Person was issued (i) an Interim Warrant immediately exercisable for 17,450 shares, (ii) a Second Restated Warrant exercisable, subject to vesting as described above, for 17,500 shares, and (iii) a Prepayment Restated Warrant exercisable, subject to vesting as described above, for up to 7,333 shares. The number of Interim Warrants reflects a net reduction of 50 shares to account for a $10,000 decrease in the commitment amount of Mr. Pittman since the Initial Closing. Further, upon the Interim Closing, the Company cancelled the Second Warrant, which had not vested, exercisable for 36,750 shares, and the Prepayment Warrant, which had not vested, exercisable for up to 7,516 shares, both as previously issued to Mr. Pittman in the Initial Closing.\n\nIn addition, an Interest Warrant exercisable for up to 59,333 shares is issuable to the Reporting Person at the Maturity Date (or earlier upon voluntary or mandatory prepayment as described above).\n\nThe foregoing description of the Commitment Warrants, Origination Warrants, and Capital Warrants (together, the \"Initial Warrants\") does not purport to be complete and is qualified in its entirety by reference to the text of the form of Initial Warrants, which is filed as Exhibit 3 hereto and is incorporated herein by reference. The foregoing description of the Commitment Supplemental Warrants, Origination Interim Warrants, and Capital Interim Warrants (together, the \"Interim Warrants\") does not purport to be complete and is qualified in its entirety by reference to the text of the form of Interim Warrants, which is filed as Exhibit 4 hereto and is incorporated herein by reference. The foregoing description of the Origination Second Warrants and Capital Second Warrants (together, the \"Second Warrants\") does not purport to be complete and is qualified in its entirety by reference to the text of the form of Second Warrants, which is filed as Exhibit 5 hereto and is incorporated herein by reference. The foregoing description of the Origination Restated Second Warrants and Capital Restated Second Warrants (together, the \"Second Restated Warrants\") does not purport to be complete and is qualified in its entirety by reference to the text of the form of Second Restated Warrants, which is filed as Exhibit 6 hereto and is incorporated herein by reference. The foregoing description of the Prepayment Warrants and Prepayment Restated Warrants does not purport to be complete and is qualified in its entirety by reference to the text of the form of Prepayment Warrants and form of Prepayment Restated Warrants, which are filed as Exhibits 7 and 8 respectively, hereto and are incorporated herein by reference. The foregoing description of Interest Warrants does not purport to be complete and is qualified in its entirety by reference to the text of the form of Interest Warrants, which is filed as Exhibit 9, hereto and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1091596/000167475226000002/0001674752-26-000002-index.html" }, { "accession_no": "0001654954-26-005671", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1720592, "issuer_name": "Repay Holdings Corp", "issuer_cusip": "76029L100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-03", "item3_funds_source": null, "item4_transaction_purpose": "On June 3, 2026, the Reporting Person issued a press release announcing its intention to withhold its vote from all of the directors standing for election at the Issuer's upcoming Annual Meeting to be held on June 10, 2026. In the press release the Reporting Person notes the reasons for withholding its votes, including that \"Paul Garcia, Maryann Goebel, Pete Kight, Emnet Rios and Richard Thornburgh refused substantive engagement and repeatedly chose governance paths that left stockholders with no meaningful voice and the Board with more control.\" The Reporting Person continues to believe that a transaction involving the Issuer may be in the best interests of stockholders and remains willing to engage in discussions regarding a potential transaction. The foregoing description of the press release does not purport to be complete and is qualified in its entirety by reference to the full text of the press release, a copy of which is filed as Exhibit 99.5 hereto and incorporated herein by reference. \r \r There can be no assurance that any discussions that may occur between the Reporting Persons and the Issuer with respect to the proposal will result in the entry into a definitive agreement concerning a transaction or, if such a definitive agreement is reached, will result in the consummation of a transaction provided for in such definitive agreement. Discussions concerning a transaction may be terminated at any time and without prior notice. Entry into a definitive agreement concerning a transaction and the consummation of any such transaction will be subject to a number of contingencies that are beyond the control of the Reporting Persons, including the approval of the Board of Directors of the Issuer, and the satisfaction of any conditions to the consummation of a transaction set forth in any such definitive agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1720592/000165495426005671/0001654954-26-005671-index.html" }, { "accession_no": "0001493152-26-027042", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1770450, "issuer_name": "Xerox Holdings Corp", "issuer_cusip": "98421M106", "securities_class_title": "Common Stock, par value $1 per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-03", "item3_funds_source": "All of the securities reported herein were purchased by the applicable Reporting Persons for an aggregate purchase price of $18,785,633, comprised of (i) $18,593,633 paid for shares of Common Stock and (ii) $192,000 paid in premiums for call options purchased by Mr. Bostl. The Common Stock held by the Fund was purchased in the open market with working capital of the Fund. The Common Stock and call options held by Mr. Bostl were purchased in the open market with his personal funds.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1770450/000149315226027042/0001493152-26-027042-index.html" }, { "accession_no": "0001213900-26-064716", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1840563, "issuer_name": "PMGC Holdings Inc.", "issuer_cusip": "73017P508", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-01", "filed_date": "2026-06-03", "item3_funds_source": "Mr. Lichti used personal funds for consideration of Common Stock previously reported in the Schedule 13D, which Common Stock were previously held by other entities of Mr. Lichti, and were later assigned to Northstrive Companies Inc. The options granted to Northstrive Companies Inc. on June 1, 2026 were partial consideration for consultant services provided to the Issuer through Northstrive Companies Inc. Such options are reported in Mr. Lichti's Form 4 filed with the SEC on June 2, 2026.", "item4_transaction_purpose": "Since the filing of the Reporting Persons' Schedule 13D with the SEC on March 28, 2025, the Common Stock reported therein were assigned from Mr. Lichti's entities to Northstrive Companies Inc. The Issuer underwent multiple reverse stock splits since the filing of the Schedule 13D, and the beneficially owned amounts of Common Stock reported in this Amendment No. 1 reflects shares on a post-split basis. On June 1, 2026 the Issuer granted to Northstrive Companies options reported herein, pursuant to the Issuer's 2025 Equity Incentive Plan, as amended, and as parital consideration for consultant services provided to the Issuer through Northstrive Companies Inc.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1840563/000121390026064716/0001213900-26-064716-index.html" }, { "accession_no": "0001213900-26-064715", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1840563, "issuer_name": "PMGC Holdings Inc.", "issuer_cusip": "73017P508", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-01", "filed_date": "2026-06-03", "item3_funds_source": "GB Capital Ltd. used working capital for consideration of Common Stock held prior to the issuance of option grants to GB Capital Ltd. on June 1, 2026. The options granted to GB Capital Ltd. on June 1, 2026 were partial consideration for consultant services provided to the Issuer through GB Capital Ltd. Such options are reported in Mr. Bensler's Form 4 filed with the U.S. Securities and Exchange Commission on June 3, 2026.", "item4_transaction_purpose": "On June 1, 2026 the Issuer granted to GB Capital Ltd. options reported herein, pursuant to the Issuer's 2025 Equity Incentive Plan, as amended, and as partial consideration for consultant services provided to the Issuer through GB Capital Ltd.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1840563/000121390026064715/0001213900-26-064715-index.html" }, { "accession_no": "0001213900-26-064484", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1985062, "issuer_name": "PSYENCE BIOMEDICAL LTD.", "issuer_cusip": "74449F308", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-02-25", "filed_date": "2026-06-03", "item3_funds_source": "On February 25, 2026, the Reporting Person acquired 1,146,159 Common Shares of the Issuer (the \"Subject Shares\") pursuant to the consummation of a share-for-share exchange (the \"Share Exchange\") effected under that certain Share Put Option and Amendment Agreement, dated July 3, 2025, between the Issuer and the Reporting Person (the \"Put Option Agreement\"). The Subject Shares were issued by the Issuer to the Reporting Person in consideration for the issuance by the Reporting Person to the Issuer of 2,900 ordinary shares of the Reporting Person, representing an aggregate value of US$5,000,000. The number of Subject Shares was calculated based on the 30-day volume-weighted average price of the Issuer's Common Shares for the period ending immediately prior to the closing of the Share Exchange. No cash consideration was paid by either party in connection with the Share Exchange.", "item4_transaction_purpose": "The Reporting Person acquired the Subject Shares pursuant to the exercise of an irrevocable put option granted to the Reporting Person under the Put Option Agreement. As previously disclosed by the Issuer in its Report on Form 6-K furnished to the Securities and Exchange Commission on February 13, 2026, the Reporting Person exercised the put option to require the Issuer to subscribe for US$5,000,000 of ordinary shares of the Reporting Person, with such subscription consideration to be satisfied through the issuance of Common Shares of the Issuer pursuant to the Share Exchange.\n\nThe Reporting Person acquired the Subject Shares for investment purposes. The Reporting Person intends to review its investment in the Issuer on a continuing basis and may, from time to time and at any time, depending on various factors, including, without limitation, the Issuer's financial position and strategic direction, actions taken by the Issuer's board of directors (the \"Board\"), price levels of the Common Shares, conditions in the securities market, and general economic and industry conditions, take such actions with respect to its investment in the Issuer as it deems appropriate, including, without limitation:\n\n(i) acquiring additional Common Shares and/or other equity, debt, notes, instruments or other securities of the Issuer (collectively, \"Securities\") in the open market, in privately negotiated transactions, or otherwise; (ii) disposing of any or all of the Securities in the open market, in privately negotiated transactions, or otherwise; (iii) engaging in any hedging or similar transactions with respect to the Securities; or (iv) proposing or considering one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as set forth in this Schedule 13D, or as may be discussed from time to time between the Reporting Person and the Issuer or other persons, the Reporting Person does not have, as of the date of this filing, any plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, although, subject to the matters described herein, the Reporting Person may, at any time and from time to time, review or reconsider its position and formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985062/000121390026064484/0001213900-26-064484-index.html" }, { "accession_no": "0001213900-26-064473", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2110423, "issuer_name": "DATASEA INTELLIGENT TECHNOLOGY LTD.", "issuer_cusip": "G2659M104", "securities_class_title": "Class A Ordinary Share, no par value", "date_of_event": "2026-04-15", "filed_date": "2026-06-03", "item3_funds_source": "The information set forth in Item 4 hereof is incorporated by reference in its entirety into this Item 3.", "item4_transaction_purpose": "Effective April 15, 2026, pursuant to the Agreement and Plan of Merger (the \"Merger Agreement\") by and between Datasea Inc. (\"Datasea\") and the Company, Datasea merged with and into the Company, with the Company surviving the merger (the \"Merger\"). Upon effectiveness of the Merger, the 2,000,000 shares of Datasea common stock, par value US$0.001 per share (the \"Common Stock\"), held by Zhixin Liu immediately prior to the Merger were converted into 2,000,000 Class B Ordinary Shares of the Company, and each other share of Common Stock held by Zhixin Liu immediately prior to the Merger was converted into one Class A Ordinary Share of the Company. The Class B Ordinary Shares are convertible to Class A Ordinary Shares at any time on a one for one basis. Each Class A Ordinary Share is entitled to one (1) vote and each Class B Ordinary Share is entitled to fifty (50) votes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2110423/000121390026064473/0001213900-26-064473-index.html" }, { "accession_no": "0001213900-26-064472", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2110423, "issuer_name": "DATASEA INTELLIGENT TECHNOLOGY LTD.", "issuer_cusip": "G2659M104", "securities_class_title": "Class A Ordinary Share, no par value", "date_of_event": "2026-04-15", "filed_date": "2026-06-03", "item3_funds_source": "The information set forth in Item 4 hereof is incorporated by reference in its entirety into this Item 3.", "item4_transaction_purpose": "Effective April 15, 2026, pursuant to the Agreement and Plan of Merger (the \"Merger Agreement\") by and between Datasea Inc. (\"Datasea\") and the Company, Datasea merged with and into the Company, with the Company surviving the merger (the \"Merger\"). Upon effectiveness of the Merger, the 2,000,000 shares of Datasea common stock, par value US$0.001 per share (the \"Common Stock\"), held by Fu Liu immediately prior to the Merger were converted into 2,000,000 Class B Ordinary Shares of the Company, and each other share of Common Stock held by Fu Liu immediately prior to the Merger was converted into one Class A Ordinary Share of the Company. The Class B Ordinary Shares are convertible to Class A Ordinary Shares at any time on a one for one basis. Each Class A Ordinary Share is entitled to one (1) vote and each Class B Ordinary Share is entitled to fifty (50) votes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2110423/000121390026064472/0001213900-26-064472-index.html" }, { "accession_no": "0001193125-26-255760", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 355019, "issuer_name": "FONAR CORP", "issuer_cusip": "344437108", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-03", "item3_funds_source": "Item 3 of the Group Schedule 13D is hereby amended and supplemented to incorporate the information set forth in Item 4 of this Amendment No. 3 by reference.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to include the following:\n\nMerger Agreement\n\nAs previously reported, on December 23, 2025, the Issuer, FONAR, LLC, a Delaware limited liability company (\"Acquisition LLC\"), and FONAR Acquisition Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Acquisition LLC (\"Merger Co\"), entered into an Agreement and Plan of Merger, dated as of December 23, 2025 (the \"Merger Agreement\"). T. Damadian is the sole manager of Acquisition LLC. On June 3, 2026 (the \"Effective Date\"), pursuant to the Merger Agreement, Merger Co merged with and into the Issuer (the \"Merger\"), with the Issuer surviving the Merger as a wholly owned subsidiary of Acquisition LLC.\n\nMerger Consideration\n\nAt the effective time of the Merger, each outstanding share of Issuer Capital Stock and Issuer Class A Preferred Stock (collectively, \"Shares\") (other than (A) Shares owned by Acquisition LLC, the Issuer or any of their respective subsidiaries, including the Contributed Shares (as defined below) and securities held as treasury shares (collectively, \"Excluded Shares\") and (B) Shares held by the Issuer's stockholders who have properly and validly exercised their statutory rights of appraisal in respect of such Shares in accordance with Section 262 of the Delaware General Corporation Law) was converted into the right to receive cash in an amount equal to (i) $19.00 per Share of each of the Issuer's Common Stock and Issuer Class B Common Stock, (ii) $6.34 per Share of Issuer Class C Common Stock and (iii) $10.50 per Share of Issuer Class A Preferred Stock, in each instance, without interest and subject to deduction for any required withholding tax, as set forth in the Merger Agreement (such cash amount set forth in clause (i), (ii) or (iii), as applicable, the \"Per Share Merger Consideration\").\n\nContribution of Shares\n\nAs previously reported, the Issuer entered into equity subscription agreements (the \"Equity Commitment Agreements\") with the Reporting Persons that hold Shares of Issuer Capital Stock and/or Issuer Class A Preferred Stock (collectively, the \"Rollover Stockholders\"). Pursuant to the Equity Commitment Agreements, on the Effective Date, an aggregate of (A) 214,447 Shares of the Issuer's Common Stock, 254,964 Shares of Issuer Class C Common Stock and 11,708 Shares of Issuer Class A Preferred Stock (collectively, the \"Contributed Shares\"), were contributed to Acquisition LLC by the Rollover Stockholders. At the effective time of the Merger, all of the Excluded Shares, including the Contributed Shares, were cancelled and ceased to exist pursuant to the Merger Agreement, for no consideration.\n\nAs a result, the Reporting Persons ceased to own any Shares of the Issuer.\n\nDelisting and Deregistration of Shares of Common Stock\n\nFollowing the consummation of the transactions contemplated by the Merger Agreement, the Issuer's Common Stock will be delisted from the Nasdaq Stock Market LLC and deregistered under the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/355019/000119312526255760/0001193125-26-255760-index.html" }, { "accession_no": "0001193125-26-255001", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 14693, "issuer_name": "Brown-Forman Corporation", "issuer_cusip": "115637100", "securities_class_title": "Class A Common Stock (voting), $0.15 par value per share", "date_of_event": "2026-06-03", "filed_date": "2026-06-03", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/14693/000119312526255001/0001193125-26-255001-index.html" }, { "accession_no": "0001140361-26-023926", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1119639, "issuer_name": "PETROBRAS - PETROLEO BRASILEIRO SA", "issuer_cusip": "71654V101", "securities_class_title": "Preferred Shares, without par value", "date_of_event": "2026-06-01", "filed_date": "2026-06-03", "item3_funds_source": "The information in Item 4 is incorporated by reference herein to the extent applicable.", "item4_transaction_purpose": "This Amendment is being filed to report a decrease in the Preferred Shares beneficially owned by the Reporting Persons, as a result of a combination of open market sales made by the Reporting Persons. As a result of the foregoing, the Preferred Shares owned by the Reporting Persons decreased from 957,806,254 to 916,700,003 (corresponding to approximately 16.83% of the Issuer's outstanding Preferred Shares).\n\nThe aggregate percentages of the class beneficially owned by the Reporting Persons is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' 6-K.\n\nThe Reporting Persons may, from time to time, take such actions regarding their investment in the Preferred Shares as they deem appropriate. These actions may include: (i) disposing of any or all of their Preferred Shares and/or other equity, debt, notes, other securities or derivatives or other instruments of the Issuer that are based upon or relate to the value of the Preferred Shares (collectively, \"Securities\") in the open market or otherwise, including in connection with business development transactions or financing commitments in relation thereto; (ii) engaging in any hedging or similar transactions with respect to the Securities; (iii) exercising director appointment rights or cumulative voting rights to the extent permitted under Petrobras's bylaws and otherwise by law; or (iv) proposing or considering one or more of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D. In determining whether to carry out any of the above-mentioned actions, the Reporting Persons may consider factors such as Petrobras's financial position and strategic direction, actions taken by Petrobras's board of directors, price levels of the Common Shares and Preferred Shares, conditions in the securities market and general economic and industry conditions.\n\nEach of the Reporting Persons disclaims beneficial ownership in all Preferred Shares reported herein, except to the extent of the Reporting Person's respective pecuniary interest therein. This filing shall not be deemed an admission that any of the Reporting Persons constitute a \"group\" for purposes of Section 13(d) or Section 13(g) of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1119639/000114036126023926/0001140361-26-023926-index.html" }, { "accession_no": "0001104659-26-070259", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1580864, "issuer_name": "Vroom, Inc.", "issuer_cusip": "92918V307", "securities_class_title": "Common Stock, par value $0.001", "date_of_event": "2026-05-14", "filed_date": "2026-06-03", "item3_funds_source": "This Item 3 of the Schedule 13D is amended and supplemented as follows:\n\nThe information set forth in Item 4 of this Amendment No. 3 is incorporated by reference into this Item 3.", "item4_transaction_purpose": "This Item 4 of the Schedule 13D is amended and supplemented as follows:\n\nOn May 14, 2026, Mudrick Capital Management, L.P., on behalf of certain of the Reporting Persons (\"MCM\") entered into an Exchange and Subscription Agreement (the \"Exchange Agreement\") with the Issuer and a collateral agent, pursuant to which MCM agreed to acquire from the Issuer up to $22 million aggregate principal amount of Senior Secured Delayed Draw Convertible Notes due 2032 (the \"Notes\"), of which $8.0 million were issued on the same date in respect of $8.0 million in aggregate principal amount of notes outstanding under a delayed draw term loan facility. On May 29, 2026, MCM acquired an additional $7.5 million in Notes pursuant to the subsequent funding notice delivered by the Issuer, leaving $6.5 million of remaining delayed draw commitments that the Issuer may request from MCM, in each case, pursuant to the Exchange Agreement.\n\nThe Notes shall accrue interest at a rate per annum of 5.0%, computed on the basis of a 360 day year and the actual number of days elapsed, from and including the issue date to and excluding the Maturity Date, or earlier redemption and payment in full, which interest shall be paid quarterly on the last day of each of March, June, September and December. Additionally, subject to specified limitations under the terms of the Notes, MCM may convert the Notes on and after April 1, 2032, and the Notes may also become convertible in connection with certain specified corporate events. The Company may settle conversions in shares of common stock, cash or a combination thereof. The conversion price for each Note will equal 120% of the applicable reference price, determined at signing for Notes issued at the closing and at the applicable funding notice date for any Additional Notes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1580864/000110465926070259/0001104659-26-070259-index.html" }, { "accession_no": "0001104659-26-070195", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1612940, "issuer_name": "ProQR Therapeutics N.V.", "issuer_cusip": "N71542109", "securities_class_title": "Ordinary Shares, nominal value Euro 0.04 per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-03", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended by adding the following:\n\nOn June 1, 2026, VHI sent written talking points (the \"AGM Letter\") to the Issuer's Chief Executive Officer stating that VHI will vote against agenda items 7, 8 and 9 set forth in the Issuer's Notice and Agenda for its 2026 Annual General Meeting of Shareholders (the \"2026 AGM\"), filed with the SEC on Form 6-K on May 4, 2026. Agenda items 7, 8 and 9 relate to the proposed increase of the Issuer's authorized share capital, the proposed standing authorization to the Issuer's board of directors (the \"Board\") to issue ordinary shares up to the full authorized share capital and the proposed authorization of the Board to acquire ordinary shares in the capital of the Issuer. In the AGM Letter, VHI set forth its reasons for voting against agenda items 7, 8 and 9, including:\n\n-the combined effect of agenda items 7, 8 and 9 would grant the Board overly broad discretion over the Issuer's capital structure;\n\n-the proposals could result in substantial dilution of existing shareholders without further shareholder approval or pre-emptive rights;\n\n-the Board has not identified a specific transaction, financing need or other demonstrated justification for the requested authorizations;\n\n-the proposed authorizations lack meaningful limitations, safeguards or conditions; and\n\n-the breadth of the requested authority is not appropriate in light of the Issuer's performance and existing governance concerns.\n\nA copy of the AGM Letter is filed as an exhibit herewith and is incorporated herein by reference.\n\nIn addition, VHI understands that Institutional Shareholder Services Inc. (\"ISS\") has issued negative voting recommendations with respect to certain of the share-capital-related proposals to be considered at the 2026 AGM. VHI has engaged a shareholder engagement advisor to communicate with shareholders of the Issuer regarding the ISS recommendations and VHI's rationale for opposing agenda items 7, 8 and 9 at the 2026 AGM. The Reporting Persons have also retained counsel and are evaluating the initiation of legal proceedings against the Issuer, members of the Board and/or certain officers of the Issuer in order to protect the Reporting Persons' rights and interests and the interests of stockholders of the Issuer. Any such proceedings may seek declaratory, injunctive, equitable, monetary and/or other relief, and the Reporting Persons reserve all rights to pursue any and all available legal remedies.\n\nThe Reporting Persons acquired the Ordinary Shares reported herein for investment purposes in the ordinary course of business. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Ordinary Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the board of directors of the Issuer, engaging in discussions with stockholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, evaluating the initiation of legal proceedings against the Issuer, members of the Board and/or certain officers of the Issuer, purchasing additional Ordinary Shares, selling some or all of their Ordinary Shares, engaging in short selling of or any hedging or similar transaction with respect to the Ordinary Shares, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1612940/000110465926070195/0001104659-26-070195-index.html" }, { "accession_no": "0001104659-26-070136", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 45876, "issuer_name": "Enviri Corporation", "issuer_cusip": "415864107", "securities_class_title": "Common stock, par value $1.25 per share", "date_of_event": "2026-06-01", "filed_date": "2026-06-03", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Initial Schedule 13D is hereby amended and supplemented as follows:\n\nOn June 1, 2026, Enviri LLC (CIK: 0000045876), as successor by merger to the Issuer, filed a Form 8-K with the SEC disclosing, among other things, the consummation of the separation and sale to the Buyer of the Issuer's \"Clean Energy\" business through a series of transactions (collectively, the \"Transactions\"). Upon consummation of the Transactions, for every three Shares held and exchanged by the Reporting Persons, the Reporting Persons received one share of common stock, par value $0.00001 per share, of Enviri II Corporation, a Delaware corporation (CIK: 0002104052).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/45876/000110465926070136/0001104659-26-070136-index.html" }, { "accession_no": "0001062993-26-003035", "submission_type": "SCHEDULE 13D/A", "amendment_no": 34, "issuer_cik": 1864843, "issuer_name": "BlackRock ESG Capital Allocation Term Trust", "issuer_cusip": "09262F100", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-06-01", "filed_date": "2026-06-03", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $282,962,374 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1864843/000106299326003035/0001062993-26-003035-index.html" }, { "accession_no": "0000921895-26-001546", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1505952, "issuer_name": "DOMO, INC.", "issuer_cusip": "257554105", "securities_class_title": "Class B Common Stock, par value $0.001 per share", "date_of_event": "2026-04-13", "filed_date": "2026-06-03", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe Shares beneficially owned by RPD Fund were purchased with working capital of RPD Fund (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 4,134,970 Shares beneficially owned by RPD Fund is approximately $33,241,516, excluding brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1505952/000092189526001546/0000921895-26-001546-index.html" }, { "accession_no": "0000902664-26-002681", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 845982, "issuer_name": "SMITH & NEPHEW PLC", "issuer_cusip": "83175M205", "securities_class_title": "Ordinary shares, par value $0.20 per share", "date_of_event": "2026-06-01", "filed_date": "2026-06-03", "item3_funds_source": "As of the date hereof, the Reporting Person has purchased for the account of the Cevian Funds an aggregate of 101,046,788 Ordinary Shares for an aggregate consideration (including brokerage commission) of approximately USD $1,415,913,326. The Cevian Funds funded these purchases out of their general working capital. The Ordinary Shares were purchased using British Pounds. For the purposes of this Schedule 13D, a conversion rate of USD $1.34725 for each GBP 1.00 was used.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/845982/000090266426002681/0000902664-26-002681-index.html" }, { "accession_no": "0000038777-26-000169", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-06-01", "filed_date": "2026-06-03", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000169/0000038777-26-000169-index.html" }, { "accession_no": "0001683168-26-004467", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1819516, "issuer_name": "Wheels Up Experience Inc.", "issuer_cusip": "96328L304", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-29", "filed_date": "2026-06-02", "item3_funds_source": "Item 3 is hereby amended by deleting the first paragraph of Item 3 and replacing it with the following:\n\n\"The responses of the Reporting Person to Items 2, 4, 5 and 6 of the Schedule 13D, as amended by this Amendment No. 7, are incorporated into this Item 3 by reference.\"", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by deleting the last paragraph of Item 4 of Amendment No. 6 and replacing it with the following:\n\n\"2026 Term Loan Credit Agreement and Amendment No. 4 to the Credit Agreement\n\nAs disclosed by the Issuer in a Current Report on Form 8-K filed by the Issuer with the SEC on June 1, 2026 (the \"Form 8-K\"), the Issuer entered into a Credit Agreement (the \"2026 Credit Agreement\"), dated as of May 29, 2026 (the \"Closing Date\"), by and among the Issuer, as borrower, certain subsidiaries of the Issuer, as guarantors, the Reporting Person, Cox Investment Holdings, LLC (\"Cox\") and CK Wheels LLC (\"CK Wheels\", and collectively with the Reporting Person and Cox, the \"Lead Lenders\"), and U.S. Bank Trust Company, N.A., as administrative agent, pursuant to which the Lead Lenders provided an unsecured term loan facility to the Issuer in the aggregate original principal amount of $100.0 million (the \"Initial 2026 Term Loan\"). The Reporting Person's commitment under the Initial 2026 Term Loan was $57.0 million.\n\nPursuant to the 2026 Credit Agreement, the Issuer, with the consent of each Lead Lender, may request the establishment of additional term loan commitments after the Closing Date in an aggregate original principal amount up to $100.0 million (each, an \"Incremental Term Loan\" and, together with the Initial 2026 Term Loan, the \"2026 Term Loan\"), subject to lender participation and certain other requirements set forth in the 2026 Credit Agreement.\n\nThe scheduled maturity date for the 2026 Term Loan is the earliest to occur of (i) May 29, 2029, (ii) acceleration or termination of any obligations upon the occurrence and continuation of an Event of Default (as defined in the 2026 Credit Agreement), and (iii) 91 days prior to the \"Scheduled Maturity Date\" under the Credit Agreement, which is currently scheduled to mature on September 20, 2028 (as applicable, the \"Maturity Date\"). Interest on the 2026 Term Loan accrues on a daily basis at a rate of 12% per annum (calculated on the basis of a 360-day year for the actual number of days elapsed and compounded quarterly) on the unpaid principal balance then outstanding. Accrued interest on the 2026 Term Loan is payable in kind as compounded interest and capitalized to the principal amount of the 2026 Term Loan on the last day of each of March, June, September and December, and the Maturity Date; provided, that the Issuer may, at its option, elect to pay such interest in cash at any interest payment date. If any repayment or prepayment of the 2026 Term Loan is required as a result of an Event of Default (as defined in the 2026 Credit Agreement), accrued interest as of the date of such repayment or prepayment that has not yet been capitalized to the principal amount repaid or prepaid must be paid in cash. Upon the occurrence and during the continuance of an Event of Default under the 2026 Credit Agreement, interest will accrue on (y) the unpaid principal balance of the 2026 Term Loan at the rate then applicable to such 2026 Term Loan plus 2% and (z) all other outstanding liabilities, interest, expenses, fees and other sums under the 2026 Credit Agreement, at a rate equal to the Alternate Base Rate (as defined in the 2026 Credit Agreement) plus 2% per annum (in each case, calculated on the basis of a 360-day year for the actual number of days elapsed and compounded quarterly).\n\nThe other material terms of the 2026 Credit Agreement are described in more detail in the Form 8-K.\n\nIn connection with the closing of the 2026 Credit Agreement, the Issuer entered into Amendment No. 4 to the Credit Agreement, dated as of May 29, 2026 (the \"Credit Agreement Amendment No. 4\"), by and among the Issuer, as borrower, the other loan parties party thereto, as guarantors, the Lead Lenders, and U.S. Bank Trust Company, N.A., pursuant to which, among other things, certain conforming amendments were made to permit the incurrence of the 2026 Term Loan and reflect its terms.\n\nThe foregoing descriptions of the 2026 Credit Agreement and the Credit Agreement Amendment No. 4 do not purport to be complete and are qualified in their entirety by reference to the 2026 Credit Agreement and the Credit Agreement Amendment No. 4 filed as Exhibit 8 and Exhibit 9, respectively, to this Schedule 13D, which are incorporated by reference herein.\n\nThe Reporting Person disclaims membership in a \"group\" within the meaning of Section 13(d) of the Act and beneficial ownership over any of the shares of Class A Common Stock beneficially owned by any other person, and nothing in this Amendment No. 7 shall be deemed an admission that the Reporting Person is a member of a \"group\" within the meaning of Section 13(d) of the Act.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819516/000168316826004467/0001683168-26-004467-index.html" }, { "accession_no": "0001591046-26-000008", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1865494, "issuer_name": "IO Biotech, Inc.", "issuer_cusip": "449778109", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-03-31", "filed_date": "2026-06-02", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented as follows:\n\nOn March 31, 2026, the Issuer ceased operations and filed a voluntary petition for relief (the \"Petition\") under the provisions of Chapter 7 of Title 11 of the United States Code (the \"Bankruptcy Code\") in the United States Bankruptcy Court for the District of Delaware. The assets of the Issuer will be liquidated and claims paid in accordance with the priorities specified in the Bankruptcy Code. Concurrently with the Petition, on March 31, 2026, each member of the Issuer's board of directors, including Christian Elling, resigned from the Board of Directors of the Issuer and all of its committees.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1865494/000159104626000008/0001591046-26-000008-index.html" }, { "accession_no": "0001493152-26-026729", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1597846, "issuer_name": "Greenpro Capital Corp.", "issuer_cusip": "39540F309", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-05-29", "filed_date": "2026-06-02", "item3_funds_source": "The Reporting Person used personal funds in the amount of $50,000 to purchase 28,949 shares of Common Stock pursuant to the Subscription Agreement.", "item4_transaction_purpose": "The Reporting Person acquired the shares of Common Stock reported herein for investment purposes and to provide financial support for the Issuer's operations. Except as set forth herein, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the matters described in Items 4(a) through 4(j) of Schedule 13D. The Reporting Person may, from time to time, review or reconsider his position and formulate plans or proposals with respect thereto, subject to applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1597846/000149315226026729/0001493152-26-026729-index.html" }, { "accession_no": "0001398344-26-010197", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1574085, "issuer_name": "Braemar Hotels & Resorts Inc.", "issuer_cusip": "10482B101", "securities_class_title": "Common Stock", "date_of_event": "2026-06-02", "filed_date": "2026-06-02", "item3_funds_source": null, "item4_transaction_purpose": "On June 2, 2026, the Reporting Persons issued a press release regarding an open letter (the \"June 2, 2026 letter\") it sent to the outside members of the Board of the Issuer. In the June 2, 2026 letter, the Reporting Persons reiterated that, in their view, the Board no longer has a mandate to govern, and it certainly does not have a mandate to make significant changes to its composition, or to the Issuer's portfolio, business configuration or strategy, without the input of the Issuer's owners.\n\nThe Reporting Persons further expressed their concerns that the two directors who recently resigned from the Board include the Chair of the Related Party Transaction Committee and the Chair of the Audit Committee--the two individuals most responsible for overseeing conflicts of interest. In their place, the Board appointed yet another senior executive of the Issuer's external advisor, Ashford, Inc. (\"Ashford\"). As a result of these changes, Ashford employees--including its Chief Executive Officer, Chief Operating Officer and Senior Managing Director and Head of Acquisitions--now occupy more than 40% of the seats on the Board.\n\nThe Reporting Persons further called on the remaining outside directors to promptly call the 2026 Annual Meeting and allow shareholders to elect directors of their choosing before proceeding with any further transactions.\n\nThe foregoing summary of the June 2, 2026 letter does not purport to be complete and is subject to, and qualified in its entirety by, the June 2, 2026 letter, a copy of which is attached here as Exhibit 8 and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574085/000139834426010197/0001398344-26-010197-index.html" }, { "accession_no": "0001376474-26-000409", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1997403, "issuer_name": "ZenaTech, Inc.", "issuer_cusip": "00098936T", "securities_class_title": "Common Stock", "date_of_event": "2026-06-01", "filed_date": "2026-06-02", "item3_funds_source": "The Reporting Person partially converted amounts outstanding under a line of credit provided by the Reporting Person to the Issuer in August 2019. See Section 5(c) below for more information.", "item4_transaction_purpose": "The Reporting Persons acquired the Issuer's common stock for investment purposes. None of the Reporting Persons have any plans or proposals which relate to or would result in any of the matters listed in Items 4(a) to 4(j) of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1997403/000137647426000409/0001376474-26-000409-index.html" }, { "accession_no": "0001213900-26-064363", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1704287, "issuer_name": "Bluejay Diagnostics, Inc.", "issuer_cusip": "095633608", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-02", "item3_funds_source": "Not applicable. This Amendment reports only the disposition of all shares previously reported on the Schedule 13D and no additional securities were acquired since the Schedule 13D filed with the SEC on March 11, 2026 As of the date of this Amendment, the Reporting Persons beneficially own 0 shares of the Issuer's Common Stock.", "item4_transaction_purpose": "Since the filing of the Reporting Persons' Schedule 13D with the SEC on March 11, 2026, the Reporting Persons have disposed of all shares of common stock of the Issuer. As of June 2, 2026, the Reporting Persons no longer beneficially own any shares of the Issuer's Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1704287/000121390026064363/0001213900-26-064363-index.html" }, { "accession_no": "0001213900-26-064352", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1704287, "issuer_name": "Bluejay Diagnostics, Inc.", "issuer_cusip": "095633608", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-06-02", "filed_date": "2026-06-02", "item3_funds_source": "Not applicable. This Amendment reports only the disposition of all shares previously reported on the Schedule 13D and no additional securities were acquired since the Schedule 13D filed with the SEC on March 11, 2026 As of the date of this Amendment, the Reporting Persons beneficially own 0 shares of the Issuer's Common Stock.", "item4_transaction_purpose": "Since the filing of the Reporting Persons' Schedule 13D with the SEC on March 11, 2026, the Reporting Persons have disposed of all shares of common stock of the Issuer. As of June 2, 2026, the Reporting Persons no longer beneficially own any shares of the Issuer's Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1704287/000121390026064352/0001213900-26-064352-index.html" }, { "accession_no": "0001193805-26-000738", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1604778, "issuer_name": "Qorvo, Inc.", "issuer_cusip": "74736K101", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-06-02", "filed_date": "2026-06-02", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe securities of the Issuer purchased by each of Starboard V&O Fund, Starboard S LLC, Starboard L Master, Starboard X Master and held in the Starboard Value LP Account were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted. The aggregate purchase price of the 2,424,637 Shares beneficially owned by Starboard V&O Fund is approximately $170,183,649, excluding brokerage commissions. The aggregate purchase price of the 388,431 Shares beneficially owned by Starboard S LLC is approximately $27,181,074, excluding brokerage commissions. The aggregate purchase price of the 187,790 Shares beneficially owned by Starboard L Master is approximately $13,219,738, excluding brokerage commissions. The aggregate purchase price of the 601,136 Shares beneficially owned by Starboard X Master is approximately $41,689,621, excluding brokerage commissions. The aggregate purchase price of the 1,191,067 Shares beneficially owned by Starboard G LP is approximately $86,057,316, excluding brokerage commissions. The aggregate purchase price of the 818,465 Shares held in the Starboard Value LP Account is approximately $58,068,064, excluding brokerage commissions.\n\nThe 2,496 Shares beneficially owned directly by Mr. Feld were granted to him in his capacity as a director of the Issuer.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1604778/000119380526000738/0001193805-26-000738-index.html" }, { "accession_no": "0001193125-26-253840", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1345126, "issuer_name": "COMPASS DIVERSIFIED HOLDINGS", "issuer_cusip": "20451Q104", "securities_class_title": "Shares representing beneficial interests in Compass Diversified Holdings", "date_of_event": "2026-05-29", "filed_date": "2026-06-02", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\n\"On May 29, 2026, the Reporting Persons expended approximately $3,660,000 to purchase call options referencing an aggregate of 1,000,000 Shares in an open market transaction. The funds used for the purchase of the securities reported in this Schedule 13D were derived from the general working capital of ADW Capital Partners, L.P.\"", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1345126/000119312526253840/0001193125-26-253840-index.html" }, { "accession_no": "0001193125-26-253778", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1877322, "issuer_name": "ESAB Corporation", "issuer_cusip": "29605J106", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-06-01", "filed_date": "2026-06-02", "item3_funds_source": "Item 3 of the Statement is hereby supplemented with the information contained in Item 4 of this Amendment No. 2, which is incorporated herein by reference.", "item4_transaction_purpose": "Preferred Stock Purchase Agreement\n\nAs disclosed in the Company's Current Report on Form 8-K filed on June 2, 2026, on June 1, 2026, in connection with the closing of the Acquisition of Eddyfi Holding Inc., the Company completed the private placement of 175,000 shares of its 6.50% Series A Mandatory Convertible Preferred Stock, par value $0.001 per share (\"Mandatory Convertible Preferred Stock\"), pursuant to that certain Preferred Stock Purchase Agreement dated February 2, 2026 (the \"Preferred Stock Purchase Agreement\") between the Company and certain institutional investors thereto, including the Reporting Person.\n\nMA Long Term Investors, L.P. (the \"Family Partnership\"), a family partnership affiliated with the Reporting Person, purchased 100,000 shares of Mandatory Convertible Preferred Stock in the private placement at a price of $1,000 per share for aggregate consideration of $100.0 million. The Family Partnership is acquiring the Mandatory Convertible Preferred Stock for investment purposes, and funded the purchase price for the Mandatory Convertible Preferred Stock with working capital. In addition, in connection with the Preferred Stock Purchase Agreement, the Reporting Person is subject to a lock-up period for 90 days following the closing of the private placement pursuant to which he generally may not, without the prior consent of the Company (i) sell, contract to sell, sell any option or contract to purchase, or otherwise transfer or dispose of, or (ii) enter into any swap or other transaction or arrangement that transfers or that is designed to result in the transfer to another any of the economic consequences of ownership of, any of the Mandatory Convertible Preferred Stock purchased under the Preferred Stock Purchase Agreement.\n\nThe summary of the Preferred Stock Purchase Agreement included herein is qualified in its entirety by the text of the agreement, a copy of which was attached as Exhibit 99.1 to Amendment No. 1 to the Statement filed by the Reporting Person on February 4, 2026 and is incorporated herein by reference.\n\nCertificate of Designations for Mandatory Convertible Preferred Stock\n\nAs specified in the Certificate of Designations relating to the Mandatory Convertible Preferred Stock, filed by the Company with the Secretary of State of the State of Delaware on June 1, 2026 (the \"Certificate of Designations\"), the Mandatory Convertible Preferred Stock does not have a maturity date but will mandatorily convert into shares of the Company's Common Stock on the mandatory conversion date, approximately three years after the initial issue date. Cumulative cash dividends on the Mandatory Convertible Preferred Stock will be payable at a rate of 6.50% per annum (equivalent to $65.00 per annum per share), quarterly in arrears, when, as and if declared by the Company's board of directors. Dividends will accumulate from the most recent date on which dividends have been paid or, if no dividends have been paid, from the initial issue date.\n\nEach share of the Mandatory Convertible Preferred Stock has a liquidation preference of $1,000 per share, plus accumulated but unpaid dividends, and will automatically convert on the mandatory conversion date into between 7.1806 shares (the \"Minimum Conversion Rate\") and 8.2576 shares (the \"Maximum Conversion Rate\") of the Company's Common Stock per share, depending on the Applicable Market Value of the common stock during the Settlement Period (each as defined in the Certificate of Designation). The conversion rates will be subject to certain customary anti-dilution adjustments. Prior to the mandatory conversion date, holders may elect to convert at any time at the Minimum Conversion Rate, subject to adjustment for any accumulated and unpaid dividends that have not been declared. The Mandatory Convertible Preferred Stock may not be redeemed by the Company (other than in limited circumstances relating to HSR Act compliance). If a \"Fundamental Change\" occurs, holders will have the right to convert at an increased Fundamental Change Conversion Rate and to receive a Fundamental Change Dividend Make-whole Amount (each as defined in the Certificate of Designations) equal to the present value of all remaining scheduled dividend payments, discounted at 6.50% per annum.\n\nThe above description of the Certificate of Designations is a summary and is qualified by reference to the full text of the Certificate of Designations, which is attached hereto as Exhibit 99.1 and incorporated herein by reference.\n\nRegistration Rights Agreement\n\nOn June 1, 2026, the Company and the purchasers of the Mandatory Convertible Preferred Stock, including the Family Partnership, also entered into a Registration Rights Agreement (the \"MCP Registration Rights Agreement\"), pursuant to which the Company agreed that if, following one year after the Closing Date (the \"Resale Restriction Termination Date\"), holders of the shares of Common Stock issuable upon conversion of the Mandatory Convertible Preferred Stock (the \"Conversion Shares\") are unable to sell such Conversion Shares pursuant to Rule 144 under the Securities Act, the Company will file a registration statement with the SEC within five business days of receiving a DTC Transfer Notice (or, if earlier, within 121 days following the Resale Restriction Termination Date) for purposes of registering the resale of such Conversion Shares. The Company agreed to use its commercially reasonable efforts to have such registration statement declared effective no later than 120 calendar days following the Resale Restriction Termination Date (or, in the event the SEC reviews and has written comments on such registration statement, 180 calendar days following the Resale Restriction Termination Date). The Company agreed to keep such registration statement continuously effective until the earlier of (i) when the Conversion Shares cease to be \"Registrable Securities\" (as defined in the MCP Registration Rights Agreement) and (ii) the 30th day following the first day on which no Mandatory Convertible Preferred Stock is outstanding.\n\nThe summary of the MCP Registration Rights Agreement included herein is qualified in its entirety by the text of the agreement, a copy of which is attached as Exhibit 99.2 hereto and is incorporated herein by reference.\n\nContribution to Family Partnership\n\nAs of June 1, 2026, the Family Partnership acquired 3,537,797 shares of Common Stock (in addition to its shares of Mandatorily Convertible Preferred Stock) through the following contributions to the Family Partnership for no consideration: (i) 3,355,765 shares were contributed from a revocable trust of which the Reporting Person is the trustee; (ii) 70,686 shares were contributed from the Mitchell P. Rales Family Trust of which the Reporting Person is trustee; and (iii) 111,346 shares were contributed from the Reporting Person's adult children and entities affiliated with the Reporting Person's adult children. The Family Partnership is managed by a general partner, which is a limited liability company that is indirectly controlled by the Reporting Person.\n\nGeneral\n\nAll shares beneficially owned by the Reporting Person, including shares of Mandatory Convertible Preferred Stock and underlying Common Stock and shares held through the Family Partnership, are held by the Reporting Person for investment purposes. The Reporting Person may, subject to the continuing evaluation of the factors discussed herein, acquire from time to time additional securities of the Company in the open market or in privately negotiated transactions, by exchange offer or otherwise. Depending on the factors discussed herein, the Reporting Person may, from time to time, retain, transfer, gift, or sell all or a portion of his shares in the open market or in privately negotiated transactions. Any actions that the Reporting Person might undertake will depend upon his review of numerous factors, including, among other things, the availability of shares for purchase and the price levels of such shares; general market and economic conditions; ongoing evaluation of the Company's business operations and prospects; the relative attractiveness of alternative business and investment opportunities; the actions of the management and the Board of Directors of the Company; personal financial planning; personal philanthropic endeavors; estate planning; and other future developments.\n\nOther than as may have arisen in his capacity as a director of the Company, the Reporting Person currently has no plans or proposals that relate to, or would result in, any of the matters described in subsections (a) through (j) of Item 4 of the instructions to Schedule 13D, although the Reporting Person may, at any time and from time to time, review or reconsider his position and/or change his purpose and/or formulate plans or proposals with respect thereto. To the extent the Reporting Person may be involved in the formulation or approval of such plans or proposals solely in his capacity as a director of the Company, the Reporting Person does not expect to disclose such developments of his involvement by amending this Statement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1877322/000119312526253778/0001193125-26-253778-index.html" }, { "accession_no": "0001185185-26-002302", "submission_type": "SCHEDULE 13D/A", "amendment_no": 22, "issuer_cik": 1138476, "issuer_name": "PACIFIC HEALTH CARE ORGANIZATION INC", "issuer_cusip": "69439P407", "securities_class_title": "Common Stock, $.001 par value per share", "date_of_event": "2026-05-27", "filed_date": "2026-06-02", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nAll shares of the Issuer's Common Stock acquired by the Reporting Person were acquired with personal funds.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated as follows:\n\nThe acquisitions were not for the purpose of changing control of the Issuer. Prior to and following the acquisitions, the Reporting Person was and continues to be the Chief Executive Officer, President and Chairman of the board of directors (the \"Board\") of the Issuer. Prior to the acquisitions, the Reporting Person was the single largest holder of Common Stock of the Issuer, owning approximately 65.7% of the outstanding Common Stock of the Issuer. The Reporting Person made the acquisitions because the shares were available for sell and he chose to acquire them. The Reporting Person anticipates he will make additional acquisitions from time-to-time. The Reporting Person did not make the acquisitions with intent to or for the purpose of effecting any of the transactions described in subparagraphs (b) through (j) of Item 4 of Schedule 13D. It is anticipated that future acquisitions by the Reporting Person would also not be for the purpose of effecting any of the transactions described in (b) through (j) of Item 4 of Schedule 13D. The Reporting Person may, at any time, review or reconsider his position with respect to the Issuer and formulate plans or proposals with respect to any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1138476/000118518526002302/0001185185-26-002302-index.html" }, { "accession_no": "0001178913-26-003049", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1638911, "issuer_name": "DUKE Robotics Corp.", "issuer_cusip": "903448207", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-18", "filed_date": "2026-06-02", "item3_funds_source": "The Reporting Persons utilized the funds of the relevant Reporting Persons (MPF, MCI LP and Yosef Levy) that directly hold the shares of common stock and warrants to purchase common stock (\"warrants\") reported herein for the acquisition of those securities. No new securities have been acquired by the Reporting Persons from the filing of Amendment No. 2 to the Schedule 13D until the filing of this Amendment No. 3.", "item4_transaction_purpose": "The Reporting Persons are filing this Amendment No. 3 to Schedule 13D (\"Amendment No. 3\") to amend and supplement the Statement of Beneficial Ownership on Schedule 13D originally filed by the Reporting Persons with the SEC on July 6, 2021 (the \"Original Schedule 13D\"), as amended by Amendment No. 1 filed with the SEC on January 29, 2024 (\"Amendment No. 1\"), and as further amended by Amendment No. 2 filed with the SEC on June 25, 2024 (\"Amendment No. 2\"), with respect to the common stock of the Issuer. This Amendment No. 3 is being filed in order to report changes in the Reporting Persons' beneficial ownership percentages resulting from: (i) the additional warrant amendment agreement, dated March 10, 2026 (described below); (ii) the 1-for-25 reverse stock split of the common stock effective March 6, 2026; and (iii) the Issuer's Nasdaq uplisting and public offering, which closed on May 18, 2026.\n\nThe securities described in this Amendment No. 3 were acquired for investment purposes. The Reporting Persons intend to review their investments in the Issuer on a continuing basis. Any actions the Reporting Persons might undertake may be made at any time and from time to time without prior notice and will be dependent upon the Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments. Depending upon the factors discussed herein and subject to applicable law, the Reporting Persons may from time to time acquire additional securities of the Issuer in the open market or in privately negotiated transactions and/or exercise warrants for underlying shares of common stock, or sell or otherwise dispose of some or all of their securities of the Issuer.\n\nWarrant Amendment Agreement -- March 10, 2026\n\nOn March 10, 2026, each of MPF, MCI LP and Yosef Levy entered into an additional Warrant Amendment Agreement with the Issuer (each, a \"2026 Warrant Amendment Agreement\"), pursuant to which the expiration date of the exercise term of the warrants held by them was further extended from May 11, 2026 to May 1, 2031. The exercise price of the warrants ($16.25 per share, which reflects the existing exercise price, as adjusted to reflect the recent Reverse Stock Split) and the beneficial ownership blocker limiting exercise such that, after giving effect to such exercise, the holder will beneficially own not more than 19.99% of the Issuer's common stock, each as previously described in Amendment No. 2, remain in effect. The foregoing description of the 2026 Warrant Amendment Agreement is not complete and is subject to and qualified in its entirety by reference to the full text of such agreement, which serves as Exhibit 23 hereto and which is incorporated herein by reference.\n\nReverse Stock Split\n\nOn March 4, 2026, the Issuer filed a Certificate of Amendment to its Amended and Restated Certificate of Incorporation in Nevada to effect a 1-for-25 reverse stock split, which became effective on March 6, 2026 (the \"Reverse Stock Split\"). Following the effectiveness of the Reverse Stock Split, the Issuer's outstanding shares of common stock, stock options, warrants and other equity-based instruments were adjusted to reflect the Reverse Stock Split, as applicable. The Reverse Stock Split was a technical corporate action and did not affect the Reporting Persons' beneficial ownership percentages; however, the number of shares of common stock and warrants beneficially owned by the Reporting Persons was adjusted proportionately as a result thereof. All share and warrant quantities reported in this Amendment No. 3 reflect the Reverse Stock Split.\n\nNasdaq Uplisting and Public Offering\n\nOn May 14, 2026, the Issuer entered into an underwriting agreement with Maxim Group LLC, as representative of the underwriters, in connection with a public offering of units consisting of shares of common stock and warrants. In connection therewith, the Issuer's common stock and warrants were approved for listing on the Nasdaq Capital Market and commenced trading under the symbols \"DUKR\" and \"DUKRW,\" respectively. The offering closed on May 18, 2026 and resulted in an increase in the Issuer's issued and outstanding share capital. Such increase caused a material change in the Reporting Persons' beneficial ownership percentages relative to the percentages most recently reported in Amendment No. 2.\n\nOther than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1638911/000117891326003049/0001178913-26-003049-index.html" }, { "accession_no": "0001104659-26-069614", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 720500, "issuer_name": "Amtech Systems Inc.", "issuer_cusip": "032332504", "securities_class_title": "Common Stock, $0.01 Par Value Per Share", "date_of_event": "2026-06-01", "filed_date": "2026-06-02", "item3_funds_source": "The first paragraph of the response to Item 3 is hereby amended and restated in its entirety to read as follows:\n\nAs of June 2, 2026, the Reporting Persons had collectively acquired an aggregate of 3,009,258 Shares over the course of various prior purchases for total consideration of approximately $23 million. Each Reporting Person funded such prior purchases out of their available cash on hand (which, in the case of Reporting Persons that are entities, may include capital contributed by their respective owners). Additionally, Mr. Averick has exercised various director stock options and received various restricted stock units, each awarded for his service as a Company director.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/720500/000110465926069614/0001104659-26-069614-index.html" }, { "accession_no": "0000947871-26-000598", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 764478, "issuer_name": "BEST BUY CO INC", "issuer_cusip": "086516101", "securities_class_title": "Common Stock, par value $0.10 per share", "date_of_event": "2026-05-29", "filed_date": "2026-06-02", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to add the following:\n\nOn May 29, 2026, Mr. Schulze sold Shares into the open market. The Shares were sold as part of Mr. Schulze's personal long-term strategy for asset diversification and liquidity.\n\nEffective May 29, 2026, Mr. Schulze adopted a pre-arranged trading plan to sell Shares owned by the Reporting Persons in the open market (the \"May 2026 Plan\"). The Shares to be sold pursuant to the May 2026 Plan are part of Mr. Schulze's personal estate planning. The Shares to be sold are subject to the provisions of the May 2026 Plan until the May 2026 Plan expires, which is expected to occur in June 2027.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/764478/000094787126000598/0000947871-26-000598-index.html" }, { "accession_no": "0002136560-26-000003", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1905660, "issuer_name": "Hub Cyber Security Ltd.", "issuer_cusip": "M6000J184", "securities_class_title": "ordinary shares", "date_of_event": "2026-05-18", "filed_date": "2026-06-01", "item3_funds_source": "The Reporting Person used personal funds to acquire the 450,000 Ordinary Shares reported herein. The aggregate purchase price for all shares was approximately $59,977, including brokerage commissions. No part of the purchase price was represented by funds borrowed or otherwise obtained for the purpose of acquiring, holding, trading, or voting the securities.", "item4_transaction_purpose": "The Reporting Person acquired the Ordinary Shares reported herein for investment purposes only, based on the Reporting Person's belief that the securities represented an attractive investment opportunity at the prices at which they were acquired. The Reporting Person acquired the shares using personal funds in open market transactions through a broker.\n\nThe Reporting Person is filing this Schedule 13D because the Reporting Person's beneficial ownership exceeds 20% of the outstanding Ordinary Shares and the Reporting Person is therefore not eligible to report on Schedule 13G as a Passive Investor under Rule 13d-1(c). The Reporting Person previously filed a Schedule 13G and amendments thereto with respect to the Ordinary Shares.\n\nThe Reporting Person intends to review his investment in the Issuer on a continuing basis and may, depending on various factors including the Issuer's business, financial condition, results of operations and prospects, general economic and market conditions, the trading price of the securities, and other investment opportunities available to the Reporting Person, from time to time acquire additional securities of the Issuer in the open market or otherwise, or dispose of all or a portion of the securities that the Reporting Person now owns or may hereafter acquire.\n\nExcept as set forth above, the Reporting Person has no present plans or proposals that relate to or would result in any of the actions or transactions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1905660/000213656026000003/0002136560-26-000003-index.html" }, { "accession_no": "0001683168-26-004429", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1769484, "issuer_name": "Bioceres Crop Solutions Corp.", "issuer_cusip": "G1117K114", "securities_class_title": "Ordinary Shares, $0.0001 par value", "date_of_event": "2026-05-29", "filed_date": "2026-06-01", "item3_funds_source": "This Schedule 13D is being filed to report a decrease in the number of Ordinary Shares, $0.0001 par value of Bioceres Crop Solutions Corp. (the \"Shares\") beneficially owned by the Reporting Persons as a result of the sale of an aggregate of 673,262 Shares by Granosur, which has decreased the aggregate Shares held by the Reporting Persons to 4,399,443.", "item4_transaction_purpose": "Except as described in Item 4 to this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans. Although the foregoing reflects plans and proposals presently contemplated by each Reporting Person with respect to the Issuer, the foregoing is subject to change at any time and is dependent upon contingencies and assumed and speculative conditions, and there can be no assurance that any of the actions set forth above will be taken.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1769484/000168316826004429/0001683168-26-004429-index.html" }, { "accession_no": "0001628280-26-039502", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1562151, "issuer_name": "Crimson Wine Group, Ltd.", "issuer_cusip": "22662X100", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2025-11-20", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1562151/000162828026039502/0001628280-26-039502-index.html" }, { "accession_no": "0001628280-26-039476", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1562151, "issuer_name": "Crimson Wine Group, Ltd.", "issuer_cusip": "22662X100", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2025-11-20", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1562151/000162828026039476/0001628280-26-039476-index.html" }, { "accession_no": "0001548312-26-000025", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1210708, "issuer_name": "Star Equity Holdings, Inc.", "issuer_cusip": "443787205", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 1,104,701 Shares beneficially owned by Mr. Eberwein is approximately $22,058,114, excluding brokerage commissions. In addition to the 1,104,701 Shares, Mr. Eberwein owns 765,077 shares of the Issuer's 10% Series A Cumulative Perpetual Preferred Stock.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1210708/000154831226000025/0001548312-26-000025-index.html" }, { "accession_no": "0001493152-26-026690", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1946573, "issuer_name": "Nakamoto Inc.", "issuer_cusip": "49457M205", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": "The Reporting Person acquired certain of the shares of Common Stock of the Issuer, par value $0.001 per share (the \"Common Stock\"), over which he has sole voting and dispositive power pursuant to (i) that certain Agreement and Plan of Merger, dated as of May 12, 2025 (the \"Nakamoto Merger Agreement\" and the transactions contemplated thereby, the \"Nakamoto Merger\"), by and among the Issuer, Kindly Holdco Corp, a Delaware corporation and a direct, wholly-owned subsidiary of the Issuer, Nakamoto Holdings Inc., a Delaware corporation (\"Nakamoto Holdings\"), and Wade Rivers, LLC, a Wyoming limited liability company, (ii) that certain consulting agreement, dated as of August 14, 2025, by and between the Issuer and BTC Consulting, LLC (\"BTC Consulting\"), an entity controlled by the Reporting Person (the \"BTC Consulting Agreement\"), pursuant to which the Reporting Person serves as Chief Executive Officer of the Issuer, (iii) that certain Agreement and Plan of Merger, dated February 16, 2026, by and among the Issuer, UTXO GP Merger Sub, LLC, a Tennessee limited liability company and a wholly-owned subsidiary of the Issuer, UTXO Management GP, LLC, a Tennessee limited liability company (\"UTXO\"), the Reporting Person, in his individual capacity, Tyler Evans, in his individual capacity, and the equityholder representative party thereto (the \"UTXO Merger Agreement\" and the transactions contemplated thereby, the \"UTXO Merger\"), and (iv) that certain Agreement and Plan of Merger, dated February 16, 2026, by and among the Issuer, BTC Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Issuer, BTC Inc., a Delaware corporation (\"BTC\"), and the stockholder representative party thereto (the \"BTC Merger Agreement\" and the transactions contemplated thereby, the \"BTC Merger\"). Pursuant to the terms of the Nakamoto Merger Agreement, the Reporting Person received 11,160,572 shares of Common Stock. Pursuant to the terms of the BTC Consulting Agreement, the Reporting Person received 751,879 restricted stock units (\"RSUs\"), subject to certain vesting conditions. Pursuant to the terms of the UTXO Merger Agreement and the BTC Merger Agreement, the Reporting Person received 11,916,837 and 96,283,791 shares of Common Stock, respectively.\n\nAt the Special Meeting of Stockholders held on May 8, 2026, the Issuer (a) obtained the requisite approval regarding a reverse stock split and (b) effectuated a 1-for-40 reverse split of the Issuer's shares on May 22, 2026 (the \"Reverse Stock Split\"). As a result, the 119,361,200 shares of Common Stock held by the Reporting Person automatically converted into 2,984,028 shares of Common Stock on May 22, 2026. Therefore, as of May 22, 2026, the Reporting Person beneficially owned an aggregate of 2,984,028 shares of Common Stock on a post-split basis.\n\nIn addition, on May 26, 2026, the Reporting Person purchased 31,500 shares of Common Stock at a price of $5.58 per share. On May 27, 2026, the Reporting Person purchased 79,104 shares of Common Stock at a price of $4.68 per share and 25,729 shares of Common Stock at a price of $5.33 per share. On May 28, 2026, the Reporting Person purchased 7,115 shares of Common Stock at a price of $5.79 per share and 48,000 shares of Common Stock at a price of $5.59 per share. The source of funds for these purchases was the Reporting Person's personal funds.", "item4_transaction_purpose": "The Reporting Person is the Chief Executive Officer and Chairman of the Board of Directors of the Issuer (the \"Board\"), and, accordingly, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Subject to the Issuer's Insider Trading Policy and the agreements described in Item 6 of this Amendment, the Reporting Person may from time to time buy or sell securities of the Issuer as appropriate for his personal circumstances. Except as described in this Amendment, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Person, at any time and from time to time, may review, reconsider and change his position and/or change his purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons. The Reporting Person intends to continuously review his investment in the Issuer and may in the future determine to acquire additional securities of the Issuer or dispose of the securities of the Issuer owned by him or take any other available course of action, including surrendering or selling shares back to the Issuer for tax withholding obligations. Notwithstanding anything contained herein, the Reporting Person specifically reserves the right to change his intention with respect to any or all of such matters.\n\nThe Reporting Person is the Chairman and Chief Executive Officer of the Issuer and acquired the RSUs in that capacity, pursuant to the BTC Consulting Agreement.\n\nOther than the shares of Common Stock acquired in the open-market purchases between May 26, 2026 and May 28, 2028, as described in Item 3 of this Amendment, the Reporting Person acquired the other securities pursuant to the Nakamoto Merger Agreement, the UTXO Merger Agreement, and the BTC Merger Agreement described in Item 3. As a result, the Reporting Person may have influence over the corporate activities of the Issuer.\n\nThe Reporting Person acquired an aggregate of 191,448 shares of Common Stock in open-market purchases between May 26, 2026 and May 28, 2026, at the prices set forth in Item 3 of this Amendment. The Reporting Person acquired such shares for investment purposes, using his personal funds.\n\nThe Reporting Person does not have any present plans or proposals as of the date hereof that relate to or would impact any of the transactions described in Item 4(a)-(j) of this Amendment.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1946573/000149315226026690/0001493152-26-026690-index.html" }, { "accession_no": "0001493152-26-026642", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1853816, "issuer_name": "Dermata Therapeutics, Inc.", "issuer_cusip": "249845504", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-27", "filed_date": "2026-06-01", "item3_funds_source": "On December 23, 2025, the Issuer entered into a securities purchase agreement (the \"Purchase Agreement\") with certain institutional and accredited investors for the issuance and sale in a private placement (the \"Private Placement\") of (i)1,484,312 shares (the \"Shares\") of the Issuer's common stock, par value $0.0001 per share (the \"Common Stock\"), (ii) pre-funded warrants (\"Pre-Funded Warrants\") to purchase up to 537,750 shares of Common Stock, at an exercise price of $0.001 per share, (iii) series C warrants (the \"Series C Warrants\") to purchase up to 2,022,062 shares of Common Stock, and (iv) series D warrants (the \"Series D Warrants\" together with the Series C Warrants, the \"Warrants\") to purchase up to 2,022,062 shares of Common Stock. The purchase price per Share and accompanying Warrants was $2.04 and the purchase price per Pre-Funded Warrant and accompanying Warrants was $2.039. The Warrants have an exercise price of $2.04 per share. The Pre-Funded Warrants were exercisable immediately. The Reporting Person purchased in the Private Placement an aggregate of 122,549 shares of Common Stock and Warrants exercisable for an aggregate of 245,098 shares of Common Stock. The purchase price per share of Common Stock and accompanying Warrants for the Reporting Person was the same as paid by other investors in the Private Placement. The Warrants became exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the Warrants (the \"Share Issuances\"). The Series C Warrants will expire five years from the effective date of stockholder approval and the Series D Warrants will expire twenty-four months from the effective date of stockholder approval. Stockholder approval of the Share Issuances was obtained on May 27, 2026 (the \"Event Date\"). In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant exercisable for 7,874 shares of Common Stock issued on January 3, 2025, which amended the exercise price of the warrant from $12.70 to $2.04. The source of funds used to acquire such securities was personal funds of the Reporting Person.", "item4_transaction_purpose": "The Reporting Person acquired the securities reported herein for investment purposes. The Reporting Person reserves the right to acquire, or cause to be acquired, additional securities of the Issuer, to dispose of, or cause to be disposed of, such securities at any time or to formulate other purposes, plans or proposals regarding the Issuer or any of its securities, to the extent deemed advisable in light of general investment and trading policies of the Reporting Person, market conditions or other factors. The Reporting Person serves as Chief Financial Officer of the Issuer, and in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Person reserves the right to change her purpose and to formulate and implement plans or proposals with respect to the Issuer at any time and from time to time. Any such action may be made alone or in conjunction with other shareholders, potential acquirers, financing sources and/or other third parties and could include one or more purposes, plans or proposals that relate to or would result in actions required to be reported herein in accordance with Item 4 of Schedule 13D. Other than as described herein, the Reporting Person currently has no plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a) through (j) of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1853816/000149315226026642/0001493152-26-026642-index.html" }, { "accession_no": "0001493152-26-026513", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1983324, "issuer_name": "Real Messenger Corp", "issuer_cusip": "G7410G106", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-05-05", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is supplemented and superseded, as the case may be, as follows: On March 25, 2026, Bloomington DH Holdings Limited entered into a Subscription Agreement with the Issuer, where the Issuer agreed to issue to Bloomington DH Holdings Limited 1,837,680 Class B Ordinary Shares of the Issuer at a price of US$0.5912 per Share, for a total purchase price of US$1,086,438.46.\n\nOn May 5, 2025, the Issuer held its Class Meeting of the holders of its Class A Ordinary Shares (\"Class Meeting\") and 2026 Annual Meeting of Shareholders (\"2026 AGM\"), during which the shareholders approved an increase in the voting rights attached to each Class B Ordinary Share of the Issuer from ten (10) votes to twenty-five (25) votes (the \"Class Rights Variation\"). As a result of the shareholders' approval of the Class Rights Variation, the Issuer's memorandum and articles of association is being amended accordingly to reflect the Class Rights Variation.\n\nOn May 19, 2026, a total of 450,000 Class B Ordinary Shares that had been held in escrow as holdback shares (the \"Holdback Shares\") were released upon expiration of the eighteen-month period following the date of the Business Combination. The Holdback Shares consisted of 330,000 Class B Ordinary Shares held in escrow for Bloomington DH Holdings Limited's holdback shares, and 120,000 Class B Ordinary Shares held in escrow for Edinburgh DH Holdings Limited's holdback shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1983324/000149315226026513/0001493152-26-026513-index.html" }, { "accession_no": "0001213900-26-063741", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2075109, "issuer_name": "Matternet, Inc.", "issuer_cusip": null, "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-22", "filed_date": "2026-06-01", "item3_funds_source": "All of the shares of Common Stock to which this Schedule 13D relates were acquired by the Reporting Person in connection with the consummation of the closing on May 22, 2026 (the \"Closing Date\") of the transactions contemplated by the Agreement and Plan of Merger and Reorganization dated as of May 22, 2026, by and among Los Altos Ventures Corp. (\"LAVC\"), Matternet Acquisition Co., a wholly-owned subsidiary of LAVC (\"Acquisition Sub\") and Matternet Operations, Inc. (fka Matternet, Inc.) (\"Legacy Matternet\") (the \"Merger Agreement\"). Pursuant to the terms of the Merger Agreement, a business combination of Legacy Matternet and LAVC was effected by the merger of Acquisition Sub with and into Legacy Matternet, with Legacy Matternet surviving the Merger as a wholly owned subsidiary of LAVC (the \"Merger\"). In connection with the consummation of the Merger on the Closing Date, LAVC changed its name from Los Altos Venture Corp. to Matternet, Inc.\n\nPursuant to the terms of the Merger Agreement, each outstanding share of Legacy Matternet common stock issued and outstanding immediately prior to the effective time of the Merger was converted into the right to receive 2.0801 shares of Common Stock, rounded to the nearest whole share.", "item4_transaction_purpose": "The Reporting Person acquired the Common Stock in connection with the Merger. The information contained in Item 3 of this Schedule 13D is incorporated herein by reference.\n\nThe Reporting Person serves as a member of the Board of Directors and President and Chief Executive Officer of the Issuer. Accordingly, the Reporting Person may have influence over the corporate activities of the Issuer, including activities that may relate to items described in clauses (a) through (j) of Item 4 of this Schedule 13D. Subject to the Registration Rights Agreement described in Item 6 of this Schedule 13D, the Reporting Person may, from time to time, purchase or sell securities of the Issuer as appropriate for his personal circumstances. Except as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in clauses (a) through (j) of Item 4 of this Schedule 13D. The Reporting Person reserves the right to formulate plans and/or proposals and to take such actions with respect to his investment in the Issuer, including any or all of the actions set forth in clauses (a) through (j) of Item 4 of this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2075109/000121390026063741/0001213900-26-063741-index.html" }, { "accession_no": "0001213900-26-063717", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2093524, "issuer_name": "Aperture AC", "issuer_cusip": "G0474D101", "securities_class_title": "Class A Ordinary Shares, par value $0.0001", "date_of_event": "2026-05-22", "filed_date": "2026-06-01", "item3_funds_source": "The aggregate purchase price for the Founder Shares (as defined below) was $25,000. The aggregate purchase price of the Placement Units (as defined below) was $2,230,000. The source of these funds was the working capital of Sponsor.", "item4_transaction_purpose": "Founder Shares\n\nOn September 30, 2025, the Sponsor acquired an aggregate of 3,828,082 Class B ordinary shares, for $25,000, or approximately $0.007 per share, including an aggregate of up to 499,315 shares subject to forfeiture to the extent the underwriters did not exercise their over-allotment option in full. On May 22, 2026, the underwriters partially exercised the over-allotment option in connection with the IPO and as a result, 55,479 founder shares were forfeited by the Sponsor. The Founder Shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination (the \"Business Combination\") on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights. The description of the Founder Share Purchase Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.8 to the Registration Statement on Form S-1 initially filed by the Issuer with the SEC on November 17, 2025 (and is incorporated by reference herein as Exhibit 10.1).\n\nPlacement Units\n\nOn May 20, 2026, as part of a Private Placement Units Purchase Agreement dated May 20, 2026 (the \"Unit Purchase Agreement\"), Sponsor purchased 223,000 placement units (the \"Placement Units\") from the Issuer for an aggregate purchase price of $2,230,000. Each Placement Unit consists of one Class A ordinary share (\"Placement Share\") and one right to receive one-fourth (1/4) of a Class A ordinary share upon the consummation of the Business Combination (\"Placement Share Right\").\n\nThe foregoing description of the Unit Purchase Agreement does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the agreement, which is attached as an exhibit hereto and incorporated herein by reference.\n\nLetter Agreement\n\nSponsor and the Issuer entered into a letter agreement (the \"Letter Agreement\") with other parties named thereunder on May 20, 2026, pursuant to which Sponsor agreed to (i) waive its redemption rights with respect to its Founder Shares, Placement Shares and any Class A ordinary shares purchased during or after the IPO (the \"public shares\") in connection with the completion of the Business Combination, (ii) waive its redemption rights with respect to its Founder Shares, Placement Shares, and any public shares in connection with the completion of the Business Combination in connection with a shareholder vote to approve an amendment to the Issuer's amended and restated memorandum and articles of association (A) to modify the substance or timing of the Issuer's obligation to allow redemption in connection with the Issuer's Business Combination or certain amendments to the Issuer's amended and restated memorandum and articles of association prior thereto or to redeem 100% of the Issuer's public shares if the Issuer does not complete the Business Combination within 12 months from the closing of the IPO (the \"Combination Period\") or (B) with respect to any other provision relating to shareholders' rights or pre-Business Combination activity and (iii) waive its rights to liquidating distributions from the trust account with respect to its Founder Shares and the Placement Shares if the Issuer fails to complete the Business Combination within the Combination Period, although Sponsor will be entitled to liquidating distributions from the trust account with respect to any public shares it holds if the Issuer fails to complete the Business Combination within the Combination Period.\n\nPursuant to the Letter Agreement, Sponsor agreed to vote any Founder Shares, Placement Shares and any public shares purchased during or after the IPO (including in open market and privately negotiated transactions) in favor of the Business Combination. If the Issuer submits the Business Combination to its public shareholders for a vote, the Issuer will complete the Business Combination only if a majority of the outstanding ordinary shares voted are voted in favor of the Business Combination.\n\nFurther pursuant to the Letter Agreement, Sponsor has agreed not to transfer, assign or sell the Founder Shares and any Class A ordinary shares purchased during or after the IPO, as applicable, until the earlier of (i) six months after the date of the consummation of the Business Combination or (ii) the date on which the closing price of the Class A ordinary shares equals or exceeds $15.00 per share (as adjusted for share sub-divisions, share dividends, rights issuances, reorganizations, recapitalizations and the like) for any 20 trading days within any 30-trading day period commencing after the Business Combination or (y) the date on which the Issuer completes a liquidation, merger, share exchange, reorganization or other similar transaction that results in all of the Issuer's public shareholders having the right to exchange their ordinary shares for cash, securities or other property.\n\nPursuant to the Letter Agreement, Sponsor also has agreed that the Placement Units (including the underlying Placement Shares and the Class A ordinary shares issuable upon conversion of the Placement Share Rights) will not be transferable, assignable or salable until 30 days after the completion of the Business Combination, subject to certain exceptions.\n\nThe description of the Letter Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.5 to the Issuer's Current Report on Form 8-K filed May 22, 2026 (and is incorporated by reference herein as Exhibit 10.3).\n\nRegistration Rights Agreement\n\nIn connection with the closing of the IPO, the Issuer entered into a registration rights agreement (the \"Registration Rights Agreement\") with Sponsor and other parties named thereunder on May 20, 2026. Pursuant to the Registration Rights Agreement, holders of Founder Shares, Representative Shares (defined in Item 5 below), Placement Units (including securities underlying such Placement Units), any Class A ordinary shares issuable upon conversion of the Founder Shares, and any units that may be issued in connection with working capital loans, in the Registration Rights Agreement are entitled to make up to three demands that the Issuer offer such securities in an underwritten offering. These holders also have certain \"piggy-back\" registration rights with respect to certain underwritten offerings the Issuer may conduct. The holders of the Private Units (including the underlying securities) and the Class A ordinary shares issued to the Underwriters also will be entitled to registration rights. These registration rights are limited to one demand and unlimited \"piggy-back\" rights for periods of five and seven years, respectively, from the commencement of sales of the IPO.\n\nThe description of the Letter Agreement is qualified in its entirety by reference to the full text of such agreement, a copy of which was filed as Exhibit 10.2 to the Issuer's Current Report on Form 8-K filed May 22, 2026 (and is incorporated by reference herein as Exhibit 10.4).\n\nGeneral\n\nThe Reporting Persons acquired the securities described in this Schedule 13D for investment purposes and intend to review their investments in the Issuer on a continuing basis. Subject to the terms of the Letter Agreement, any actions the Reporting Persons might undertake may be made at any time and from time to time without prior notice and will be dependent upon the Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nSubject to the terms of the Letter Agreement and applicable rules, the Reporting Persons may acquire additional securities of the Issuer or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions, including pursuant to registered transactions pursuant to the Registration Rights Agreement. In addition, the Reporting Persons may engage in discussions with management, the Issuer's board of directors (the \"Board\"), and securityholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or other transaction that could result in the de-listing or de-registration of the Class A ordinary shares; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board. There can be no assurance, however, that any Reporting Person will propose such a transaction or that any such transaction would be successfully implemented.\n\nOther than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2093524/000121390026063717/0001213900-26-063717-index.html" }, { "accession_no": "0001213900-26-063632", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2083632, "issuer_name": "Octave Intelligence plc", "issuer_cusip": "G22845104", "securities_class_title": "Class B Ordinary Shares", "date_of_event": "2026-05-22", "filed_date": "2026-06-01", "item3_funds_source": "The information set forth in Item 4 is incorporated by reference into this Item 3.", "item4_transaction_purpose": "On May 22, 2026, Hexagon AB (\"Hexagon\") effected the Distribution (as defined below). On April 24, 2026, the general meeting of shareholders of Hexagon approved the spin-off of Hexagon's Asset Lifecycle Intelligence business, Safety, Infrastructure & Geospatial business, ETQ business and Bricsys business into a separate publicly traded company, which became Octave. This Item 4 relates to the pro rata distribution by Hexagon to holders of its Class A shares and Class B shares of all of the issued share capital of Octave (the \"Distribution\"). The Distribution was completed on May 22, 2026 (the \"Distribution Date\").\n\nIn connection with the Distribution, (i) holders of record of Hexagon Class A shares as of May 22, 2026 (the \"Record Date\") received one Octave Class A Share for every ten Hexagon Class A shares held on the Record Date, and (ii) holders of record of Hexagon Class B shares as of the Record Date received one Octave Class B Share for every ten Hexagon Class B shares held on the Record Date. No fractional Octave Class A Shares or Class B Shares were distributed; instead, fractional interests were aggregated and sold, with net cash proceeds distributed pro rata to the applicable holders.\n\nAs a result of the Distribution, on the Distribution Date, MSAB directly acquired, and each of the other Reporting Persons may be deemed to have indirectly acquired, beneficial ownership of an aggregate of 58,433,144 Class B Shares, consisting of 11,025,000 Class A Shares and 47,408,144 Class B Shares. Also as a result of the Distribution, on the Distribution Date, Ms. Hogberg directly acquired beneficial ownership of 1,050 Class B shares.\n\nOther than as set forth in this Item 4, the Reporting Persons do not have any current plans or proposals that relate to or would result in any of the matters referred to in paragraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons intend to review their investment in Octave on a continuing basis and, depending on various factors, including, without limitation, Octave's financial position, the trading price of Class B Shares, conditions in the securities market and general economic and industry conditions, the Reporting Persons may, in the future, take such actions with respect to their Octave shares as they deem appropriate, including, without limitation, purchasing Octave shares, selling Octave shares, taking any action to change the composition of Octave's board of directors, taking any other action with respect to Octave or any of its securities in any manner permitted by law or otherwise changing their intention with respect to any and all matters referred to in paragraphs (a) through (j) of Item 4.\n\nThe information set forth in Item 6 is incorporated by reference into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2083632/000121390026063632/0001213900-26-063632-index.html" }, { "accession_no": "0001193125-26-252050", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1720116, "issuer_name": "Red Violet, Inc.", "issuer_cusip": "75704L104", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-01", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nAs described in Item 2, on June 1, 2026, the Reporting Persons mutually agreed to dissolve and terminate their informal oral agreement to act as a \"group\" for purposes of Regulation 13D solely with respect to the Common Stock of the Company. In connection with such termination, each of the Reporting Persons acknowledged and agreed that they are no longer members of a \"group\" within the meaning of Section 13(d)(3) of the Exchange Act. Accordingly, effective as of June 1, 2026, the Reporting Persons no longer may be deemed a \"group\" within the meaning of Section 13 (d)(3) of the Exchange Act and each of Messrs. Dubner, MacLachlan, Reilly and Dell, separately beneficially owns less than 5% of the outstanding Common Stock of the Company and shall cease to be Reporting Persons immediately after the filing of this Amendment No. 1.\n\nThe Reporting Persons regularly review their investments in the Company and, based upon such review, reserve their rights to take such actions on an individual basis in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time. The Reporting Persons may take such actions with respect to their investments in the Company as they deem appropriate, including, without limitation, purchasing additional shares of Common Stock or other financial instruments related to the Company or selling some or all of their beneficial or economic holdings with respect to the securities relating to the Company, and/or changing their intention with respect to any and all matters referred to in Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1720116/000119312526252050/0001193125-26-252050-index.html" }, { "accession_no": "0001193125-26-252011", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1720116, "issuer_name": "Red Violet, Inc.", "issuer_cusip": "75704L104", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-06-01", "filed_date": "2026-06-01", "item3_funds_source": "The shares of Common Stock reported herein as beneficially owned by each Reporting Person and for which he holds sole voting and dispositive power were acquired upon the vesting of restricted stock units (\"RSUs\") granted by the Company to each such individual in consideration for his service as an employee of the Company or through purchases of shares of Common Stock in the open market from third parties through a broker.", "item4_transaction_purpose": "The Reporting Persons mutually agreed that (i) Messrs. Dubner, MacLachlan and Reilly would each sell 12,000 shares of Common Stock and (ii) Mr. Dell would sell 10,000 shares of Common Stock on the same date and for the same price, for an aggregate amount of 46,000 shares of Common Stock for tax and estate planning purposes.\n\nAdditionally, each of the Reporting Persons may be awarded additional equity in consideration for their service as executive officers of the Company as described in Item 2 herein.\n\nThe Reporting Persons have no present plans or proposals which would result in, or are related to, any of the transactions described in subparagraphs (a) through (j) of Item 4 under Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1720116/000119312526252011/0001193125-26-252011-index.html" }, { "accession_no": "0001193125-26-251900", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 894556, "issuer_name": "CitroTech Inc.", "issuer_cusip": "369759204", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe information in Item 4 of this Amendment No. 3 is hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "The information in Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn May 28, 2026, the Issuer and BoltRock Holdings LLC (\"BoltRock\") entered into a Stock Exchange and Stockholders Agreement (the \"Agreement\"), pursuant to which BoltRock exchanged 302,526 shares of Series A Preferred Stock for 103,558 shares of Series C Convertible Preferred Stock for no additional consideration (the \"Series A Exchange\"). The Series A Exchange closed on May 28, 2026.\n\nAmong other things, the Agreement also provides that: (i) for so long as BoltRock beneficially owns at least 10% of the Issuer's issued and outstanding common stock (\"Common Shares\"), assuming the conversion of all outstanding derivative securities BoltRock holds into Common Shares, BoltRock has the right, but not the obligation, to appoint or replace, as applicable, one member of the Issuer's board of directors (the \"Board\") and any committee of the Board (and, if BoltRock has not so appointed a member of the Board, BoltRock instead has the right to appoint a Board observer); (ii) the Issuer may not, without the prior written consent of BoltRock (a) for 12 months following May 28, 2026, hire or terminate any individual to a C-suite level or equivalent executive position or (b) enter into any transaction, agreement or arrangement, or any amendment or termination of or waiver under any transaction, agreement or arrangement between or among the Issuer, TC Special Investments, LLC or any of their respective affiliates or any director, officer or employee thereof, as applicable; (iii) the Issuer must use commercially reasonable efforts to facilitate any sale of equity securities of the Issuer by BoltRock pursuant to Rule 144 under the Securities Act of 1933, as amended, including causing the removal of any restrictive legend or similar restriction on the Issuer securities held by BoltRock or any of its affiliates; (iv) the Issuer must use commercially reasonable efforts to file a registration statement with the SEC registering the resale of certain equity securities of the Issuer held by BoltRock as may be requested by BoltRock; and (v) for 18 months following May 28, 2026, BoltRock may not sell any shares of Series C Convertible Preferred Stock acquired from the Exchange without the Issuer's prior written consent, subject to certain limited exceptions.\n\nThe above description of the Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the agreement, which is filed as an exhibit hereto and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/894556/000119312526251900/0001193125-26-251900-index.html" }, { "accession_no": "0001193125-26-251853", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1395942, "issuer_name": "OPENLANE, Inc. (f/k/a KAR Auction Services, Inc.)", "issuer_cusip": "48238T109", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nThe information set forth in Item 5 of this Amendment No. 4 is hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1395942/000119312526251853/0001193125-26-251853-index.html" }, { "accession_no": "0001104659-26-069127", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1840502, "issuer_name": "Taboola.com Ltd.", "issuer_cusip": "M8744T106", "securities_class_title": "Ordinary Shares, No Par Value", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1840502/000110465926069127/0001104659-26-069127-index.html" }, { "accession_no": "0001104659-26-068674", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 789570, "issuer_name": "MGM RESORTS INTERNATIONAL", "issuer_cusip": "552953101", "securities_class_title": "COMMON STOCK, PAR VALUE $0.01 PER SHARE", "date_of_event": "2026-06-01", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": "The information contained in Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following information:\n\nOn June 1, 2026, IAC submitted to the board of directors of the Issuer (the \"Board\") a letter setting forth a non-binding proposal to acquire all of the outstanding shares of Common Stock of the Issuer that are not owned by IAC for cash consideration of $48.30 per share of Common Stock (the \"Proposal\"). A copy of the Proposal is filed as Exhibit 99.1 to this Amendment No. 8, and the information set forth in the Proposal is incorporated by reference herein.\n\nThe Proposal may result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, including, without limitation, an acquisition of additional securities of the Issuer, an extraordinary corporate transaction (such as a merger) involving the Issuer, delisting of the Common Stock from the New York Stock Exchange and other material changes in the Issuer's business or corporate structure.\n\nThe Reporting Persons and their representatives expect to discuss the Proposal and related matters with the Issuer, the Board (or any applicable committees thereof) and their respective representatives, as well as potential financing sources, shareholders of the Issuer and of IAC and other interested parties. The Reporting Persons do not intend to provide additional disclosures regarding the Proposal unless a definitive agreement has been reached unless disclosure is otherwise required under applicable U.S. securities laws.\n\nNo assurances can be given that a definitive agreement will be reached or that the transactions contemplated by the Proposal, or any transactions of a similar type, will be consummated. The Reporting Persons reserve the right to modify or withdraw the Proposal at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/789570/000110465926068674/0001104659-26-068674-index.html" }, { "accession_no": "0001104659-26-068592", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1697818, "issuer_name": "Amber International Holding Limited", "issuer_cusip": "45113Y203", "securities_class_title": "Class A Ordinary Shares, par value of $0.001 per share", "date_of_event": "2026-05-29", "filed_date": "2026-06-01", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended by adding the following paragraphs:\n\nOn May 29, 2026, pursuant to the unanimous written resolutions of the board of directors of the Issuer dated May 29, 2026, AGL effected a pro-rata in-kind distribution to its shareholders of all 309,834,748 Class A Ordinary Shares previously held by AGL in the Issuer (the \"Share Distribution\"). The Share Distribution was effected in connection with the restructuring of AGL's investment holdings. Immediately following the Share Distribution, AGL held no Class A Ordinary Shares of the Issuer and Amber Primary Unit Holding Limited ceased to beneficially own more than five percent of the outstanding Class A Ordinary Shares of the Issuer.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended by adding the following paragraphs:\n\nThe information set forth in or incorporated by reference into Item 3 of this Amendment is hereby incorporated by reference in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1697818/000110465926068592/0001104659-26-068592-index.html" }, { "accession_no": "0000950142-26-001572", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1712189, "issuer_name": "Target Hospitality Corp.", "issuer_cusip": "87615L107", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1712189/000095014226001572/0000950142-26-001572-index.html" }, { "accession_no": "0000950103-26-008230", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1920406, "issuer_name": "Strive, Inc.", "issuer_cusip": "862945300", "securities_class_title": "Class A Common Stock, $0.001 par value", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1920406/000095010326008230/0000950103-26-008230-index.html" }, { "accession_no": "0000947871-26-000592", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1661998, "issuer_name": "Q32 Bio Inc.", "issuer_cusip": "746964105", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": "On May 26, 2026, the Issuer entered into a securities purchase agreement (the \"Purchase Agreement\") with certain accredited investors (the \"PIPE Investors\"), pursuant to which the Issuer agreed to issue and sell to the PIPE Investors in a private placement (the \"Private Placement\") an aggregate of (i) 6,725,000 Shares and (ii) pre-funded warrants (the \"Pre-Funded Warrants\") to purchase 150,000 Shares. The price per purchased Share was $8.00 and the price per purchased Pre-Funded Warrant was $7.9999. The Private Placement closed on May 28, 2026. In connection with the Private Placement, OrbiMed Private Investments VII, LP (\"OPI VII\") purchased 1,250,000 Shares and OrbiMed Genesis Master Fund, L.P. (\"Genesis\") purchased 625,000 Shares.", "item4_transaction_purpose": "The Reporting Persons from time to time intend to review their investment in the Issuer on the basis of various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's Shares in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Persons will take such actions in the future as the Reporting Persons may deem appropriate in light of the circumstances existing from time to time. If the Reporting Persons believe that further investment in the Issuer is attractive, whether because of the market price of Shares or otherwise, they may acquire Shares or other securities of the Issuer either in the open market or in privately negotiated transactions. Similarly, depending on market and other factors, the Reporting Persons may determine to dispose of some or all of the Shares currently owned by the Reporting Persons or otherwise acquired by the Reporting Persons either in the open market or in privately negotiated transactions.\n\nExcept as set forth in this Schedule 13D, the Reporting Persons have not formulated any plans or proposals which relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer, (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries, (c) a sale or transfer of a material amount of the assets of the Issuer or any of its subsidiaries, (d) any change in the present Board of Directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board, (e) any material change in the Issuer's capitalization or dividend policy of the Issuer, (f) any other material change in the Issuer's business or corporate structure, (g) any change in the Issuer's charter or bylaws or other instrument corresponding thereto or other action which may impede the acquisition of control of the Issuer by any person, (h) causing a class of the Issuer's securities to be deregistered or delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association, (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1661998/000094787126000592/0000947871-26-000592-index.html" }, { "accession_no": "0000929638-26-002101", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1385613, "issuer_name": "GREENLIGHT CAPITAL RE, LTD.", "issuer_cusip": "G4095J109", "securities_class_title": "Ordinary Shares, par value $0.10", "date_of_event": "2026-06-01", "filed_date": "2026-06-01", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D filed by the Reporting Persons with respect to the Ordinary Shares, as amended, is supplemented as follows:\r\n\r\nIn order to reduce the likelihood of any adverse tax consequences to holders of Ordinary Shares due to the repurchase of Ordinary Shares made by the Company pursuant to and in accordance with the Company's Rule 10b5-1 repurchase agreement, on June 1, 2026 the Company and the Trust entered into an Ordinary Share Repurchase Agreement (the \"Agreement\"), pursuant to which the Company agreed to repurchase from the Trust and the Trust agreed to sell to the Company, on August 3, 2026, a number of Ordinary Shares calculated pursuant to the Agreement at the weighted average price per share determined pursuant to the Agreement.\r\n\r\nThe foregoing description of the Agreement is qualified in its entirety by reference to the full text of such document, a copy of which is filed as Exhibit 99.2 hereto and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1385613/000092963826002101/0000929638-26-002101-index.html" }, { "accession_no": "0000921895-26-001521", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 827187, "issuer_name": "Sleep Number Corp", "issuer_cusip": "83125X103", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares beneficially owned by Stadium Capital were purchased using their investment capital or funds under management. The aggregate purchase price of 953,478 Shares beneficially owned by Stadium Capital was approximately $14,724,838 (including brokerage commissions and transaction costs).", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/827187/000092189526001521/0000921895-26-001521-index.html" }, { "accession_no": "0000899140-26-000621", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1649989, "issuer_name": "Outlook Therapeutics, Inc.", "issuer_cusip": "69012T305", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": "The response to Item 3 in the Schedule 13D is hereby amended to add the following after the last paragraph: \r\n\r\nThe source of funds for the purchases in the May 2026 Offering (as defined below) was the working capital of GMS Ventures and capital contributions made to GMS Ventures.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended to add the following after the last paragraph:\r\n\r\nOn May 28, 2026, GMS Ventures entered into a securities purchase agreement with the Issuer (the \"May 2026 SPA\") pursuant to which the Issuer agreed to sell, and GMS Ventures agreed to purchase, 8,539,709 Shares at the price of $0.5855 per Share, for an aggregate purchase price of approximately $5.0 million in a registered direct offering (the \"May 2026 Offering\"), subject to customary closing conditions. The May 2026 Offering closed on May 29, 2026.\r\nIn connection with the May 2026 Offering, on May 28, 2026, the Issuer entered into a warrant amendment agreement (the \"May 2026 Warrant Amendment\") with GMS Ventures pursuant to which the Issuer agreed to amend certain outstanding common stock warrants to purchase up to an aggregate of 15,488,570 shares of Common Stock previously issued to GMS Ventures in January 2025 and May 2025, with a weighted average exercise price of $1.78 per share, effective upon the closing of the May 2026 Offering, such that the amended warrants have a reduced exercise price of $0.5855 per share. Other than as described herein, the terms of the amended warrants remain unchanged.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649989/000089914026000621/0000899140-26-000621-index.html" }, { "accession_no": "0000899140-26-000618", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1802974, "issuer_name": "Mission Produce, Inc.", "issuer_cusip": "60510V108", "securities_class_title": "Common", "date_of_event": "2026-05-28", "filed_date": "2026-06-01", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\r\n\r\nThe Reporting Person originally acquired 4,458,750 shares of Common Stock for an aggregate price of $50,234,059.90. The Reporting Person subsequently acquired an additional (i) 842,220 shares of Common Stock for an aggregate price of $10,515,375.32, (ii) 1,021,178 shares of Common Stock for an aggregate price of $12,481,982.74, (iii) 842,095 shares of Common Stock for an aggregate price of $10,057,851.35, (iv) 1,673,043 shares of Common Stock for an aggregate price of $19,619,597.35, (v) 933,322 shares of Common Stock for an aggregate price of $11,817,870.67 using working capital from affiliates of the Reporting Person, (vi) 220,969 shares of Common Stock for an aggregate price of $2,628,524.51 and (vii) 549,360 shares of Common Stock received in exchange for 561,145 shares of Calavo Growers, Inc. (\"Calavo\") common stock in connection with the consummation of the previously announced transaction between the Issuer and Calavo (the \"Transaction\"). The Reporting Person originally acquired such shares of Calavo common stock for an aggregate purchase price of $14,931,161.09.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1802974/000089914026000618/0000899140-26-000618-index.html" }, { "accession_no": "0000038777-26-000168", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-05-29", "filed_date": "2026-06-01", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000168/0000038777-26-000168-index.html" }, { "accession_no": "0000038777-26-000167", "submission_type": "SCHEDULE 13D/A", "amendment_no": 35, "issuer_cik": 1794041, "issuer_name": "FRANKLIN BSP PRIVATE CREDIT FUND", "issuer_cusip": "35242N202", "securities_class_title": "ADVISOR CLASS SHARES OF BENEFICAL INTEREST", "date_of_event": "2026-05-29", "filed_date": "2026-06-01", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\n\nHoldCo has acquired a total of 4,955,483 Shares for an aggregate purchase price of $49,900,000, having acquired on August 18, 2021 90,000 Shares, on October 3, 2022 2,400,000 Shares, and on April 28,2023 2,465,483 Shares; in addition, HoldCo acquired on August 18, 2021 a total of 10,000 Class A Shares of Beneficial Interest of the Issuer for an aggregate purchase price of $100,000. HoldCo paid for all of such shares from its working capital.\n\nFRI, C. Johnson and R. Johnson, Jr. do not own directly any shares of the Issuer .", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy. Franklin Global Allocation Fund acquired the Shares for investment purposes.\n\nExcept as described above, none of the investment management subsidiaries of FRI, and none of any of the other reporting persons covered by this Schedule 13D, currently has any plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1794041/000003877726000167/0000038777-26-000167-index.html" }, { "accession_no": "0002135648-26-000008", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2118032, "issuer_name": "Research Alliance Corporation III", "issuer_cusip": "G75226103", "securities_class_title": "Class A Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-29", "item3_funds_source": "On February 25, 2026, RA Holdings III paid $25,000 to cover certain expenses on the Issuer's behalf in exchange for the issuance of 1,014,706 Class B ordinary shares, or approximately $0.02 per share. The number of Class B ordinary shares issued was determined based on the expectation that the Class B ordinary shares would represent 15% of the Issuer's issued and outstanding ordinary shares (excluding the Private Placement Shares, as defined below) upon the consummation of the Issuer's initial public offering (the \"IPO\"). In March 2026, RA Holdings III transferred 30,000 Class B ordinary shares to each of Michael F. MacLean and Timothy J. Miller, who serve as outside directors of the Issuer. To maintain the ownership of the Issuer's initial shareholders (and their permitted transferees), on an as-converted basis, at 15% of the Issuer's issued and outstanding ordinary shares (excluding the Private Placement Shares) upon the consummation of the IPO, in May 2026, the Issuer effected a share capitalization pursuant to which an additional 290,563 Class B ordinary shares were issued to RA Holdings III and an additional 9,130 Class B ordinary shares were issued to each of Mr. MacLean and Mr. Miller. Following the share capitalization, RA Holdings III now holds 1,245,269 Class B ordinary shares. The Class B ordinary shares (including the Class A ordinary shares issuable upon conversion thereof) may not, subject to certain limited exceptions, be transferred, assigned or sold by the holder thereof.\n\nSimultaneously with the closing of the IPO on May 21, 2026, the Issuer consummated the private placement (\"Private Placement\") of 275,000 Class A ordinary shares (the \"Private Placement Shares\") to RA Holdings III at a price of $10.00 per share. The total purchase price of the Private Placement Shares was $2,750,000.\n\nAll purchases of the securities described herein were for cash and were funded by capital contributions to RA Holdings III from its equity owners, which are investment funds affiliated with RA Capital Management, L.P.", "item4_transaction_purpose": "RA Holdings III acquired the Class A ordinary shares and Class B ordinary shares reported herein for investment purposes. Although the Reporting Persons currently have no plan or proposal to acquire any additional Issuer securities or to dispose of any of the Issuer securities reported herein, the Reporting Persons may, from time to time (including following the completion of the Issuer's initial business combination), acquire additional equity securities or debt securities of the Issuer, which debt securities may be convertible or non-convertible, secured or unsecured, and could involve the monetization of potential revenue streams deriving from development-stage or commercial programs of the Issuer, or dispose of Issuer securities they beneficially own, on the open market or in private transactions or otherwise (including by means of 10b5-1 programs), consistent with their investment purposes and in amounts, on such terms and at such times as to be determined by the Reporting Persons based upon a number of factors, including, without limitation, their ongoing assessment of the Issuer's business prospects, the availability of Issuer securities at prices that would make the purchase or sale of such securities desirable, prevailing market conditions, the availability of other investment opportunities, and/or other considerations.\n\nThe Class A ordinary shares and Class B ordinary shares held by RA Holdings are subject to certain lock-up restrictions as further described in Item 6 below. Except for the foregoing, the Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. With respect to paragraph (b) of Item 4, the Issuer is a blank check company formed for the purpose of effecting a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. Under various agreements between the Issuer and the Reporting Persons as further described in Item 6 below, the Reporting Persons have agreed (A) to vote their shares in favor of any proposed initial business combination and (B) not to redeem any shares in connection with a shareholder vote to approve a proposed initial business combination. The Reporting Persons may, at any time and from time to time, review or reconsider their position, change their purpose or formulate plans or proposals with respect to the Issuer.\n\nMr. Hammond currently serves as the Chief Executive Officer and a director of the Issuer and, therefore, will engage in regular discussions with the Issuer's board of directors and management as part of his duties.\n\nThe information in Items 3 and 6 hereof are incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2118032/000213564826000008/0002135648-26-000008-index.html" }, { "accession_no": "0001753926-26-000951", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1947210, "issuer_name": "High Roller Technologies, Inc.", "issuer_cusip": "42981K100", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-04-28", "filed_date": "2026-05-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1947210/000175392626000951/0001753926-26-000951-index.html" }, { "accession_no": "0001682638-26-000008", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1740279, "issuer_name": "IN8BIO, INC.", "issuer_cusip": "45674E208", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1740279/000168263826000008/0001682638-26-000008-index.html" }, { "accession_no": "0001493152-26-026480", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1837240, "issuer_name": "Symbotic Inc.", "issuer_cusip": "87151X101", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1837240/000149315226026480/0001493152-26-026480-index.html" }, { "accession_no": "0001493152-26-026459", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1828972, "issuer_name": "BuzzFeed, Inc.", "issuer_cusip": "12430A300", "securities_class_title": "Class A Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-29", "item3_funds_source": "On May 11, 2026, the Issuer entered into a Stock Purchase Agreement (as amended by that certain Amendment No. 1, dated May 22, 2026, the \"Stock Purchase Agreement\") with AFD, pursuant to which the Issuer agreed to issue and sell to AFD 40,000,000 shares of Class A Common Stock at a purchase price of $3.00 per share of Class A Common Stock, for aggregate consideration of $120.0 million (the \"Transaction\") comprised of (i) $20.0 million in cash to be paid to the Issuer at closing of the Transaction (the \"Closing\") and (ii) a five-year secured promissory note (the \"Promissory Note\") in the principal amount of $100.0 million. The Transaction closed on May 26, 2026 (the \"Closing Date\").", "item4_transaction_purpose": "Stock Purchase Agreement\n\nThe description of the Stock Purchase Agreement in Item 3 is incorporated herein by reference. Pursuant to the Stock Purchase Agreement, the Issuer has agreed to file a registration statement with the Securities and Exchange Commission (the \"SEC\") within 60 days following any request by AFD for purposes of registering the resale of the shares of Class A Common Stock acquired in the Transaction (the \"Registration Statement\"), to use commercially reasonable efforts to have such Registration Statement declared effective as promptly as practicable after the filing, and to keep the Registration Statement effective until the earlier of the date that all registrable securities covered by the Registration Statement (i) have been sold thereunder or pursuant to Rule 144 of the Securities Act (\"Rule 144\") or (ii) may be sold without restriction under Rule 144 (including the volume and manner of sale limitations set forth in Rule 144).\n\nPromissory Note\n\nThe Promissory Note bears interest at a rate of 5% per annum, with interest payable semi-annually on the last business day of each June and December. The Promissory Note matures on the fifth anniversary of the Closing Date. The Promissory Note is secured by a first priority security interest in 33.33 million shares of Class A common stock held by AFD. AFD may prepay all or any portion of the principal at any time without premium or penalty, subject to one business day's notice and a minimum prepayment amount of $1.0 million. Any material amendment, modification or waiver of the Promissory Note requires the approval of a majority of the disinterested directors on the Issuer's Board of Directors (the \"Board\").\n\nDirector Appointment Agreement\n\nOn May 11, 2026, the Issuer, AFD and Jonah Peretti, LLC entered into a Director Appointment Agreement (as amended by that certain Amendment No. 1, dated May 22, 2026, the \"Director Appointment Agreement\"), pursuant to which, effective as of the Closing Date, the Board will be expanded from four to nine directors. Pursuant to the Director Appointment Agreement, (A) AFD has the right (i) as of the Closing Date to appoint five directors and (ii) following the 2026 annual meeting of the Issuer's shareholders (the \"2026 Annual Meeting\") (x) to appoint one additional director (at such time Gregory Coleman shall resign), (y) to appoint two-thirds of the Board provided AFD beneficially owns 40% or more of the Issuer's then-outstanding Class A common stock and (z) to appoint a majority of the directors provided AFD beneficially owns less than 40% but equal to or more than 20% of the Issuer's then-outstanding Class A common stock and (B) Jonah Peretti, LLC has the right to appoint one director, who initially will be Mr. Peretti. Following the expiration of Mr. Peretti's current term as a Class I director of the Board and if the Issuer is required to have a majority of independent directors pursuant to applicable listing rules, Mr. Peretti's appointee will be independent. In addition, each of AFD and Jonah Peretti, LLC has agreed pursuant to the Director Appointment Agreement to vote all shares of the Issuer's Class A common stock beneficially owned by such party in favor of the other party's director nominees.\n\nThe Director Appointment Agreement terminates (A) with respect to Jonah Peretti, LLC's director appointment rights, on the earlier of (i) such time as Mr. Peretti is no longer serving as an officer or director of the Issuer or any subsidiary of the Issuer due to his removal or termination for cause or voluntary resignation, (ii) such time as Mr. Peretti beneficially owns less than 60% of the Class A common stock beneficially owned by Mr. Peretti as of the Closing Date and (iii) such time as Mr. Peretti beneficially owns less than 0.2% of the total shares of the outstanding Class A common stock and (B) with respect to AFD's director appointment rights, at such time as AFD owns less than 5% of the then-outstanding Class A common stock.\n\nOn the Closing Date, Mr. Folks was appointed as Chief Executive Officer of the Issuer, a Class I director and Chairman of the Board. In addition, the Board appointed Chris Malone, Eric Gould, Sydnie Karras and Terence Hill to serve as directors in accordance with the terms of the Director Appointment Agreement.\n\nThe foregoing description of the Stock Purchase Agreement, the Promissory Note and the Director Appointment Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of such agreements, copies of which are filed as exhibits to this Schedule 13D and are incorporated herein by reference.\n\nGeneral\n\nThe Reporting Persons acquired the securities described in this Schedule 13D in connection with the Transaction, and they intend to review their investments in the Issuer on a continuing basis. Any actions the Reporting Persons might undertake will be dependent upon the Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nThe Reporting Persons may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. In addition, the Reporting Persons may engage in discussions with management, the Issuer's Board, and other securityholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or take-private transaction that could result in the de-listing or de-registration of the Class A Common Stock; security offerings and/or stock repurchases by the Issuer; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nTo facilitate their consideration of such matters, the Reporting Persons may retain consultants and advisors and may enter into discussions with potential sources of capital and other third parties. The Reporting Persons may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements. The Reporting Persons will likely take some or all of the foregoing steps at preliminary stages in their consideration of various possible courses of action before forming any intention to pursue any particular plan or direction.\n\nOther than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828972/000149315226026459/0001493152-26-026459-index.html" }, { "accession_no": "0001493152-26-026366", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2069785, "issuer_name": "GLOO HOLDINGS, INC.", "issuer_cusip": "379598105", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2069785/000149315226026366/0001493152-26-026366-index.html" }, { "accession_no": "0001297602-26-000032", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1835856, "issuer_name": "Better Home & Finance Holding Company", "issuer_cusip": "08774B508", "securities_class_title": "Class A common stock, par value $0.0001 per share", "date_of_event": "2026-04-09", "filed_date": "2026-05-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following at the end of Item 4 under the heading \"10b5-1 Trading Plan\":\n\nOn May 21, 2026, Mr. Garg terminated the Garg 2025 Trading Plan. On May 28, 2026, Mr. Garg entered into a new trading plan (the \"Garg 2026 Trading Plan\") intended to satisfy the affirmative defense condition of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Pursuant to the Garg 2026 Trading Plan, a broker dealer may make periodic purchases of up to an aggregate of $1.625 million of shares of Class A Common Stock on behalf of Mr. Garg.\n\nThe description of the Garg 2026 Trading Plan does not purport to be complete and is qualified in its entirety by the text of the Garg 2026 Trading Plan. The Garg 2026 Trading Plan was entered into with the same broker dealer and on substantially the same form as the Garg 2025 Trading Plan, previously filed as Exhibit 17 to the Schedule 13D, which form is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1835856/000129760226000032/0001297602-26-000032-index.html" }, { "accession_no": "0001273303-26-000004", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1433642, "issuer_name": "Hamilton Lane Incorporated", "issuer_cusip": "407497106", "securities_class_title": "Class A Common Stock, par value $0.001", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn November 7, 2025, Mr. Delgado-Moreira purchased 4,008 shares of Class A Common Stock at a weighted average purchase price of $129.84 and 3,992 shares of Class A Common Stock at a weighted average purchase price of $130.87.\nOn February 20, 2026, Mr. Hirsch purchased 9,225 shares of Class A Common Stock at a weighted average purchase price of $107.1285.\nOn February 20, 2026, Ms. Anigati purchased 2,325 shares of Class A Common Stock at a weighted average purchase price of $ 107.5318.\nOn February 20, 2026, Mr. Delgado-Moreira purchased 6,520 shares of Class A Common Stock at a weighted average purchase price of $107.1024 and 2,705 shares of Class A Common Stock at a weighted average purchase price of $107.5798.\nOn February 20, 2026, Mr. Giannini purchased 9,225 shares of Class A Common Stock at a weighted average purchase price of $107.3182.\nOn May 26, 2026 Mr. Rogers purchased 55,000 shares of Class A Common Stock at a weighted average purchase price of $90.05.\nOn May 26, 2026 Mr. Rogers purchased 55,000 shares of Class A Common Stock through a limited liability company at a weighted average purchase price of $90.05.\nOn May 27, 2026 Mr. Rogers purchased 466 shares of Class A Common Stock at a weighted average purchase price of $92.76.\nOn May 27, 2026 Mr. Rogers purchased 466 shares of Class A Common Stock through a limited liability company at a weighted average purchase price of $92.69.\n\n\nAll of these purchases were made with available funds of each purchaser.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nItem 3 to this Amendment No. 15 is hereby incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1433642/000127330326000004/0001273303-26-000004-index.html" }, { "accession_no": "0001213900-26-063065", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1939965, "issuer_name": "Brera Holdings PLC", "issuer_cusip": "G13311132", "securities_class_title": "Class B Ordinary Shares, $0.50 nominal value per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-29", "item3_funds_source": "On May 21, 2026, the Issuer entered into a subscription agreement (the \"Subscription Agreement\") with the Reporting Person, pursuant to which the Issuer agreed to issue and sell to the Reporting Person an aggregate of 1,149,000 Class B Ordinary Shares at a purchase price of $4.97 per share in a registered direct offering.", "item4_transaction_purpose": "The Reporting Person's acquisition of Class B Ordinary Shares reported on this Schedule 13D was for investment purposes. Mr. Sade has served as a member of the board of directors of the Issuer since September 2025 and as the Chief Executive Officer of the Issuer since May 2026, and in such capacities may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as disclosed in this Item, the Reporting Person does not have any current plans or proposals which relate to or would result in any of the events described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Person, however, expects to evaluate on a continuing basis his goals and objectives, other business opportunities available to him and may change his plans or proposals in the future. In determining from time to time whether to sell the securities reported as beneficially owned in this Schedule 13D (and in what amounts) or to retain such securities, the Reporting Person will take into consideration such factors as he deems relevant, including the business and prospects of the Company, anticipated future developments concerning the Company, existing and anticipated market conditions from time to time, general economic conditions, regulatory matters, and other opportunities available to the Reporting Person. In addition, the Reporting Person may, from time to time, transfer shares beneficially owned by him for tax, estate or other economic planning purposes. The Reporting Person reserves the right to acquire additional securities of the Issuer in the open market, in privately negotiated transactions (which may be with the Issuer or with third parties) or otherwise, to dispose of all or a portion of his holdings of securities of the Issuer or to change his intention with respect to any or all of the matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1939965/000121390026063065/0001213900-26-063065-index.html" }, { "accession_no": "0001213900-26-063064", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1939965, "issuer_name": "Brera Holdings PLC", "issuer_cusip": "G13311132", "securities_class_title": "Class B Ordinary Shares, $0.50 nominal value per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-29", "item3_funds_source": "On May 21, 2026, the Issuer entered into a subscription agreement (the \"Subscription Agreement\") with the Reporting Person, pursuant to which the Issuer agreed to issue and sell to the Reporting Person an aggregate of 1,149,000 Class B Ordinary Shares at a purchase price of $4.97 per share in a registered direct offering.", "item4_transaction_purpose": "The Reporting Person's acquisition of Class B Ordinary Shares reported on this Schedule 13D was for investment purposes. Ms. Maimon has served as a director of the Issuer since September 2025, and in such capacity may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as disclosed in this Item, the Reporting Person does not have any current plans or proposals which relate to or would result in any of the events described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Person, however, expects to evaluate on a continuing basis her goals and objectives, other business opportunities available to her and may change her plans or proposals in the future. In determining from time to time whether to sell the securities reported as beneficially owned in this Schedule 13D (and in what amounts) or to retain such securities, the Reporting Person will take into consideration such factors as he deems relevant, including the business and prospects of the Company, anticipated future developments concerning the Company, existing and anticipated market conditions from time to time, general economic conditions, regulatory matters, and other opportunities available to the Reporting Person. In addition, the Reporting Person may, from time to time, transfer shares beneficially owned by her for tax, estate or other economic planning purposes. The Reporting Person reserves the right to acquire additional securities of the Issuer in the open market, in privately negotiated transactions (which may be with the Issuer or with third parties) or otherwise, to dispose of all or a portion of her holdings of securities of the Issuer or to change her intention with respect to any or all of the matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1939965/000121390026063064/0001213900-26-063064-index.html" }, { "accession_no": "0001213900-26-062790", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2022416, "issuer_name": "Silexion Therapeutics Corp", "issuer_cusip": "G1281K130", "securities_class_title": "Ordinary Shares, par value $0.0135 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-29", "item3_funds_source": "On September 15, 2025, Silexion Therapeutics Corp, a Cayman Islands exempted company (\"Silexion\" or the \"Issuer\") issued 450,000 ordinary shares, par value $0.0135 per share, of Silexion, to Moringa Sponsor, LP (the \"Sponsor\") upon conversion by Silexion of an aggregate of $1.8 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, in an original principal amount of $3.4 million, issued by Silexion to the Sponsor.\n\nMoringa Sponsor, LP expressly disputes the validity of the issuance of the 450,000 ordinary shares reported herein and does not concede beneficial ownership of such shares.\n\nOn May 14, 2026, Silexion issued 925,004 ordinary shares, par value $0.0135 per share, of Silexion to the Sponsor upon conversion by Silexion of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, in an original principal amount of $3.4 million, issued by Silexion to the Sponsor.\n\nMoringa Sponsor, LP expressly disputes the validity of the issuance of the 925,004 ordinary shares reported herein and does not concede beneficial ownership of such shares.", "item4_transaction_purpose": "The information contained in Item 3 is incorporated by reference in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2022416/000121390026062790/0001213900-26-062790-index.html" }, { "accession_no": "0001213900-26-062596", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1649752, "issuer_name": "Nouveau Monde Graphite Inc.", "issuer_cusip": "66979W842", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-05-15", "filed_date": "2026-05-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn May 15, 2026, NMG completed a USD309.5 million equity financing; this transaction has resulted in Pallinghurst Bond being diluted to below 5.00% on a part-diluted basis and therefore ceasing to be Reporting Person, which has led to the filing of this final Amendment No. 5.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649752/000121390026062596/0001213900-26-062596-index.html" }, { "accession_no": "0001213900-26-062386", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1852973, "issuer_name": "Borealis Foods Inc.", "issuer_cusip": "09973D105", "securities_class_title": "Common Shares, par value $0.0001 per share", "date_of_event": "2026-04-27", "filed_date": "2026-05-29", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and supplemented as follows:\n\nPursuant to the Credit Agreement, Oxus Capital has agreed to extend credit to the Borrowers in the aggregate principal amount of up to $17 million. The source of funds for the credit extension is working capital of Oxus Capital derived from capital contributions from its members.\n\nSeparately, Oxus Capital has advanced funds to the Borrowers from time to time in the aggregate amount of approximately $11.1 million as of April 27, 2026 (the \"Indebtedness\"), as set forth in the Conversion Agreement. The Indebtedness represents amounts previously advanced by Oxus Capital to the Borrowers and does not include the Obligations (as defined in the Credit Agreement).", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented as follows:\n\nCredit Agreement\n\nOn April 27, 2026, Oxus Capital entered into the Credit Agreement with the Borrowers and the Guarantors. The Credit Agreement provides for a credit facility in the aggregate principal amount of up to $17 million and is intended to provide working capital support to the Borrowers. The Credit Agreement contains customary covenants and events of default.\n\nConversion Agreement\n\nOn April 27, 2026, Oxus Capital, together with Z Ventures and Zargos (together with Oxus Capital, the \"Shareholders\"), entered into the Conversion Agreement with the Company and the Guarantors.\nPursuant to the Conversion Agreement, on or before July 1, 2026 (the \"Equity Raise Deadline\"), if the Company has not consummated one or more equity financings resulting in gross proceeds of at least $70,000,000 at a per share price of $9.00 per share (the \"Required Equity Financing\"), then, automatically and without further action by the parties, the entire amount of the Indebtedness owed to each Shareholder will convert into shares of the Company (the \"Automatic Conversion\"). The obligations arising under the Credit Agreement are expressly excluded from the Indebtedness subject to the Automatic Conversion.\n\nThe conversion price is equal to Fair Market Value (as defined in the Conversion Agreement). The exact number of Common Shares issuable upon the Automatic Conversion cannot be determined as of the date of this filing because the Fair Market Value has not yet been determined.\n\nThe right to acquire Common Shares upon conversion of the Indebtedness represents a plan or proposal relating to the acquisition of additional securities of the Issuer within the meaning of Item 4 of Schedule 13D. The Reporting Persons entered into the Conversion Agreement in connection with a broader financing arrangement and as part of their ongoing investment in and support of the Issuer's business operations.\n\nSubject to the agreements described herein, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans and may seek to influence management or the board of directors of the Issuer with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1852973/000121390026062386/0001213900-26-062386-index.html" }, { "accession_no": "0001193125-26-248643", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1750155, "issuer_name": "CHARLOTTE'S WEB HOLDINGS, INC.", "issuer_cusip": "16106R109", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-05-28", "filed_date": "2026-05-29", "item3_funds_source": "The information set forth in Item 4 of this Amendment No. 2 is incorporated by reference.", "item4_transaction_purpose": "On November 14, 2022, the Purchaser acquired C$75,341,080 aggregate principal amount of a 5.00% senior unsecured convertible debenture due November 14, 2029 (the \"Convertible Debenture\"), which is convertible, in whole or in part, at any time and from time to time, into Common Shares of the Issuer at a price of C$2.00 per Common Share.\n\nAs previously disclosed, on March 30, 2026, the Purchaser announced its intention to: (i) purchase from the Issuer, on a private placement basis, 14,662,765 Common Shares (collectively, the \"Purchased Shares\") for C$0.94 per Purchased Share, representing an aggregate purchase price for all of the Purchased Shares of C$13,873,000 (the \"Subscription Transaction\"), pursuant to a subscription agreement entered into on March 30, 2026 between the Purchaser and the Issuer (the \"Subscription Agreement\"); and (ii) in connection with and concurrently with the closing of the Subscription Transaction, enter into an agreement with the Issuer with respect to the Convertible Debenture, pursuant to which the Purchaser and the Issuer will agree to amend certain terms of the Convertible Debenture including, among others, to reduce the conversion price of the Convertible Debenture to C$0.94 per Common Share and the Purchaser will subsequently convert the outstanding principal and any accrued and unpaid interest thereunder into 95,281,277 Common Shares, effective on the closing of the Subscription Transaction (together with the Subscription Transaction, the \"Investment\"). The closing of the Investment occurred on May 28, 2026.\n\nOn completion of the Investment, the Purchaser has beneficial ownership of 109,944,042 Common Shares, representing approximately 40.6% of the issued and outstanding Common Shares (calculated on a non-diluted basis) based on 270,549,931 Common Shares issued and outstanding on completion of the Investment.\n\nIn connection with the issuance of the Convertible Debenture on November 14, 2022, the Purchaser and the Issuer entered into an investor rights agreement dated November 14, 2022, which, effective upon completion of the Investment, they amended and restated (the \"Amended and Restated Investor Rights Agreement\"). Pursuant to the Amended and Restated Investor Rights Agreement, the Purchaser has the right to nominate up to 40% of the board of directors of the Issuer (the \"Board\"), subject to the Purchaser maintaining certain share ownership thresholds; provided, that in no event shall the Purchaser be entitled to fewer than two nominees. The Purchaser has the right to nominate one nominee prior to the next meeting of shareholders to elect directors. The Purchaser may, subject to the terms and conditions of its nomination rights, replace its nominee directors from time to time. In addition, the Purchaser has been provided with certain governance rights, so long as it maintains certain share ownership thresholds, including approval rights over certain of the Issuer's actions, pre-emptive rights, top-up rights and customary registration rights. The Purchaser is entitled to engage with the Board regarding the Issuer's business and prospects. The Amended and Restated Investor Rights Agreement also includes customary standstill provisions for an additional two-year period as well as transfer restrictions for an additional period of 18 months.\n\nThe Purchaser also has the right, so long as it maintains certain share ownership thresholds, to participate in future equity offerings of the Issuer subject to the terms and conditions contained in the Amended and Restated Investor Rights Agreement.\n\nThe Purchaser undertook the Investment as part of a strategic investment in the Issuer. The Purchaser intends to review its investment in the Issuer on a continuing basis and may, subject to the terms of the Amended and Restated Investor Rights Agreement, depending upon a number of factors including market and other conditions, increase or decrease its beneficial ownership, control, direction or economic exposure over securities of the Issuer through market transactions, private agreements, treasury issuances, exercise of options, convertible securities, derivatives, swaps or otherwise.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1750155/000119312526248643/0001193125-26-248643-index.html" }, { "accession_no": "0001140361-26-023389", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1123452, "issuer_name": "Grupo Aeroportuario del Sureste, S.A.B. de C.V.", "issuer_cusip": "40051E202", "securities_class_title": "American Depositary Shares, each representing ten Series B Shares", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": "Item 3 of the Amended Schedule 13D is hereby amended by the following:\n\nThe information set forth in Item 5(c) of this Amended Schedule 13D is hereby incorporated by reference in this Item 3.\n\nSince the filing of Amendment No. 8, ADO purchased in the open market, an aggregate of 331,945 ADSs representing 7,322,200 Class B Shares for an aggregate purchase price of approximately $102,302,502.35. The funds used to purchase the securities described herein were provided from general funds available to ADO and their applicable subsidiaries and affiliates thereof.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1123452/000114036126023389/0001140361-26-023389-index.html" }, { "accession_no": "0001140361-26-023385", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 2068821, "issuer_name": "Grupo Aeroportuario del Sureste, S.A.B. de C.V.", "issuer_cusip": "40051E202", "securities_class_title": "American Depositary Shares, each representing ten Series B Shares", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": "Item 3 of the Amended Schedule 13D is hereby amended by the following:\n\nThe information set forth in Item 5(c) of this Amended Schedule 13D is hereby incorporated by reference in this Item 3.\n\nSince the filing of Amendment No. 8, ADO purchased in the open market, an aggregate of 331,945 ADSs representing 7,322,200 Class B Shares for an aggregate purchase price of approximately $102,302,502.35. The funds used to purchase the securities described herein were provided from general funds available to ADO and their applicable subsidiaries and affiliates thereof.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2068821/000114036126023385/0001140361-26-023385-index.html" }, { "accession_no": "0001123292-26-000773", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1563577, "issuer_name": "Galera Therapeutics, Inc.", "issuer_cusip": "36338D108", "securities_class_title": "Common stock, par value $0.001 per share (the \"Common Stock\")", "date_of_event": "2026-05-15", "filed_date": "2026-05-29", "item3_funds_source": "Item 3 of the Original 13D is supplemented and amended, as the case may be, as follows:\r\n\r\nThe response to Item 4 of this Amendment No. 1 is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of the Original 13D is supplemented and amended, as the case may be, as follows:\r\n\r\nOn May 14, 2026, the Issuer provided Emerald with a Notice of Mandatory Conversion of Series B Non-Voting Convertible Preferred Stock (the \"Mandatory Conversion Notice\") effective May 15, 2026 (the \"Mandatory Conversion\"). In connection with the Mandatory Conversion, 20,813.8186192892 shares of Series B Preferred Stock held by Emerald were converted into 20,813,818 shares of Common Stock. In lieu of fractional shares to which Emerald was entitled, the Company is required to pay Emerald an amount of cash equal to such fraction multiplied by the closing price of a share of Common Stock on the applicable Trading Market (as defined in the Certificate of Designation) on the date of the Mandatory Conversion, in accordance with Section 6.4.6 of the Certificate of Designation. \r\n\r\nFollowing the Mandatory Conversion, the Emerald now holds 61,029,978 shares of Common Stock and no shares of Series B Preferred Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1563577/000112329226000773/0001123292-26-000773-index.html" }, { "accession_no": "0001011438-26-000365", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1848763, "issuer_name": "ReNew Energy Global plc", "issuer_cusip": "G7500M104", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-05-29", "filed_date": "2026-05-29", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1848763/000101143826000365/0001011438-26-000365-index.html" }, { "accession_no": "0000921895-26-001504", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1821769, "issuer_name": "Navitas Semiconductor Corp", "issuer_cusip": "63942X106", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nDr. Singh is pleased by the Board's decision to seek to declassify itself through the inclusion of a declassification proposal for stockholder approval in the Issuer's recently filed proxy statement. Dr. Singh looks forward to continuing to work constructively with his fellow Board members to support the Issuer and enhance value for all stockholders.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1821769/000092189526001504/0000921895-26-001504-index.html" }, { "accession_no": "0000921895-26-001501", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1985337, "issuer_name": "YY Group Holding Ltd.", "issuer_cusip": "G9888Q103", "securities_class_title": "Class A Ordinary Shares, each with no par value", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 130,000 Shares beneficially owned by Alpha Fund that were purchased directly by Alpha Fund with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $177,186, including brokerage commissions.\n\nThe aggregate purchase price of the 1,429,532 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $(42,017), including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985337/000092189526001501/0000921895-26-001501-index.html" }, { "accession_no": "0000919574-26-003774", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 918541, "issuer_name": "NN INC", "issuer_cusip": "629337106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": "The funds for the purchase of the 4,108,949 Shares beneficially owned by the Fund came from the working capital of the Fund, which is the direct owner of the Shares. The funds for the purchase of the 4,386,665 Shares beneficially owned by the other Reporting Persons (which include the 4,108,949 Shares directly owned by the Fund) came from the working capital of the Fund and other private investment vehicles managed by the Investment Adviser, which are the direct owners of such Shares. No borrowed funds were used to purchase the Shares, other than any borrowed funds used for working capital purposes (including certain leverage arrangements) in the ordinary course of business.", "item4_transaction_purpose": "The Reporting Persons originally acquired the Shares for investment purposes. The Reporting Persons have had discussions with certain representatives of the Issuer and management of the Issuer.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors, including the Issuer's financial position and strategic direction, actions taken by the Board, price levels of the Shares, other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, the Reporting Persons may take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, purchasing additional Shares, other securities or derivative instruments related thereto or selling some or all of their Shares, other securities or derivative instruments, engaging in hedging or similar transactions with respect to the Shares and, alone or with others, may engage in communications with directors and officers of the Issuer, other stockholders of the Issuer or other third parties or may take steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review. Such discussions and other actions may relate to various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including, but not limited to a merger, reorganization or liquidation) involving the Issuer or any of its subsidiaries; business combinations involving the Issuer or its subsidiaries, a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; material asset purchases; the formation of joint ventures with the Issuer or its subsidiaries or the entry into other material projects; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the Board (including Board composition) or management of the Issuer; acting as a participant in debt financings of the Issuer or its subsidiaries; changes to the capitalization, ownership structure, dividend policy, business or corporate structure or governance documents of the Issuer; de-listing or de-registration of the Issuer's securities, or any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/918541/000091957426003774/0000919574-26-003774-index.html" }, { "accession_no": "0000038777-26-000166", "submission_type": "SCHEDULE 13D/A", "amendment_no": 33, "issuer_cik": 1762562, "issuer_name": "CLARION PARTNERS REAL ESTATE INCOME FUND INC.", "issuer_cusip": "180567406", "securities_class_title": "CLASS I SHARES OF COMMON STOCK $.001 PAR VALUE PER SHARE", "date_of_event": "2026-05-27", "filed_date": "2026-05-29", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\n\n6,682,751 Shares were acquired for a purchase price of $74,352,346 inclusive of $50,000,000 paid by Legg Mason, Inc. (now a subsidiary of FRI), from FRI's and Legg Mason, Inc.'s working capital; and\n\n24,098,795 Shares were acquired for a purchase price of $285,226,423 for the benefit of fiduciary accounts managed by FRI's investment management subsidiaries from their working capital, including funds managed by FAV.\n\nAs of April 16, 2025 93,329 Class S Shares of Common Stock of the Issuer, 5,232 Class T Shares of Common Stock of the Issuer, and 5,251 Class D Shares of Common Stock of the Issuer were transferred for no consideration from Legg Mason, Inc. to FRI. C. Johnson and R. Johnson, Jr. do not own directly any shares of the Issuer.\n\nOn December 4 and 5, 2025, FRI transferred 1,755,926.251 Shares from its corporate account to Clarion Partners Real Estate Income International Access Fund, a series of Franklin Templeton Private Markets Fund, for total consideration of $20,000,000.\n\nOn April 16, 2026, 88,028 Class I Shares were redeemed by FRI for its corporate account at a per share price of $11.36 and FRI purchased from its corporate account 88,106 Class S Shares at a per share price of $11.35 to maintain capitalization and liquidity in Class S Shares on account of an investor rebalancing its holdings from Class S Shares.\n\nOn April 20, 2026, 1,672,535 Class I Shares were redeemed by FRI for its corporate account at a per share price of $11.36.", "item4_transaction_purpose": "FRI and its investment management subsidiaries, including FAV, acquired the Shares for investment and to facilitate the acquisition of the Issuer's commercial real estate investments. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of the Shares at prices that would make the purchase or sale of the Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of the Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable. Other factors that may affect the Reporting Persons' investment in the Shares include, without limitation, the Issuer's financial position, results, prospects and strategic direction, actions taken by the Issuer's portfolio managers, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions.\n\n\nExcept as described above, none of FRI and its investment management subsidiaries, and none of any of the other Reporting Persons covered by this Schedule 13D, currently has any plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer. The Reporting Persons may at any time review, reconsider and change their position and/or change their purpose and/or develop such plans or proposals.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1762562/000003877726000166/0000038777-26-000166-index.html" }, { "accession_no": "0001931382-26-000009", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1817241, "issuer_name": "ARTIVA BIOTHERAPEUTICS, INC.", "issuer_cusip": "04317A107", "securities_class_title": "Common Stock", "date_of_event": "2026-05-11", "filed_date": "2026-05-28", "item3_funds_source": "On May 11, 2026, GC Corp purchased 1,085,069 shares of Common Stock at a price of $11.52 per share from the underwriters of the Issuer's underwritten offering (the \"May 2026 Offering\") and GC Cell Corporation purchased 347,222 shares of Common Stock at a price of $11.52 per share in the May 2026 Offering. The aggregate purchase price for all securities acquired by GC Corp and GC Cell Corporation in the May 2026 Offering was $16,499,992.32, which was funded by the working capital of GC Corp.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1817241/000193138226000009/0001931382-26-000009-index.html" }, { "accession_no": "0001915673-26-000024", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1009891, "issuer_name": "AIR INDUSTRIES GROUP", "issuer_cusip": "00912N205", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "The Shares purchased by Star Equity Fund were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted, as set forth in Schedule A, which is incorporated by reference herein. The aggregate purchase price of the 85,000 Shares beneficially owned by Star Equity Fund is approximately $278,523, excluding brokerage commissions.The aggregate purchase price of the 260,000 Shares beneficially owned by Mr. Eberwein is approximately $810,209, excluding brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1009891/000191567326000024/0001915673-26-000024-index.html" }, { "accession_no": "0001891865-26-000010", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1828972, "issuer_name": "BuzzFeed, Inc.", "issuer_cusip": "12430A300", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the below:\n\nThe information provided and incorporated by reference in Item 6 of the Schedule 13D is hereby incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828972/000189186526000010/0001891865-26-000010-index.html" }, { "accession_no": "0001699737-26-000014", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1856725, "issuer_name": "RANI THERAPEUTICS HOLDINGS, INC.", "issuer_cusip": "753018100", "securities_class_title": "Class A Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nOn May 26, 2026, Samsara LP and Samsara Opportunity Fund, and other unrelated institutional investors, entered into a securities purchase agreement with the Issuer, pursuant to which Samsara LP and Samsara purchased 934,580 and 934,579 shares of Class A common stock, respectively, at a price of $1.07 per share from the Issuer in a registered direct offering (the \"May 2026 Offering\"). The May 2026 Offering closed on May 27, 2026. The aggregate purchase price for all securities acquired by Samsara LP and Samsara Opportunity Fund in the May 2026 Offering was $2 million, which was funded by the working capital of each of Samsara LP and Samsara Opportunity Fund.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1856725/000169973726000014/0001699737-26-000014-index.html" }, { "accession_no": "0001628098-26-000005", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1661998, "issuer_name": "Q32 Bio Inc.", "issuer_cusip": "746964105", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and supplemented as follows:\n\nOn May 26, 2026, the Issuer entered into a securities purchase agreement with a number of institutional investors (the \"2026 PIPE Investors\"), including AVOF III, pursuant to which the Issuer agreed to issue and sell shares of common stock and pre-funded warrants in a private placement (the \"2026 PIPE\"). AVOF III purchased 625,000 shares of common stock of the Issuer at a purchase price of $8.00 per share in the 2026 PIPE. The 2026 PIPE closed on May 28, 2026. The aggregate purchase price for the shares acquired by AVOF III in the 2026 PIPE was $5 million, which was funded from capital contributions by AVOF III's general and limited partners.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1661998/000162809826000005/0001628098-26-000005-index.html" }, { "accession_no": "0001493152-26-025631", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 2052250, "issuer_name": "GoldenTree Opportunistic Credit Fund", "issuer_cusip": "38139T100", "securities_class_title": "Class I Shares of Beneficial Interest", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "On May 26, 2026, a managed account for which the Investment Manager serves as investment manager purchased 1,254,921.26 Shares at a price of $10.16 per Share using its working capital. Additionally, on April 30, 2026, a managed account for which the Investment Manager serves as investment manager acquired an additional 32,779.27 Shares pursuant to the Issuer's dividend reinvestment plan.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2052250/000149315226025631/0001493152-26-025631-index.html" }, { "accession_no": "0001437749-26-018746", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 948708, "issuer_name": "SMITH MICRO SOFTWARE, INC.", "issuer_cusip": "832154405", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "The shares of Common Stock covered by this filing include shares purchased in the open market from time to time by William W. Smith, Jr. using personal funds, when permitted to do so under the terms of the Issuer's policies, including its Insider Trading Policy, shares acquired by him from the Issuer pursuant to private placement offerings of Common Stock and warrants exercisable for shares of Common Stock, stock splits, shares issued to him by the Issuer as compensation, and shares sold in the open market or transferred by William W. Smith, Jr. to the Smith Living Trust. The shares of Common Stock covered by this filing also include those of such shares held by the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees.", "item4_transaction_purpose": "Item 4 of the Schedule is hereby amended to add the following:\n\nAs noted in the Explanatory Note, the Smith Living Trust purchased for investment purposes a common stock purchase warrant exercisable for 2,236,136 shares of Common Stock and common stock purchase warrants which pursuant to certain adjustment provisions have become exercisable for an additional 87,048 shares of Common Stock of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/948708/000143774926018746/0001437749-26-018746-index.html" }, { "accession_no": "0001213900-26-062378", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1758009, "issuer_name": "Quantum Computing Inc.", "issuer_cusip": "74766W108", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2023-04-03", "filed_date": "2026-05-28", "item3_funds_source": "The Schedule 13D is hereby amended and supplemented as follows:\n\nOn April 3, 2023, the Issuer issued to Dr. Huang 83,200 shares of Common Stock in lieu of cash bonus pursuant to the terms of the Employment Agreement (as defined below).\n\nOn June 27, 2023, Dr. Huang sold 100,000 shares of Common Stock.\n\nOn February 19, 2025, the Issuer issued to Dr. Huang options to purchase 14,350 shares of Common Stock. All of these options were vested immediately upon grant.\n\nOn March 25, 2025, Dr. Huang sold 200,000 shares of Common Stock.\n\nOn March 27, 2025, Dr. Huang transferred 2,000,000 shares of Common Stock to the YH Family Trust of 2025.\n\nOn May 19, 2025, Dr. Huang sold 500,000 shares of Common Stock.\n\nOn June 30, 2025, Dr. Huang exercised vested warrants (the \"Warrants\") to purchase 1,050,812 shares of Common Stock, which were acquired in the merger of the Issuer with QPhoton.\n\nOn September 4, 2025, Dr. Huang sold 1,000,000 shares of Common Stock.\n\nOn September 12, 2025, Dr. Huang made a bona fide gift of 400,000 shares of Common Stock to a charitable trust.", "item4_transaction_purpose": "Except as described in this Item 4, Dr. Huang has no present plans or proposals that relate to or would result in any of the matters set forth in subparagraphs (a)-(j) of Item 4 of Form Schedule 13D. Dr. Huang reserves the right, in light of his future evaluation of the Issuer's financial condition, business, operations and prospects, the market price of the Common Stock, conditions in the securities markets generally, general economic and industry conditions and other relevant factors, to change his plans and intentions at any time and from time to time, as he deems appropriate.\n\nIn his capacity as a director and senior executive officer of the Issuer, Dr. Huang participates in deliberations of the Issuer's senior management and directors in the normal course of the Issuer's business that could involve any of the matters set forth in subparagraphs (a)-(j) of the instructions to Item 4 from time to time, and, consistent with his fiduciary duties as an officer, may make proposals or recommendations to the Issuer's board of directors that could involve such matters from time to time.\n\nIn addition, as a member of the Issuer's senior management, Dr. Huang participates in Issuer compensatory plans, including plans pursuant to which awards of equity securities are made (including, from time to time, to Dr. Huang), in the ordinary course of business, generally on an annual basis.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1758009/000121390026062378/0001213900-26-062378-index.html" }, { "accession_no": "0001213900-26-062253", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1853825, "issuer_name": "Datacentrex, Inc.", "issuer_cusip": "256918103", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-28", "filed_date": "2026-05-28", "item3_funds_source": "On August 18, 2025, the Issuer entered into a Merger Agreement with Doge Technologies, Inc. (\"Doge\"). Pursuant to the terms of the Merger Agreement, the Issuer issued Series D Convertible Preferred Stock as consideration to certain security holders of Doge in exchange for their capital stock of Doge in connection with the merger transaction. In connection with consummation of the merger, Series VII USDAE received 8,450 shares of Series D Convertible Preferred Stock of the Issuer in exchange for capital stock of Doge held by Series VII USDAE. The 8,450 shares of Series D Convertible Preferred Stock are convertible into 8,450,000 shares of common stock of the Issuer, subject to the Beneficial Ownership Limitation described elsewhere in this Schedule 13D. No cash consideration was paid by Series VII USDAE for the Series D Convertible Preferred Stock.\n\nSeries XLVI DTCX acquired an aggregate of 4,075,000 pre-funded warrants of the Issuer in connection with the Issuer's public offering consummated on March 26, 2026, at a purchase price of $1.99 per pre-funded warrant, for an aggregate purchase price of $8,109,250. Each pre-funded warrant is exercisable at an exercise price of $0.01 per share of the Issuer's common stock. The source of funds used by XLVI DTCX to purchase the pre-funded warrants was its working capital, and no funds were borrowed for such purpose.\n\nDominari did not use any funds to acquire the 102,674 warrants reported herein. Dominari received the 102,674 warrants to purchase 102,674 shares of the Issuer's common stock as compensation for services rendered to the Issuer in connection with acting as placement agent for a securities offering conducted by the Issuer.", "item4_transaction_purpose": "The Reporting Persons acquired the securities described herein for investment purposes. The Reporting Persons may engage in discussions with the Issuer's management, board of directors, stockholders, and other interested parties concerning potential strategic transactions, including possible merger and acquisition opportunities. The Reporting Persons may from time to time make introductions or otherwise facilitate discussions between the Issuer and third parties regarding such potential opportunities. The Reporting Persons are in discussions with third parties that may result in one of the actions described in Item 4(a)-(j) above, however there are currently no definitive agreements to undertake such actions. Additionally, the Reporting Persons may continue to review and consider other opportunities that may present themselves from time to time, depending on various factors, including the Issuer's financial position, the price level of the securities, conditions in the securities markets, general economic and industry conditions, or other factors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1853825/000121390026062253/0001213900-26-062253-index.html" }, { "accession_no": "0001213900-26-061797", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1930021, "issuer_name": "New Horizon Aircraft Ltd.", "issuer_cusip": "64550A107", "securities_class_title": "Class A Ordinary Shares", "date_of_event": "2026-05-27", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1930021/000121390026061797/0001213900-26-061797-index.html" }, { "accession_no": "0001193805-26-000712", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1739174, "issuer_name": "BiomX Inc.", "issuer_cusip": "09090D509", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn May 27, 2026, each Fund exercised its Amended and Restated Warrant (in full) for 66,242 shares of Common Stock (the \"Pre-Funded Warrant Exercise Shares\"). Each Fund elected to pay the aggregate exercise price for its Pre-Funded Warrant Exercise Shares of $125.86, in cash, utilizing such Fund's cash on hand. In addition, on May 28, 2026, each Fund converted 47,957 shares of Series X Preferred Stock held by such Fund into 252,397 shares of Common Stock.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1739174/000119380526000712/0001193805-26-000712-index.html" }, { "accession_no": "0001193125-26-245947", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1848763, "issuer_name": "ReNew Energy Global plc", "issuer_cusip": "G7500M104", "securities_class_title": "Class A ordinary shares, nominal value of $0.0001", "date_of_event": "2026-05-28", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment amends and supplements Item 4 of the Original Schedule 13D by adding the following:\nRevised Non-Binding Proposal\n\nOn May 28, 2026, the Reporting Person and Sumant Sinha (together, the \"Consortium\") jointly submitted a non-binding proposal (the \"Proposal\") to the special committee of the board of directors of the Issuer (the \"Board\") to, subject to the Rollover (as defined below), acquire all of the Shares (on a fully diluted basis) of the Issuer not presently owned by the Consortium at a price per share equal to $6.75 (the \"Proposed Transaction\").\n\nThe Proposed Transaction will be structured as a UK scheme of arrangement (the \"Scheme\"). In connection with the Scheme, each non-Consortium shareholder of the Issuer will be entitled to either (i) receive $6.75 in cash for each Share it holds (the \"Cash Offer\") or (ii) elect to retain its Shares (the \"Rollover\") and remain a shareholder of the Issuer. Unless a shareholder specifically makes an election for Rollover prior to the court hearing for the Scheme, such shareholder will receive the Cash Offer. The Rollover is subject to cutback due to certain regulatory and compliance considerations, which are further described in the Proposal. The Proposed Transaction will be subject to receipt of necessary regulatory approvals and approvals required by the UK Companies Act 2006 in respect of the proposed Scheme, as well as other closing conditions to be agreed in the definitive agreement for the Proposed Transaction.\n\nThe Proposal is non-binding, and no agreement, arrangement or understanding between the Consortium, on the one hand, and the Issuer, on the other hand, relating to the Proposal, the Proposed Transaction or any other transaction will be created until such time as definitive agreements for the Proposed Transaction have been executed and delivered.\n\nThe Reporting Person does not intend to update this Schedule 13D to reflect developments relating to the Proposed Transaction except to the extent required by law.\n\nReferences to, and descriptions of, the Proposal in this Schedule 13D are qualified in their entirety by the terms of the Proposal, a copy of which is attached hereto as Exhibit 99.20 and is incorporated in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1848763/000119312526245947/0001193125-26-245947-index.html" }, { "accession_no": "0001193125-26-245848", "submission_type": "SCHEDULE 13D/A", "amendment_no": 22, "issuer_cik": 1397187, "issuer_name": "lululemon athletica inc.", "issuer_cusip": "550021109", "securities_class_title": "Common Stock", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn May 26, 2026, the Reporting Persons entered into a Cooperation Agreement (the \"Cooperation Agreement\") with the Issuer.\n\nPursuant to the Cooperation Agreement, the Issuer has agreed to (i) appoint Laura Gentile and Marc Maurer to the Board as independent directors, effective immediately following the Annual Meeting, (ii) increase the size of the Board in connection therewith, (iii) take all necessary steps to appoint a new independent director with apparel product and brand expertise to the Board by October 1, 2026, subject to the approval of the Reporting Persons, not to be unreasonably withheld, conditioned or delayed, and (iv) recommend that shareholders vote in favor of the Proposal at the Annual Meeting and, if the Proposal is approved by shareholders, the Issuer will submit for shareholder approval at the Issuer's 2027 annual meeting of shareholders (the \"2027 Annual Meeting\") a proposal to amend the Issuer's Restated Certificate of Incorporation to fully declassify the structure of the Board and provide for the annual election of directors, effective as of the Issuer's 2028 annual meeting of shareholders (the \"2028 Annual Meeting\"). Immediately following the appointment of Ms. Gentile and Mr. Maurer to the Board, the Issuer has further agreed to appoint each of Ms. Gentile and Mr. Maurer to the Corporate Responsibility, Sustainability and Governance Committee of the Board.\n\nEach of Ms. Gentile and Mr. Maurer has signed a conditional letter of resignation, which would become effective upon the earlier of (i) the termination of certain Issuer obligations to the Reporting Persons, and (ii) following the election of Ms. Gentile and Mr. Maurer to the Board at the 2027 Annual Meeting, the termination of the Cooperation Agreement. In order to effectuate the conditional resignation letters for each of Ms. Gentile and Mr. Maurer upon the termination of the Cooperation Agreement, the Board would have to accept Ms. Gentile and Mr. Maurer's conditional resignations notwithstanding their election to the Board by shareholders at the 2027 Annual Meeting.\n\nIn addition, the Issuer has agreed (i) to nominate, recommend, support or solicit proxies solely for the election of Chip Bergh, Esi Eggleston Bracy and Teri List at the Annual Meeting and (ii) that one additional incumbent director will not stand for reelection at the 2027 Annual Meeting. Further, the Cooperation Agreement also contains a voting commitment, standstill, mutual non-disparagement and other customary provisions.\n\nAdditionally, during the term of the Cooperation Agreement, the Issuer has agreed that its Chief Executive Officer, Executive Chair of the Board and two independent directors, one of whom must be either Ms. Gentile or Mr. Maurer, must meet at least once per fiscal quarter with the Reporting Persons.\n\nThe Issuer has also further agreed to pay to the Reporting Persons $4 million to be used for the betterment of Kitsilano Beach. The Cooperation Agreement will terminate on the date that is thirty calendar days prior to the deadline under the Issuer's Bylaws for the submission of shareholder nominations of director candidates for election to the Board at the 2028 Annual Meeting, unless earlier terminated in accordance with its terms.\n\nThe foregoing description of the Cooperation Agreement does not purport to be complete and is qualified in it is entirety by reference to the full text of the Cooperation Agreement, which is attached hereto as Exhibit 99.1 and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1397187/000119312526245848/0001193125-26-245848-index.html" }, { "accession_no": "0001193125-26-245833", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1065088, "issuer_name": "eBay Inc.", "issuer_cusip": "278642103", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "Item 3 of the Original 13D is hereby supplemented as follows:\n\n\"As further detailed on Exhibit 99.2 of Amendment No. 2, GameStop has entered into additional Put/Call Pairs providing economic exposure to a further 5,430,291 shares of Common Stock (i.e., a further approximately 1.22% of the Common Stock). Such Put/Call Pairs are only settleable in cash until the HSR Act Condition is satisfied. Following the satisfaction of the HSR Act Condition, the Put/Call Pairs are settleable either in cash or in shares of Common Stock at the option of the exercising party. The source of funds to be used by GameStop to settle such shares of Common Stock, to the extent GameStop elects physical settlement, is anticipated to be cash from its working capital. The total net premium paid by the Reporting Person for the 5,430,291 Put/Call Pairs reported on this Amendment No. 2 was $1,586,031.64 and was paid from the Reporting Person's working capital.\n\nUnless noted above, no portion of the purchase price for either of the shares of Common Stock beneficially owned directly by the Reporting Person or the shares of Common Stock underlying the Put/Call Pairs was or is currently expected to be borrowed by the Reporting Person for the purpose of acquiring, holding, trading or voting any securities discussed in this Item 3.\n\nTo the knowledge of the Reporting Person, as of the filing of this Amendment No. 2, none of the executive officers or directors of the Reporting Person listed on Exhibit 99.3 have anything additional to disclose in response to this Item.\"", "item4_transaction_purpose": "Item 4 of the Original 13D is hereby supplemented as follows:\n\n\"The response to Item 3, Item 6 and Exhibit 99.2 of Amendment No. 2 are each incorporated herein by reference.\n\nTo the knowledge of the Reporting Person, as of the filing of this Amendment No. 2, none of the executive officers or directors of the Reporting Person listed on Exhibit 99.3 have anything additional to disclose in response to this Item.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1065088/000119312526245833/0001193125-26-245833-index.html" }, { "accession_no": "0001193125-26-245631", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1855447, "issuer_name": "Tigo Energy, Inc.", "issuer_cusip": "77867P104", "securities_class_title": "Common Stock, $0.0001 par value", "date_of_event": "2026-05-18", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1855447/000119312526245631/0001193125-26-245631-index.html" }, { "accession_no": "0001178913-26-002955", "submission_type": "SCHEDULE 13D/A", "amendment_no": 52, "issuer_cik": 1030997, "issuer_name": "G. Willi-Food International Ltd.", "issuer_cusip": "M52523103", "securities_class_title": "Ordinary Shares, nominal value NIS 0.10 per share", "date_of_event": "2026-05-28", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1030997/000117891326002955/0001178913-26-002955-index.html" }, { "accession_no": "0001140361-26-023207", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1001614, "issuer_name": "Riley Exploration Permian, Inc.", "issuer_cusip": "76665T102", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-28", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented as follows:\n\nPro rata in-kind distribution by Yorktown XI of 500,000 shares of Common Stock of the Issuer on May 28, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1001614/000114036126023207/0001140361-26-023207-index.html" }, { "accession_no": "0001104659-26-067763", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1431852, "issuer_name": "Osisko Development Corp.", "issuer_cusip": "68828E809", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "Item 3 of the Prior Schedule 13D is hereby amended and supplemented by adding the following paragraph immediately after the last paragraph of Item 3:\n\nFollowing the closing of an offering by the Issuer of 4.125% convertible senior notes due 2031 (the \"Notes\") on May 26, 2026 to other investors (the \"Prior Offering\"), Double Zero agreed to purchase Notes in the principal amount of $50,000,000 in a private placement pursuant to a subscription agreement dated as of May 20, 2026 by and between the Issuer and Double Zero (the \"Subscription Agreement\").The closing of the private placement, which will occur on May 29, 2026 (the \"Closing Date\"), was conditioned on the closing of the Prior Offering. The aggregate purchase price payable by Double Zero for the Notes is $50,017,187.50 representing (i) 100% of the principal amount of the Notes, plus (ii) accrued and unpaid interest from the closing of the Prior Offering up to the Closing Date. Double Zero is financing the purchase price with funds from its working capital, which includes proceeds from realized gains on prior investments.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1431852/000110465926067763/0001104659-26-067763-index.html" }, { "accession_no": "0001104659-26-067691", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1828972, "issuer_name": "BuzzFeed", "issuer_cusip": "12430A300", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "The information set forth in Item 4 of the Schedule 13D is hereby amended and supplemented to include the following information:\n\nA transaction was disclosed by the Issuer in the Current Report on Form 8-K of BuzzFeed, Inc. (the \"Company\") filed with the Securities and Exchange Commission (the \"SEC\") on May 11, 2026 (the \"Signing 8-K\"), on May 11, 2026, whereby the Company entered into a Stock Purchase Agreement (the \"Stock Purchase Agreement\") with Allen Family Digital, LLC (the \"Investor\"), an affiliate of Byron Allen's family office, pursuant to which the Company agreed to issue and sell to the Investor, 40,000,000 shares (the \"Shares\") of the Company's Common Stock, at a purchase price of $3.00 per share of Common Stock, for aggregate consideration of $120.0 million (the \"Transaction\"), in a transaction exempt from registration under the Securities Act of 1933, as amended (the \"Securities Act\"). The closing of the Transaction occurred on May 26, 2026 (the \"Closing\").\n\nThe Reporting Persons (as defined below) each beneficially owns as of May 26, 2026 an aggregate of 2,006,891 shares of the Common Stock (the \"Subject Shares\"). Due to the above-referenced Transaction, the Reporting Persons (as defined below) percentage interest in the Issuer was diluted to below 5%, with the Reporting Persons holding as a result thereof 2.54% of the Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828972/000110465926067691/0001104659-26-067691-index.html" }, { "accession_no": "0001104659-26-067589", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1854139, "issuer_name": "Zevia PBC", "issuer_cusip": "98955K104", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-27", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1854139/000110465926067589/0001104659-26-067589-index.html" }, { "accession_no": "0001104659-26-067501", "submission_type": "SCHEDULE 13D/A", "amendment_no": 40, "issuer_cik": 81362, "issuer_name": "Quaker Chemical Corporation", "issuer_cusip": "747316107", "securities_class_title": "Common Stock, par value $1.00", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "For Item 3, see Amendment No. 1 to Schedule 13D filed on April 13, 2020.", "item4_transaction_purpose": "Introductory Note\n\nThis Amendment No. 40 to Schedule 13D (this \"Amendment No. 40\") amends and supplements the statement on Schedule 13D filed on August 9, 2019, as amended by Amendment No. 1 filed on April 13, 2020, Amendment No. 2 filed on May 21, 2020, Amendment No. 3 filed on May 28, 2020, Amendment No. 4 filed on August 31, 2020, Amendment No. 5 filed on March 11, 2021, Amendment No. 6 filed on May 26, 2022, Amendment No. 7 filed on July 13, 2022, Amendment No. 8 filed on July 18, 2022, Amendment No. 9 filed on July 21, 2022, Amendment No. 10 filed on July 26, 2022, Amendment No. 11 filed on July 29, 2022, Amendment No. 12 filed on August 3, 2022, Amendment No. 13 filed on August 8, 2022, Amendment No. 14 filed on August 11, 2022, Amendment No. 15 filed on August 12, 2022, Amendment No. 16 filed on March 8, 2023, Amendment No. 17 filed on November 27, 2023, Amendment No. 18 filed on May 24, 2024, Amendment No. 19 filed on November 26, 2024, Amendment No. 20 filed on November 27, 2024, Amendment No. 21 filed on December 4, 2024, Amendment No. 22 filed on December 9, 2024, Amendment No. 23 filed on December 12, 2024, Amendment No. 24 filed on December 17, 2024, Amendment No. 25 filed on December 20, 2024, Amendment No. 26 filed on December 26, 2024, Amendment No. 27 filed on December 27, 2024, Amendment No. 28 filed on January 2, 2025, Amendment No. 29 filed on January 7, 2025, Amendment No. 30 filed on January 10, 2025, Amendment No. 31 filed on January 15, 2025, Amendment No. 32 filed on January 21, 2025, Amendment No. 33 filed on January 24, 2025, Amendment No. 34 filed on January 29, 2025, Amendment No. 35 filed on February 3, 2025, Amendment No. 36 filed on February 6, 2025, Amendment No. 37 filed on February 11, 2025, Amendment No. 38 filed on May 27, 2025 and Amendment No. 39 filed on November 28, 2025 (together, the \"Original Schedule 13D\") with the Securities and Exchange Commission (the \"SEC\").\n\nThis Amendment No. 40 is being filed in relation to the following transactions all of which occurred on May 26, 2026: (i) QH Hungary and Citibank amending and restating the Second Citi Supplemental Confirmation, Third Citi Supplemental Confirmation, Fifth Citi Supplemental Confirmation, Sixth Citi Supplemental Confirmation and Seventh Citi Supplemental Confirmation (the \"May 2026 A&R Citi Supplemental Confirmations\") and (ii) QH Hungary and RBC amending and restating the First RBC Supplemental Confirmation and Third RBC Supplemental Confirmation (the \"May 2026 RBC A&R Supplemental Confirmations\" and, together with the May 2026 A&R Citi Supplemental Confirmations, the \"May 2026 A&R Supplemental Confirmations\").\n\nIn exchange for entering into the May 2026 A&R Citi Supplemental Confirmations, QH Hungary paid Citibank $4,228,368. Pursuant to the May 2026 A&R Citi Supplemental Confirmations, QH Hungary has the option to settle its obligations at the end of the applicable contract by delivering Shares to Citibank or the cash equivalent thereof, as described in more details in Item 6 below.\n\nIn exchange for entering into the May 2026 A&R RBC Supplemental Confirmations, QH Hungary paid RBC $445,539. Pursuant to the May 2026 A&R RBC Supplemental Confirmations, QH Hungary has the option to settle its obligations at the end of the applicable contract by delivering Shares to RBC or the cash equivalent thereof, as described in more details in Item 6 below.\n\nAfter consummation of the transactions described above, QH Hungary remained the direct beneficial owner, of a total of 3,635,112 Shares and Gulf Hungary remained the indirect beneficial owner of the same 3,635,112 Shares. Gulf Hungary continues to be the direct beneficial owner of a separate 5,017 Shares. All 3,635,112 Shares directly owned by QH Hungary remain subject to the Shareholder Agreement (as defined in the Original Schedule 13D) to which QH Hungary also became a party by executing a joinder thereto.\n\nThis Amendment No. 40 is filed jointly by the Reporting Persons. All disclosure for items contained in the Original Schedule 13D is incorporated herein by reference, subject to being amended by the additional information provided for such item in this Amendment No. 39. Capitalized terms used and not defined herein shall have the meanings given to such terms in the Original Schedule 13D.\n\nItem 4 of the Original Schedule 13D is hereby amended to add the following:\n\nThis Amendment No. 40 relates to the May 2026 A&R Supplemental Confirmations, the purpose of which is to facilitate the transactions contemplated thereby. These transactions were designed for QH Hungary to extend the settlement date, subject to the applicable transaction documents, while maintaining an opportunity to share in the Issuer's future growth. These transactions are described in further detail in Item 6 of this Amendment No. 40.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/81362/000110465926067501/0001104659-26-067501-index.html" }, { "accession_no": "0001104659-26-067466", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1563411, "issuer_name": "Constellium SE", "issuer_cusip": "F21107101", "securities_class_title": "Ordinary Shares, nominal value EUR0.02 per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\nOn May 26, 2026, Bpifrance Participations sold 4,190,000 Ordinary Shares by two block trades each at $33.89 per share.\n\nAll of the Ordinary Shares that are held of record by the Reporting Persons as reported herein were acquired for investment purposes. The Reporting Persons retain the right to change their investment intent, from time to time to acquire additional Ordinary Shares or other securities of the Issuer, or to sell or otherwise dispose of all or part of the Ordinary Shares or other securities of the Issuer, if any, beneficially owned by them, in any manner permitted by law. The Reporting Persons may engage from time to time in ordinary course transactions with financial institutions with respect to the securities described herein.\n\nExcept as set forth above, none of the Reporting Persons currently has any plans or proposals which would be related to or would result in any of the matters described in Items 4(a)-(j) of the Instructions to Schedule 13D. However, as part of the ongoing evaluation of investment and investment alternatives, the Reporting Persons may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the board of directors of the Issuer or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1563411/000110465926067466/0001104659-26-067466-index.html" }, { "accession_no": "0001104659-26-067415", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1939965, "issuer_name": "Brera Holdings PLC", "issuer_cusip": "G13311108", "securities_class_title": "Class B Ordinary Shares, $0.05 nominal value per share", "date_of_event": "2026-05-28", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is supplemented as follows:\n\nOn May 10, 2026, upon the effectiveness of the increase of the Beneficial Ownership Limitation, RBCH Ltd. exercised the remaining Pre-Funded Warrants in full to purchase 273,212 Class B Ordinary Shares, as adjusted by the Reverse Stock Split, from the Issuer, at a price of $0.05 per Class B Ordinary Share.\n\nOn May 26, 2026, the Reporting Persons delivered a letter to the Issuer requesting that the Issuer convene an extraordinary general meeting of shareholders in accordance with the Issuer's organizational documents and applicable law (the \"Requisition Letter\"). The grounds for the Requisition Letter are the Reporting Persons serious and well-founded concerns regarding the independence, governance, and management of the Issuer. The Reporting Person believes a majority of the current board members do not meet the independence requirements of the NASDAQ listing rules. A board that lacks independence from management cannot adequately protect shareholder interests. The board has approved transactions that, in the Reporting Persons view, may constitute a self-dealing transaction, which significantly dilutes existing shareholders for the benefit of Issuer insiders; and the Issuer's shares trade at a significant and unjustified discount to mNAV, a discount that the board's own actions have served to deepen rather than close. The Reporting Person is therefore calling an extraordinary general meeting to replace the current board with directors who are (i) genuinely independent of management and free from financial conflicts, and (ii) subject matter experts qualified to restore the Issuer's performance, close the mNAV gap, and execute the DAT strategy including diversifying from it. The Requisition Letter filed herewith provides further details on these matters.\n\nThe Reporting Persons continue to expect to evaluate on a continuing basis RBCH Ltd.'s goals and objectives and other business opportunities, and may change plans or proposals in the future. In determining from time to time whether to sell the securities reported as beneficially owned in this Schedule 13D (and in what amounts) or to retain such securities, the Reporting Persons will take into consideration such factors as they deem relevant, including the business and prospects of the Issuer, anticipated future developments concerning the Issuer, existing and anticipated market conditions from time to time, general economic conditions, regulatory matters, and other opportunities available to the Reporting Persons. In addition, the Reporting Persons may, from time to time, transfer shares beneficially owned by them for tax, estate or other economic planning purposes. The Reporting Persons may engage in discussions with management, the Board of Directors, other shareholders, and other relevant parties concerning the Issuer's governance, operations, strategy, capital allocation, performance and alternatives to enhance shareholder value. The Reporting Persons reserve the right to exercise the Common Warrants, dispose of securities of the Issuer or acquire additional securities of the Issuer in the open market, in privately negotiated transactions (which may be with the Issuer or with third parties) or otherwise, to dispose of all or a portion of its holdings of securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1939965/000110465926067415/0001104659-26-067415-index.html" }, { "accession_no": "0001062993-26-002925", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 858706, "issuer_name": "The New Germany Fund, Inc.", "issuer_cusip": "644465106", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-05-27", "filed_date": "2026-05-28", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $33,472,041 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/858706/000106299326002925/0001062993-26-002925-index.html" }, { "accession_no": "0001062993-26-002923", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 65433, "issuer_name": "The Mexico Fund, Inc.", "issuer_cusip": "592835102", "securities_class_title": "Common Shares, $1.00 par value", "date_of_event": "2026-05-27", "filed_date": "2026-05-28", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $38,017,352 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/65433/000106299326002923/0001062993-26-002923-index.html" }, { "accession_no": "0001062993-26-002913", "submission_type": "SCHEDULE 13D/A", "amendment_no": 25, "issuer_cik": 1230869, "issuer_name": "ASA Gold and Precious Metals Limited", "issuer_cusip": "G3156P103", "securities_class_title": "Common Shares, $1 par value", "date_of_event": "2026-05-27", "filed_date": "2026-05-28", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $173,266,631 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "On May 27, 2026, Saba Capital provided an update to the Special Committee of the Board, revising its earlier non-binding proposal. This update provided additional details on the transition to a BDC, including tax and liquidity considerations. As part of the proposed transaction, shareholders would be offered by the Issuer both a limited cash tender offer and a limited tender offer for a proportional share of the portfolio's remaining assets. The proposal did not specify the exact size or price for either offer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1230869/000106299326002913/0001062993-26-002913-index.html" }, { "accession_no": "0001011438-26-000364", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1848763, "issuer_name": "ReNew Energy Global plc", "issuer_cusip": "G7500M104", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-05-28", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment amends and supplements Item 4 of the Original Schedule 13D by adding the following:\r\n\r\nOn May 28, 2026, the Reporting Persons and Canada Pension Plan Investment Board (\"CPPIB\" and together with the Reporting Persons, the \"Consortium\") jointly submitted a non-binding proposal (the \"Proposal\") to the special committee of the board of directors of the Issuer (the \"Board\") to, subject to the Rollover (as defined below), acquire all of the Shares (on a fully diluted basis) of the Issuer not presently owned by the Consortium at a price per share equal to $6.75 (the \"Proposed Transaction\"). \r\n\r\nThe Proposed Transaction will be structured as a UK scheme of arrangement (the \"Scheme\"). In connection with the Scheme, each non-Consortium shareholder of the Issuer will be entitled to either (i) receive $6.75 in cash for each Share it holds (the \"Cash Offer\") or (ii) elect to retain its Shares (the \"Rollover\") and remain a shareholder of the Issuer. Unless a shareholder specifically makes an election for Rollover prior to the court hearing for the Scheme, such shareholder will receive the Cash Offer. The Rollover is subject to cutback due to certain regulatory and compliance considerations, which are further described in the Proposal. The Proposed Transaction will be subject to receipt of necessary regulatory approvals and approvals required by the UK Companies Act 2006 in respect of the proposed Scheme, as well as other closing conditions to be agreed in the definitive agreement for the Proposed Transaction.\r\n\r\nThe Proposal is non-binding, and no agreement, arrangement or understanding between the Consortium, on the one hand, and the Issuer, on the other hand, relating to the Proposal, the Proposed Transaction or any other transaction will be created until such time as definitive agreements for the Proposed Transaction have been executed and delivered.\r\n\r\nThe Reporting Person does not intend to update this Schedule 13D to reflect developments relating to the Proposed Transaction except to the extent required by law. References to, and descriptions of, the Proposal in this Schedule 13D are qualified in their entirety by the terms of the Proposal, a copy of which is attached hereto as Exhibit 99.16 and is incorporated in its entirety into this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1848763/000101143826000364/0001011438-26-000364-index.html" }, { "accession_no": "0000950157-26-000662", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 911971, "issuer_name": "Teekay Corporation", "issuer_cusip": "Y8564W103", "securities_class_title": "Common stock, $0.001 par value", "date_of_event": "2026-05-28", "filed_date": "2026-05-28", "item3_funds_source": "No amendment to Item 3.", "item4_transaction_purpose": "No amendment to Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/911971/000095015726000662/0000950157-26-000662-index.html" }, { "accession_no": "0000950142-26-001525", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1874315, "issuer_name": "Satellogic Inc.", "issuer_cusip": "80401C100", "securities_class_title": "Class A common stock, par value $0.0001 per share", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": "See Item 4, which is incorporated by reference herein.", "item4_transaction_purpose": "Item 4 is hereby restated as follows:\n\nOn July 5, 2021, the Issuer, CF Acquisition Corp. V (\"CF V\") (which became a wholly-owned subsidiary of the Issuer on January 25, 2022), Nettar Group Inc., a business company with limited liability incorporated under the laws of the British Virgin Islands (\"Target\"), Ganymede Merger Sub 1 Inc., a business company with limited liability incorporated under the laws of the British Virgin Islands and a direct wholly owned subsidiary of the Issuer (\"Target Merger Sub\"), and certain other parties thereto, entered into an Agreement and Plan of Merger (as amended and restated, supplemented or otherwise modified from time to time, the \"Merger Agreement\" and, the transactions contemplated by the Merger Agreement, the \"Business Combination\") pursuant to which, among other things, the Target Merger Sub would merge with and into Target, the separate existence of Target Merger Sub would cease and Target would be the surviving corporation and a direct wholly owned subsidiary of the Issuer.\n\nOn January 25, 2022 (the \"Business Combination Closing\"), the Issuer consummated the transactions contemplated by the Merger Agreement, following which all stockholders of CF V and shareholders of Target, other than the Issuer's chief executive officer, Emiliano Kargieman (\"Mr. Kargieman\"), received Class A Shares.\n\nLiberty Subscription Agreement\n\nOn January 18, 2022, the Issuer and CF V entered into a Subscription Agreement (the \"Liberty Subscription Agreement\") with the Liberty Purchaser, pursuant to which the Liberty Purchaser agreed to purchase, and the Issuer agreed to issue and sell to the Liberty Purchaser, following satisfaction or waiver of the conditions in the Liberty Subscription Agreement, certain securities of the Issuer, including (i) 20,000,000 Class A Shares (the \"Liberty Shares\") at $7.50 per Class A Share, (ii) 5,000,000 warrants, each warrant providing the holder thereof the right to purchase one (1) Class A Share at an exercise price of $10.00 per share (the \"$10.00 Liberty Warrants\"), and (iii) 15,000,000 warrants, each warrant providing the holder thereof the right to purchase one (1) Class A Share at an exercise price of $15.00 per share (the \"$15.00 Liberty Warrants\" and together with the $10.00 Liberty Warrants, the \"Liberty Share Warrants\"), in a private placement for an aggregate purchase price of $150.0 million (the \"Liberty Investment\"). The Liberty Share Warrants are exercisable as and from the Liberty Closing Date (as defined below), will expire on the fifth anniversary of the Liberty Closing Date (February 10, 2027), and are subject to the terms and conditions set out in the Warrant Agreement attached as Exhibit 4 hereto.\n\nThe Liberty Investment, which was subject to customary closing conditions, including the expiration or termination of the applicable waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 relating to such investment, closed on February 10, 2022 (the \"Liberty Closing Date\").\n\nIn connection with the Liberty Investment:\n\n- the Issuer has agreed to provide the Liberty Purchaser with the same registration rights with respect to the Liberty Securities (as defined below) as the Issuer provided to the PIPE Investors (as defined in the Liberty Subscription Agreement) in the PIPE Subscription Agreements (as defined in the Liberty Subscription Agreement), including \"demand\" registration rights that require the Issuer to register under the Securities Act of 1933, as amended (the \"Securities Act\") the Class A Shares and Liberty Share Warrants held or acquired by the Liberty Purchaser. The \"Liberty Securities\" means the Liberty Shares, the Liberty Share Warrants, and the Class A Shares issuable upon exercise of the Liberty Share Warrants and the Liberty Advisory Fee Warrants;\n\n- the Issuer has agreed to indemnify the Liberty Purchaser (to the extent it is a seller under a registration statement), its officers, employees, affiliates, directors, partners, members, managers, investment advisors, attorneys and agents, together with any person deemed to be an underwriter (within the meaning of the Securities Act) with respect to any of the Liberty Purchaser's registrable securities, and each person, if any, who controls the Liberty Purchaser or any such underwriter (within the meaning of Section 15 of the Securities Act or Section 20 of the Exchange Act), against any losses or damages resulting from any untrue statement or omission of material fact in any registration statement or prospectus pursuant to which such holder sells securities, unless such liability arose from the holder's misstatement or omission; and the Liberty Purchaser has agreed to indemnify the Issuer (and certain other persons) against all losses caused by the Liberty Purchaser's misstatements or omissions based on information regarding the Liberty Purchaser furnished by it to the Issuer; and\n\n- the Liberty Purchaser agreed to subject the Liberty Securities (or any shares issuable in respect thereof), which for the avoidance of doubt, does not include the Liberty Advisory Fee Warrants (as defined below) to transfer restrictions until January 25, 2023.\n\nLiberty Letter Agreement\n\nContemporaneously with the execution of the Liberty Subscription Agreement, the Issuer, CFAC Holdings V, LLC, and the Liberty Purchaser, entered into a letter agreement, which was amended and restated on the Liberty Closing Date (as amended and restated, the \"Liberty Letter Agreement\"), which was agreed to with respect to certain provisions by Mr. Kargieman and CFAC Holdings V, LLC, a Delaware limited liability company (the \"Sponsor\"). The parties to the Liberty Letter Agreement have agreed that for so long as a Cessation Event (as defined in the Liberty Letter Agreement, i.e., if the Liberty Purchaser (or affiliates managed by the Liberty Manager or its affiliates) cease to hold, in the aggregate, at least 6,666,666 Class A Shares) has not occurred, among other things:\n\n- The Liberty Purchaser has the right to nominate two directors (including any successors) for election to the Issuer's Board of Directors (the \"Board\") by the Issuer's shareholders (the \"Liberty Directors\"), which director nominees must be reasonably acceptable to the Issuer. In this regard, the parties have further agreed that:\n\n(i) The Sponsor and Mr. Kargieman will vote their Class A Shares and Class B ordinary shares of the Issuer, with a nominal value $0.0001 per share and (after the Domestication described below) the Class B common stock, par value $0.0001 per share (such Class B ordinary shares and Class B common stock together, the \"Class B Shares\") (and those held by any persons over which they have voting control), in favor of the election of the Liberty Director nominees;\n\n(ii) The Reporting Person, Secretary Mnuchin, will be nominated for election as non-executive Chairman to the Board, to serve as one of the Liberty Directors. For so long as Secretary Mnuchin is a Liberty Director, he shall be the non-executive Chairman of the Board, and the Sponsor and Mr. Kargieman shall not be required to vote for any person designated by the Liberty Purchaser to replace Secretary Mnuchin unless such party consents in writing to such replacement, such consent not to be unreasonably withheld;\n\n(iii) Mr. Kargieman will cause any transferee of any Class B Shares held by him to agree, as a condition to such transfer, to all of his obligations under the Liberty Letter Agreement (other than in the case of a transfer to a transferee that would result in automatic conversion of such Class B Shares into Class A Shares in accordance with the Issuer's governing documents);\n\n(iv) The Liberty Purchaser's right to nominate the Liberty Directors will cease immediately following the occurrence of a Cessation Event, and the terms of any then-serving Liberty Directors will expire at the next election of directors (but in no event more than one year after the Cessation Event); and\n\n(v) The Issuer will (a) take all necessary action to cause the Liberty Directors to be elected to the Board; (b) maintain in effect at all times directors and officers indemnity insurance coverage reasonably satisfactory to the Liberty Purchaser; (c) provide for indemnification, exculpation and advancement of expenses to the fullest extent permitted under applicable law in its governing documents; (d) not increase or decrease the maximum number of directors permitted to serve on the Board without the prior written consent of the Liberty Purchaser; and (e) not take any action, including making or recommending any amendment to its governing documents that could reasonably be expected to adversely affect the Liberty Purchaser's rights under the Liberty Letter Agreement;\n\n- The Liberty Purchaser has the right to nominate one Liberty Director to serve on each committee of the Board, subject to certain conditions;\n\n- in addition to the Liberty Directors, the Board would initially include Ted Wang, Brad Halverson, and another person designated by Mr. Kargieman who is reasonably acceptable to the Liberty Purchaser and in compliance with NASDAQ listing requirements;\n\n- for so long as Mr. Kargieman and his affiliates beneficially own at least one-third of the number of shares of the Issuer owned by him on the date of the Business Combination Closing (subject to customary adjustments for corporate events), Mr. Kargieman will have the right to designate two directors for election to the Board by the Issuer's shareholders, one of whom will be Mr. Kargieman and the other shall be reasonably acceptable to the Liberty Purchaser and the Sponsor, who will initially be Marcos Galperin, and the Sponsor and the Liberty Purchaser will vote any shares held by them in favor of the election of such persons; and\n\n- for so long as the Sponsor and its affiliates beneficially own at least one-third of the number of shares of the Issuer owned by them on the date of the Business Combination Closing (subject to customary adjustments for corporate events), Howard Lutnick would be nominated for election by the Board to the Issuer's shareholders and Mr. Kargieman and the Liberty Purchaser will vote any shares held by them in favor of the election of Mr. Lutnick.\n\nIn addition, so long as Class B Shares are outstanding, the Issuer will be required to obtain the written consent of the Liberty Purchaser if it were to issue in a transaction, or series of transactions, a number of shares that equals or exceeds 20% of its then-outstanding common shares on a fully diluted basis (assuming exercise of all options and warrants of the Issuer); provided that no such consent shall be required if such issuance of shares is made in connection with:\n\n- any acquisition by the Issuer of any equity interests, assets, properties, or business of any person;\n\n- any merger, consolidation, or other business combination involving the Issuer;\n\n- any transaction or series of related transactions involving a Change of Control (as defined in the Liberty Letter Agreement); and\n\n- any equity split, payment of distributions, or any similar recapitalization.\n\nAn advisory fee is payable to the Liberty Manager in exchange for advisory services to be provided to the Issuer by the Liberty Manager (whereby the Liberty Purchaser will cause the Liberty Manager to be reasonably available to advise the Issuer from time to time until the occurrence of a Cessation Event). The advisory fee payable for such services includes:\n\n- 2,500,000 warrants, each providing the right to purchase one (1) Class A Share of the Issuer at an exercise price of $10 per Class A Share (the \"Liberty Advisory Fee Warrants\"), which were issued on the Liberty Closing Date; and\n\n- for so long as a Cessation Event has not occurred, $1.25 million to be paid in cash on the eighteen (18) month anniversary of the Liberty Closing Date and on the last day (or, if not a business day, the immediately following business day) of each of the following five (5) successive three-month anniversaries of such 18-month anniversary (each, an \"Advisory Fee Cash Payment\"), representing aggregate Advisory Fee Cash Payments of up to $7,500,000. From and after a Cessation Event, no Advisory Fee Cash Payments shall be payable by the Issuer.\n\nThe Liberty Advisory Fee Warrants are exercisable as and from the one-year anniversary of, and will expire on the fifth anniversary of, the Liberty Closing Date (February 10, 2027). The Liberty Advisory Fee Warrants are subject to substantially the same terms as the Liberty Share Warrants (as set out in the Warrant Agreement attached as Exhibit 4 hereto) and, the registration rights as they apply to the Liberty Securities pursuant to the Liberty Subscription Agreement also apply to the shares underlying the Liberty Advisory Fee Warrants. For so long as the Liberty Purchaser or its permitted transferees hold Liberty Share Warrants or Liberty Advisory Fee Warrants, such warrants will not be redeemable by the Issuer.\n\nThe Issuer has reimbursed the Liberty Purchaser for all reasonable and documented out-of-pocket expenses incurred by it in connection with the transaction contemplated by the Liberty Letter Agreement and the Liberty Subscription Agreement, in the amount of $250,000.\n\nIn connection with the Liberty Letter Agreement, the Issuer amended its governing documents to, among other things, modify the voting rights of the holders of Class B Shares from ten votes per share to a number of votes per share such that, as of the Liberty Closing Date, the aggregate number of votes attributable to the Class B Shares is equal to the aggregate number of votes attributable to Class A Shares held by the Liberty Purchaser (subject to certain adjustments).\n\nIn connection with the Liberty Letter Agreement, the Issuer, Mr. Kargieman, the Liberty Purchaser and the Sponsor have also agreed to take action to further modify the rights of the holders of Class B Shares such that the number of votes attributable to each Class B Share after giving effect to any forfeitures of Class B Shares pursuant to Section 2.10 of the Merger Agreement shall equal (x) 20,000,000, divided by (y) (i) 13,662,658, minus (ii) the number of such forfeited Class B Shares (in no event shall such forfeited shares be more than 651,596 Class B Shares), but taking into account any adjustment that may have occurred theretofore pursuant to clause 7.2 of the Issuer's Memorandum and Articles of Association (prior to the Domestication described below) or to Section 4.02 of the Issuer's Certificate of Incorporation (following the Domestication). In the event that any Earnout Shares (as defined in the Merger Agreement) are issued to Mr. Kargieman pursuant to Section 2.11 of the Merger Agreement, the Issuer, Mr. Kargieman, the Liberty Purchaser and the Sponsor have agreed to take action to further modify the rights of the holders of Class B Shares such that the number of votes attributable to each class B Share shall be adjusted such that the number of votes attributable to each Class B Share is reduced in a manner that results in a vote per share as if a number of shares equal to such Earnout Shares had not been forfeited pursuant to Section 2.10 of the Merger Agreement.\n\nThe foregoing descriptions of the Liberty Subscription Agreement, the Liberty Letter Agreement and the Warrant Agreement do not purport to be complete and are qualified in their entirety by reference to the full text of such documents, which were filed as Exhibits 2, 3, and 4 hereto, respectively, and incorporated by reference into this Item 4.\n\nGeneral\n\nThe Reporting Persons have acquired the securities reported in this Schedule 13D for investment purposes and intend to review such investment in the Issuer on a continuing basis. As such, the Reporting Persons may, depending on the Issuer's performance and other market conditions, increase or decrease their investment position. The Reporting Persons may, from time to time, make additional acquisitions of Class A Shares or other securities of the Issuer either in the open market or in privately negotiated transactions, including transactions directly with the Issuer, depending upon their evaluation of the Issuer's business, prospects, financial condition and results of operations, the market for the Class A Shares or other securities, other opportunities available to the Reporting Persons, general economic conditions, stock market conditions and other factors. Depending upon the factors noted above, the Reporting Persons may also decide to hold or dispose of all or part of their investments in the Class A Shares, Liberty Share Warrants and/or Liberty Advisory Fee Warrants, and/or enter into derivative transactions with institutional counterparties with respect to the Issuer's securities, including the Class A Shares. Any actions the Reporting Persons might undertake may be made at any time, and from time to time, without prior notice, and will be dependent upon their review of numerous factors, including but not limited to, an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nConsistent with the Reporting Persons' investment purposes and, in addition to their governance rights described above, they may engage in communications with, without limitation, one or more stockholders of the Issuer, management of the Issuer and/or one or more members of the Board and may make suggestions or proposals concerning the Issuer's operations, prospects, business and financial strategies, strategic transactions, assets and liabilities, business and financing alternatives, the composition of the Board and such other matters as the Reporting Persons may deem relevant to their investment in the Issuer.\n\nAs of the date hereof, the Liberty Directors are Secretary Mnuchin and General Joseph F. Dunford, Jr.\n\nThe Domestication\n\nOn March 26, 2025, Satellogic Inc. changed its jurisdiction of incorporation, domesticating as a corporation incorporated under the laws of the State of Delaware and discontinuing as a business company with limited liability incorporated under the laws of the British Virgin Islands (the \"Domestication\"). As part of the Domestication, all the Class A and Class B ordinary shares of the Issuer outstanding prior to the Domestication were converted into Class A and Class B common stock of the Issuer, respectively. All references in this Amendment to the Issuer and its securities refer to the British Virgin Islands entity and its securities prior to the Domestication, and to the Delaware corporation and its securities after the Domestication.\n\nMay 2026 Lock-Up Agreement\n\nIn connection with the sale of Class A Shares on May 26, 2026 described in Item 5(c) below, the Reporting Persons agreed not to sell any additional Class A Shares for a period of 60 calendar days.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1874315/000095014226001525/0000950142-26-001525-index.html" }, { "accession_no": "0000950142-26-001520", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 769218, "issuer_name": "AEGON LTD.", "issuer_cusip": "0076CA104", "securities_class_title": "Common Shares, par value EUR 0.12 per share", "date_of_event": "2026-05-27", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 to the Schedule 13D is hereby amended and supplemented as follows:\n\nFramework Agreement\n\nOn May 27, 2026, the Reporting Person and the Issuer entered into a framework agreement (the \"Framework Agreement\"). The Framework Agreement provides for, among other things, (i) the transfer by the Reporting Person of EUR 500 million and certain charity agreements and interests to a newly incorporated Dutch charitable foundation (the \"VA Split\"), (ii) the governance arrangements with respect to the Reporting Person after the VA Split and (iii) the terms of how the Reporting Person's assets shall be liquidated in the event of a liquidation of the Reporting Person. The VA Split will not involve any disposition of Common Shares by the Reporting Person. Following the VA Split, the Reporting Person will be renamed \"Vereniging Aegon Americas.\"\n\nThe foregoing description of the Framework Agreement does not purport to be complete and is qualified in its entirety by the full text thereof, which is attached as an exhibit to this Schedule 13D and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/769218/000095014226001520/0000950142-26-001520-index.html" }, { "accession_no": "0000950103-26-007963", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1001250, "issuer_name": "ESTEE LAUDER COMPANIES INC", "issuer_cusip": "518439104", "securities_class_title": "CLASS A COMMON STOCK PAR VALUE $.01 PER SHARE", "date_of_event": "2026-05-26", "filed_date": "2026-05-28", "item3_funds_source": null, "item4_transaction_purpose": "The information set forth in Item 6 hereof is incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1001250/000095010326007963/0000950103-26-007963-index.html" }, { "accession_no": "0001654954-26-005393", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1720592, "issuer_name": "Repay Holdings Corp", "issuer_cusip": "76029L100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-27", "filed_date": "2026-05-27", "item3_funds_source": null, "item4_transaction_purpose": "On May 27, 2026, the Reporting Person issued a public letter to stockholders of the Issuer regarding the Issuer Board of Directors' response to the Reporting Person's non-binding proposal to acquire all outstanding shares of the Issuer for $4.80 per share in cash. The Reporting Person continues to believe that a transaction involving the Issuer may be in the best interests of stockholders and remains willing to engage in discussions regarding a potential transaction. A copy of the letter is filed as Exhibit 99.4 hereto and incorporated herein by reference. \r \r There can be no assurance that any discussions that may occur between the Reporting Persons and the Issuer with respect to the proposal will result in the entry into a definitive agreement concerning a transaction or, if such a definitive agreement is reached, will result in the consummation of a transaction provided for in such definitive agreement. Discussions concerning a transaction may be terminated at any time and without prior notice. Entry into a definitive agreement concerning a transaction and the consummation of any such transaction will be subject to a number of contingencies that are beyond the control of the Reporting Persons, including the approval of the Board of Directors of the Issuer, and the satisfaction of any conditions to the consummation of a transaction set forth in any such definitive agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1720592/000165495426005393/0001654954-26-005393-index.html" }, { "accession_no": "0001643828-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1810182, "issuer_name": "ALX Oncology Holdings Inc.", "issuer_cusip": "00166B105", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-27", "filed_date": "2026-05-27", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1810182/000164382826000002/0001643828-26-000002-index.html" }, { "accession_no": "0001493152-26-025463", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1714562, "issuer_name": "GameSquare Holdings, Inc.", "issuer_cusip": "36468G103", "securities_class_title": "Common Stock, par value $0.0001", "date_of_event": "2026-05-22", "filed_date": "2026-05-27", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented by inserting the following information at the end of Item 4: Prior to its dissolution, on May 22, 2026, Goff Jones effected the distribution of all of its Common Stock and securities convertible into Common Stock, without payment of consideration by Goff Jones' members. As a result of the distribution, Goff Jones no longer beneficially owns any securities of the Issuer. No securities of the Issuer were sold by Goff Jones as part of the dissolution.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1714562/000149315226025463/0001493152-26-025463-index.html" }, { "accession_no": "0001437749-26-018547", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1389545, "issuer_name": "Stablecoin Development Corp", "issuer_cusip": "66987P508", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-05-17", "filed_date": "2026-05-27", "item3_funds_source": "The Reporting Person acquired the Warrant described in Item 4 below using working capital, consisting of stablecoins.", "item4_transaction_purpose": "The Reporting Person acquired a pre-funded warrant (the \"Warrant\") to purchase 100,000,000 shares of Common Stock (20,000,000 shares as adjusted for the Issuer's 1-for-5 reverse stock split effective February 20, 2026). The Reporting Person did not acquire any shares of Common Stock in the transaction and does not currently hold any shares of Common Stock. The Warrant becomes exercisable in tranches as follows: 20% on July 16, 2026, an additional 30% on October 16, 2026 and the remaining 50% on January 16, 2027.\n\nExercise of the Warrant is subject to a beneficial ownership limitation (the \"Beneficial Ownership Limitation\") that prohibits the Reporting Person from exercising the Warrant to the extent that, after giving effect to the exercise, the Reporting Person, together with its affiliates and any other persons whose beneficial ownership would be aggregated with the Reporting Person's for purposes of Section 13(d) of the Securities Exchange Act of 1934, would beneficially own in excess of 9.99% of the outstanding Common Stock. The Reporting Person may not increase the Beneficial Ownership Limitation above 9.99%.\n\nIn connection with the SPA, the Reporting Person, the Issuer, and the other purchasers also entered into an Investors' Rights Agreement (the \"IRA\").\n\nThe Reporting Person acquired the Warrant for long-term investment and to support the Issuer's adoption of, and integration with, the Sky protocol. The Reporting Person's investment is governance-focused and is not intended to result in a change of control of the Issuer or in any extraordinary corporate transaction involving the Issuer or any of its subsidiaries. Under the IRA, the Reporting Person has the right to nominate one director to the Issuer's board of directors for so long as the Reporting Person beneficially owns at least 5% of the outstanding Common Stock.\n\nAlso under the IRA, for a period of 24 months following January 16, 2026, the Reporting Person has the right to consent to any material amendment, modification, addition, revocation or change to the Issuer's Digital Asset Strategy, for so long as the Reporting Person continues to hold at least 50% of the Warrant or the Common Stock originally acquired by it.\n\nExcept as set forth in this statement, the Reporting Person has no present plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Person reserves the right to change its plans or intentions and to take any action permitted by applicable law with respect to its investment in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1389545/000143774926018547/0001437749-26-018547-index.html" }, { "accession_no": "0001376474-26-000402", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1997403, "issuer_name": "ZenaTech, Inc.", "issuer_cusip": "00098936T", "securities_class_title": "Common Stock", "date_of_event": "2026-05-26", "filed_date": "2026-05-27", "item3_funds_source": "The Reporting Person partially converted amounts outstanding under a line of credit provided by the Reporting Person to the Issuer in August 2019. See Section 5(c) below for more information.", "item4_transaction_purpose": "The Reporting Persons acquired the Issuer's common stock for investment purposes. None of the Reporting Persons have any plans or proposals which relate to or would result in any of the matters listed in Items 4(a) to 4(j) of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1997403/000137647426000402/0001376474-26-000402-index.html" }, { "accession_no": "0001302110-26-000020", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1674930, "issuer_name": "Fulgent Genetics, Inc.", "issuer_cusip": "359664109", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-22", "filed_date": "2026-05-27", "item3_funds_source": "Since the filing of Amendment No. 4 to this Schedule 13D, the Reporting Person acquired shares of Common Stock solely upon the vesting of equity awards previously granted under the Issuer's equity incentive plans as described below. No cash consideration was paid for the acquisition of shares of Common Stock since the filing of Amendment No. 4 to this Schedule 13.\n\nOn May 26, 2026, 5,496 shares of Common Stock vested pursuant to issued and outstanding RSUs. 2,949 shares of Common Stock were withheld for the payment of withholding taxes.", "item4_transaction_purpose": "The Reporting Person holds the shares of Common Stock reported in this Statement for general investment purposes. The Reporting Person may, from time to time, acquire additional, or dispose of, shares of Common Stock or other securities of the Issuer, in the Reporting Person's capacity as Chief Executive Officer and Chairperson of the Board of the Issuer or otherwise, or engage in discussions with the Issuer concerning investments in the Issuer. The Reporting Person intends to review his ownership of Common Stock (including shares of Common Stock held through the Trust) on a continuing basis and, depending upon the price and availability of shares of Common Stock of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Person, general stock market and economic conditions, tax considerations and other factors considered relevant, the Reporting Person may decide at any time to increase or to decrease the size of his holdings of the Issuer's securities or securities derived of, exercisable for or convertible into the Issuer's securities.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1674930/000130211026000020/0001302110-26-000020-index.html" }, { "accession_no": "0001221359-26-000025", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1500217, "issuer_name": "American Assets Trust, Inc.", "issuer_cusip": "024013104", "securities_class_title": "Common Stock, par value $0.01", "date_of_event": "2026-05-11", "filed_date": "2026-05-27", "item3_funds_source": "The information in Item 3 is hereby amended and supplemented as follows:\n\nSince Amendment No. 9 to Schedule 13D was filed on April 15, 2025, the Reporting Persons have purchased 690,023 Shares for aggregate consideration of $14,188,013 (excluding brokerage commissions) using the source of funds described in Row 4 of the cover pages hereof.", "item4_transaction_purpose": "The information in Item 4 is hereby amended and supplemented as follows:\n\nOwnership Limit Increase and Voting Agreement\n\nOn May 11, 2026, the Company's board of directors (the \"Board\") increased the exemption previously granted to the Reporting Persons to allow the Reporting Persons to beneficially or constructively own, in the aggregate, up to 21.9% (in value or in number, whichever is more restrictive) of the outstanding Shares. In connection therewith, the Reporting Persons and the Company entered into a Voting Support Agreement, dated as of May 11, 2026 (the \"Voting Agreement\"), pursuant to which the Reporting Persons agreed to certain voting restrictions with respect to Shares owned by the Reporting Persons that cause the aggregate actual or beneficial ownership of Shares by the Reporting Persons to exceed 19.9% (in value or in number, whichever is more restrictive) of the outstanding Shares (the \"Subject Shares\"), including:\n\n1. In any meeting that is not a Contested Meeting (as defined below), the Reporting Persons are required to either (i) abstain from voting the Subject Shares on each matter or (ii) vote all Subject Shares in the same respective proportions as directed by all stockholders other than the Reporting Persons in proxies received by the Company at the time of the commencement of the meeting, as reasonably determined by the Company.\n\n2. In any meeting at which any person or persons other than the Board have solicited proxies (a \"Contested Meeting\"), the Reporting Persons are required to vote all Subject Shares in accordance with the recommendation of the Board and to abstain from voting on any matter upon which the Board has made no recommendation.\n\nUnder the Voting Agreement, the Reporting Persons have also irrevocably appointed the Company and any designee of the Company as the proxy for the Reporting Persons, with full power of substitution and resubstitution, to attend all meetings of the Company's stockholders and to cast on behalf of the Reporting Persons all votes that the Reporting Persons are entitled to cast with respect to the Subject Shares in accordance with the voting restrictions described above. The proxy is irrevocable and coupled with an interest.\n\nFor the avoidance of doubt, the Voting Agreement does not restrict or limit the right of the Reporting Persons to vote in their sole and absolute discretion on any matter submitted to a vote of the Company's stockholders with respect to Shares beneficially owned by them that do not exceed 19.9% of the outstanding Shares.\n\nThe foregoing description of the Voting Agreement does not purport to be complete and is qualified in its entirety by the full text of such agreement, which is attached as an exhibit to this Schedule 13D and is incorporated herein by reference.\n\n\nTransactions\n\nItem 5(c) provides disclosure with regard to the Transactions (as defined below) and is incorporated herein by reference.\n\nGeneral\n\nThe Reporting Persons acquired the securities described in this Schedule 13D for investment purposes and they intend to review their investments in the Company on a continuing basis. Any actions the Reporting Persons might undertake will be dependent upon the Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Company's business, financial condition, operations and prospects; price levels of the Company's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nSubject to the ownership limitations in the Company's charter and exemptions provided by the Board, the Reporting Persons may acquire additional securities of the Company in the open market, in privately negotiated transactions or otherwise. In addition, the Reporting Persons, including Mr. Rady in his position as Executive Chairman of the Board of the Company, may engage in discussions with management, the Board, other securityholders of the Company and other relevant parties, or encourage, cause or seek to cause the Company or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or take-private transaction that could result in the de-listing or de-registration of the Shares; security offerings and/or stock repurchases by the Company; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Company; or other material changes to the Company's business or corporate structure, including changes in management or the composition of the Board.\n\nTo facilitate their consideration of such matters, the Reporting Persons may retain consultants and advisors and may enter into discussions with potential sources of capital and other third parties. The Reporting Persons may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements. The Reporting Persons will likely take some or all of the foregoing steps at preliminary stages in their consideration of various possible courses of action before forming any intention to pursue any particular plan or direction.\n\nOther than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1500217/000122135926000025/0001221359-26-000025-index.html" }, { "accession_no": "0001214659-26-006790", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 884624, "issuer_name": "Orthofix Medical Inc.", "issuer_cusip": "68752M108", "securities_class_title": "Common stock, $0.10 par value per share", "date_of_event": "2026-05-22", "filed_date": "2026-05-27", "item3_funds_source": "Item 3 is hereby amended and supplemented by adding the following information:\nAs of the date hereof, the Reporting Persons are deemed to beneficially own the Subject Shares as detailed in Items 1 and 5.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by adding the following information.\nBetween February 13, 2026, and May 22, 2026, Juniper Targeted Opportunity Fund, L.P. purchased 657,926 shares at an aggregate purchase price of approximately $7,413,751, which includes brokerage commissions, in the open market.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/884624/000121465926006790/0001214659-26-006790-index.html" }, { "accession_no": "0001213900-26-061563", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1017303, "issuer_name": "TRANSACT TECHNOLOGIES INC", "issuer_cusip": "892918103", "securities_class_title": "Common Stock, par value $0.01 par value", "date_of_event": "2026-05-22", "filed_date": "2026-05-27", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1017303/000121390026061563/0001213900-26-061563-index.html" }, { "accession_no": "0001213900-26-061537", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1998560, "issuer_name": "Mint Incorporation Limited", "issuer_cusip": "G6146G117", "securities_class_title": "Class A Ordinary Shares, no par value", "date_of_event": "2026-05-18", "filed_date": "2026-05-27", "item3_funds_source": "The Issuer was incorporated on October 18, 2023. In connection with, and on the same day of, its incorporation, the Issuer issued 1,289 Class A Ordinary Shares to Deep Vision Enterprise Limited at the consideration of US$515.55. As part of its reorganization, on November 29, 2023, the Issuer issued 1,875 Class B Ordinary Shares to Deep Vision Enterprise Limited. On August 19, 2024, the Issuer effectuated a share split of its issued and outstanding shares at a ratio of 1-to-1,400 (the \"Share Split), so that there were 14,000,000 Class A Ordinary Shares and 7,000,000 Class B Ordinary Shares issued and outstanding, and Deep Vision Enterprise Limited held 1,804,600 Class A Ordinary Shares and 2,625,000 Class B Ordinary Shares post-Share Split. On May 6, 2026, the Issuer effectuated a reverse stock split of its issued and outstanding shares at a ratio of 1-for-10 (the \"Reverse Stock Split\"), so that there were 2,051,277 Class A Ordinary Shares and 490,000 Class B Ordinary Shares issued and outstanding, and Deep Vision Enterprise Limited held 180,460 Class A Ordinary Shares and 262,500 Class B Ordinary Shares post-Reverse Stock Split. On May 18, 2026, the Issuer issued 211,879 Class B Ordinary Shares to Deep Vision Enterprise Limited at the consideration of HK$5,000,000 (equivalent to US$637,755.10 based on the exchange rate of HK$7.84 to US$1.00 agreed by the parties in the Share Purchase Agreement).\n\nThe Reporting Persons are deemed to hold the voting and dispositive power over the 180,460 Class A Ordinary Shares and 474,379 Class B Ordinary Shares of the Issuer as of the date hereof.\n\nDeep Vision Enterprise Limited: WC\nMr. Hoi Lung Chan: PF", "item4_transaction_purpose": "The Reporting Persons are pre-IPO shareholder of the Issuer. The Reporting Persons acquired with the intent to exercise control over the Issuer. The Reporting Persons intend to continue actively participating in the Issuer's management and strategic direction.\n\nExcept as set forth herein, the Reporting Persons do not have any present plans or proposals which relate to or would result in any of the transactions described in paragraphs (a) through (j) of this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1998560/000121390026061537/0001213900-26-061537-index.html" }, { "accession_no": "0001193125-26-242427", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 814676, "issuer_name": "CPS Technologies Corp.", "issuer_cusip": "12619F104", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-05-22", "filed_date": "2026-05-27", "item3_funds_source": "All of the shares of Common Stock to which this Statement relates were purchased on behalf of the Reporting Persons using the investment capital of the Reporting Persons. Such shares of Common Stock are or may be held from time to time in margin accounts established with their respective brokers or banks, and a portion of the purchase price for the Common Stock may have been obtained through margin borrowing. Common Stock positions held in margin accounts may be pledged as collateral security for the repayment of debit balances in the margin accounts. The aggregate purchase price of the 43,290 shares of Common Stock acquired was approximately $129,870.00 (excluding commissions).", "item4_transaction_purpose": "The Reporting Persons purchased the shares of Common Stock for investment purposes, and such purchases have been made in the ordinary course of business of the Reporting Persons.\n\nIn pursuing such investment purposes, the Reporting Persons may further purchase, hold, vote, trade, dispose, or otherwise deal in the Common Stock at times, and in such manner, as they deem advisable to benefit from, among other things, (1) changes in the market prices of the shares of Common Stock; (2) changes in the Issuer's operations, business strategy, or prospects; or (3) from the sale or merger of the Issuer. To evaluate such alternatives, the Reporting Persons will closely monitor the Issuer's operations, prospects, business development, management, competitive and strategic matters, capital structure, and prevailing market conditions, as well as other economic, securities markets, and investment considerations. Consistent with their investment research methods and evaluation criteria, the Reporting Persons have in the past discussed, and may in the future discuss, such matters with the management or Board of Directors of the Issuer (the \"Board\"), other stockholders, industry analysts, existing or potential strategic partners or competitors, investment and financing professionals, sources of credit, and other investors. Such evaluations and discussions may materially affect, and result in, among other things, the Reporting Persons (1) modifying their ownership of the Common Stock; (2) exchanging information with the Issuer pursuant to appropriate confidentiality or similar agreements; (3) proposing changes in the Issuer's operations, governance, or capitalization; or (4) pursuing one or more of the other actions described in subsections (a) through (j) of Item 4 of Schedule 13D.\n\nIn addition to the information disclosed in this Statement, the Reporting Persons reserve the right to (1) formulate other plans and proposals; (2) take any actions with respect to their investment in the Issuer, including any or all of the actions set forth in subsections (a) through (j) of Item 4 of Schedule 13D; and (3) acquire additional shares of Common Stock or dispose of some or all of the shares of Common Stock beneficially owned by them, in each case in the open market, through privately negotiated transactions, or otherwise.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/814676/000119312526242427/0001193125-26-242427-index.html" }, { "accession_no": "0001171520-26-000108", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1307579, "issuer_name": "LiqTech International, Inc.", "issuer_cusip": "53632A300", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-05-22", "filed_date": "2026-05-27", "item3_funds_source": "Item 3 to Schedule 13D is hereby amended to include the following:\n\nOn May 22, 2026, funds managed by the Reporting Persons purchased 9.09% original discount promissory notes (the \"2026 Notes\") in an aggregate principle amount of $550,000 pursuant to a note purchase agreement entered into by and among the Issuer, funds managed by the Reporting Person and another investor (the \"Note Purchase Agreement\"). The 2026 Notes have a term of two months and do not bear interest during this period. However, if the 2026 Notes are not repaid by the maturity date, the 2026 Notes will thereafter bear interest of 10% per annum, which will increase by 1% each month the 2026 Notes remain unpaid, up to a maximum of 16% per annum, payable monthly. Proceeds from the 2026 Notes shall be used for working capital and general corporate purposes.\n\nAs of May 27, 2026, accounts and funds managed by the Reporting Persons hold 3,182,239 Shares, which were acquired pursuant to open market purchases and private purchases.", "item4_transaction_purpose": "Item 4 to Schedule 13D is hereby amended to include the following:\n\nThe disclosure under Item 3 in this Amendment is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1307579/000117152026000108/0001171520-26-000108-index.html" }, { "accession_no": "0001123292-26-000750", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1426800, "issuer_name": "ASSEMBLY BIOSCIENCES, INC.", "issuer_cusip": "045396108", "securities_class_title": "Common Stock, par value $0.001", "date_of_event": "2026-05-22", "filed_date": "2026-05-27", "item3_funds_source": "Item 3 is amended to add the following paragraph immediately following the last paragraph:\r\n \r\nOn May 26, 2026, Gilead purchased 471,698 shares of Common Stock from the Issuer in an underwritten public offering. The total consideration for such purchase was approximately $12,499,997 million and such consideration was obtained from the available cash resources of Gilead.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1426800/000112329226000750/0001123292-26-000750-index.html" }, { "accession_no": "0001104659-26-067125", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1649752, "issuer_name": "Nouveau Monde Graphite Inc.", "issuer_cusip": "66979W842", "securities_class_title": "Common Shares", "date_of_event": "2026-05-15", "filed_date": "2026-05-27", "item3_funds_source": "Item 3 of the Amended Schedule 13D is hereby amended by adding the following at the end thereof:\n\nThe aggregate purchase price for the 2026 Private Placement Common Shares (as defined below) was US$61,367,409 in cash, and the source of funds was the working capital of the Reporting Person.", "item4_transaction_purpose": "Item 4 of the Amended Schedule 13D is hereby amended by adding the following at the end thereof:\n\nOn May 15, 2026, the Issuer issued to the Reporting Person 33,351,853 Common Shares (the \"2026 Private Placement Common Shares\") pursuant to a subscription agreement (the \"April 2026 Subscription Agreement\") dated April 9, 2026. The subscription price for the Common Shares was US$1.84 per Common Share, for an aggregate purchase price of US$61,367,409.\n\nThe Reporting Person acquired the securities for investment purposes. For so long as the Reporting Person directly or indirectly owns ten percent (10%) of the issued and outstanding Common Shares, the Reporting Person shall be entitled to designate one nominee for election or appointment to the Issuer's Board of Directors. For so long as the Reporting Person directly or indirectly owns twenty percent (20%) of the issued and outstanding Common Shares, the Reporting Person shall be entitled to designate two nominees for election or appointment to the Issuer's Board of Directors.\n\nDepending on market conditions and other factors, the Reporting Person may from time to time acquire or dispose of securities of the Issuer in the open market, by private agreement or otherwise, or acquire interests in or enter into related financial instruments involving a security of the Issuer.\n\nExcept as reported herein, the Reporting Person does not have any plans which related to or would result in:\n\na. The acquisition of additional securities of the Issuer, or the disposition of securities of the Issuer;\n\nb. An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n\nc. A sale or transfer of a material amount of assets of the Issuer or of any of its subsidiaries;\n\nd. Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n\ne. Any material change in the present capitalization or dividend policy of the Issuer;\n\nf. Any other material change in the Issuer's business or corporate structure;\n\ng. Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;\n\nh. Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n\ni. A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n\nj. Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649752/000110465926067125/0001104659-26-067125-index.html" }, { "accession_no": "0001104659-26-066919", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1993463, "issuer_name": "YSX TECH. CO., LTD", "issuer_cusip": "G9877T100", "securities_class_title": "Class A ordinary shares, par value US$0.0001 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-27", "item3_funds_source": "On May 8, 2026, Altiverse Capital Limited submitted a duly executed application to the Issuer for the subscription of 2,000,000 Class B ordinary shares at a subscription price of US$0.5 per share, at an aggregate consideration of US$1,000,000. The source of funds used to acquire such shares was personal funds of Pan Zexin, the sole shareholder and President of Altiverse Capital Limited.", "item4_transaction_purpose": "The purpose of the aforementioned acquisitions is for investment. The Reporting Persons will evaluate their investment in the Issuer from time to time and may at any time, based on such evaluation, market conditions and other circumstances, increase or decrease their security holdings in the Issuer or may change their investment strategy as regards to the Issuer.\n\nExcept as set forth in this Item 4, none of the Reporting Persons has any plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board of directors; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company; (g) changes in the Issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act; or (j) any action similar to any of those enumerated above.\n\nAs part of ongoing evaluation of their investment in the Issuer and investment alternatives, the Reporting Persons may consider such matters in the future and, subject to applicable law or other restrictions, may formulate other purposes, plans or proposals regarding the Issuer or the Issuer's Common Stock that may be deemed to be beneficially owned by the Reporting Person, or take any other actions that could involve one or more of the types of transactions or have one or more of the results described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1993463/000110465926066919/0001104659-26-066919-index.html" }, { "accession_no": "0001104659-26-066917", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1993463, "issuer_name": "YSX TECH. CO., LTD", "issuer_cusip": "G9877T100", "securities_class_title": "Class A ordinary shares, par value US$0.0001 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-27", "item3_funds_source": "On May 8, 2026, Summitway Holding Limited submitted a duly executed application to the Issuer for the subscription of 2,000,000 Class B ordinary shares at a subscription price of US$0.5 per share, at an aggregate consideration of US$1,000,000. The source of funds used to acquire such shares was personal funds of Li Sen, the sole shareholder and President of Summitway Holding Limited.", "item4_transaction_purpose": "The purpose of the aforementioned acquisitions is for investment. [CL10][Author11]The Reporting Persons will evaluate their investment in the Issuer from time to time and may at any time, based on such evaluation, market conditions and other circumstances, increase or decrease their security holdings in the Issuer or may change their investment strategy as regards to the Issuer.\n\nExcept as set forth in this Item 4, none of the Reporting Persons has any plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board of directors; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the issuer is a registered closed-end investment company; (g) changes in the Issuer's charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act; or (j) any action similar to any of those enumerated above.\n\nAs part of ongoing evaluation of their investment in the Issuer and investment alternatives, the Reporting Persons may consider such matters in the future and, subject to applicable law or other restrictions, may formulate other purposes, plans or proposals regarding the Issuer or the Issuer's Common Stock that may be deemed to be beneficially owned by the Reporting Person, or take any other actions that could involve one or more of the types of transactions or have one or more of the results described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1993463/000110465926066917/0001104659-26-066917-index.html" }, { "accession_no": "0000921895-26-001483", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1227636, "issuer_name": "Neuronetics, Inc.", "issuer_cusip": "64131A105", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-05-19", "filed_date": "2026-05-27", "item3_funds_source": "The 10,553,988 Shares held by Mr. Chernett were purchased with personal funds for an aggregate purchase price of approximately $20,619,936.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1227636/000092189526001483/0000921895-26-001483-index.html" }, { "accession_no": "0000912282-26-000772", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1784535, "issuer_name": "Porch Group, Inc.", "issuer_cusip": "733245104", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-27", "item3_funds_source": "See Item 5(c) for a description of transactions. No transactions involved the payment of consideration (other than the provision of services).", "item4_transaction_purpose": "Other than as previously reported or reported below, Mr. Ehrlichman does not have any plan or proposal that would relate to or would results in (a) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or of any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure, including but not limited to, if the Issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940; (g) changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1784535/000091228226000772/0000912282-26-000772-index.html" }, { "accession_no": "0002130490-26-000003", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1973062, "issuer_name": "VIDA Global Inc.", "issuer_cusip": "92649G108", "securities_class_title": "Class A Common Stock, par value $0.001 per share", "date_of_event": "2026-05-18", "filed_date": "2026-05-26", "item3_funds_source": "Prior to the Issuer's initial public offering of its Class A common stock (the \"IPO\"), (i) TVP BV Fund I purchased an aggregate of 79,888 shares of Series Seed-1 Preferred Stock, 60,914 shares of Series A Preferred Stock, Series A Warrants exercisable for 59,459 shares of common stock and a $600,000 Simple Agreement for Future Equity (\"SAFE\"); (ii) TVP BV Fund II purchased an aggregate of 458,276 shares of Series A Preferred Stock and Warrants exercisable for 91,463 shares of common stock; and (iii) Mr. Calicott purchased an aggregate of 16,000 shares of Series Seed-1 Preferred Stock, 4,999 shares of Series A Preferred Stock and Warrants exercisable for 5,413 shares of common stock. The aggregate purchase price of the foregoing was $4,636,218. In addition, in April 2023, TVP BV Fund I's SAFE converted into 115,038 shares of Series Seed-2 Preferred Stock at a conversion price of $1.46095 per share. In addition, effective January 1, 2026, Mr. Calicott received, for no additional consideration, an award of 76,852 shares of restricted common stock as compensation for his service as the Chairman of the board of directors of the Issuer. Such shares are scheduled to vest in 12 equal quarterly installments from the date of grant, subject to Mr. Calicott's continued service through such vesting dates.\n\nImmediately after the effectiveness of the registration statement related to the IPO on May 14, 2026, the Issuer effected a 3.57-for-1 stock split of its common stock and convertible preferred stock (resulting in a corresponding adjustment to the number of shares issuable upon exercise of the Warrants) followed by an automatic conversion of all common stock and convertible preferred stock into shares of Class A common stock on a one-for-one basis.\n\nOn May 18, 2026, TVP BV Fund II purchased 375,000 shares of Class A common stock from the underwriters of the IPO at the IPO price of $4.00 per share, for an aggregate purchase price of $1,500,000.\n\nEach of TVP BV Fund I and TVP BV Fund II funded its purchase of such securities from capital contributions from its respective general and limited partners. Mr. Calicott funded his purchases with personal funds.", "item4_transaction_purpose": "The Reporting Persons purchased the aforementioned securities for investment purposes with the aim of increasing the value of their investments and the Issuer. Subject to applicable legal requirements, one or more of the Reporting Persons may purchase additional securities of the Issuer from time to time in open market or private transactions, depending on its evaluation of the Issuer's business, prospects and financial condition, the market for the Issuer's securities, other developments concerning the Issuer, the reaction of the Issuer to the Reporting Persons' ownership of the Issuer's securities, other opportunities available to the Reporting Persons, and general economic, money market and stock market conditions. In addition, depending upon the factors referred to above, the Reporting Persons may dispose of all or a portion of their securities of the Issuer at any time (including by means of programs adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the \"Act\")). Each of the Reporting Persons reserves the right to increase or decrease its holdings on such terms and at such times as each may decide.\n\nExcept as set forth in this Item 4 and Item 6 below, none of the Reporting Persons has a present plan or proposal that relates to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Act. However, each of the Reporting Persons reserves the right to propose or participate in future transactions which may result in one or more of such actions, including but not limited to, an extraordinary corporate transaction, such as a merger, reorganization or liquidation, sale of a material amount of assets of the Issuer or its subsidiaries, or other transactions which might have the effect of causing the Class A common stock to become eligible for termination of registration under Section 12(g) of the Act. The Reporting Persons also retain the right to change their investment intent at any time, to acquire additional shares of Class A common stock or other securities of the Issuer from time to time, or to sell or otherwise dispose of all or part of the Class A common stock beneficially owned by them (or any shares of Class A common stock into which such securities are converted) in any manner permitted by law. The Reporting Persons may engage from time to time in ordinary course transactions with financial institutions with respect to the securities described herein.\n\nMr. Calicott is a member of the board of directors of the Issuer. As a director of the Issuer, Mr. Calicott may have influence over the corporate activities of the Issuer, including activities which may relate to the transactions described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1973062/000213049026000003/0002130490-26-000003-index.html" }, { "accession_no": "0002005138-26-000007", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1532619, "issuer_name": "Power REIT", "issuer_cusip": "73933H200", "securities_class_title": "Series A Cumulative Redeemable Perpetual Preferred Stock Liquidation Preference $25 per Share", "date_of_event": "2026-05-26", "filed_date": "2026-05-26", "item3_funds_source": "The aggregate purchase price of the 15,052 shares of Series A Preferred Stock reported on the Schedule 13D as beneficially owned by Bradley & Daytona is approximately $120,316, including brokerage commissions. Such shares were acquired with the Reporting Person's working capital.\n\nThe aggregate purchase price of the 8,987 shares of Series A Preferred Stock reported on the Schedule 13D as beneficially owned by Alexander Kachmar is approximately $72,204, including brokerage commissions. Such shares were acquired with the Reporting Person's personal funds.\n\nThe aggregate purchase price of the 13,311 shares of Series A Preferred Stock reported on the Schedule 13D as beneficially owned by D & C Cacciapaglia Living Trust, U/A DTD 02/01/2013; and David Cacciapaglia Family Trust, U/A DTD 11/25/2020, and indirectly by David Cacciapaglia is approximately $96,683, including brokerage commissions. Such shares were acquired with the Reporting Person through the affiliate David Cacciapaglia's personal funds and funds in the respective trusts.", "item4_transaction_purpose": "The Reporting Persons have formed a voting group within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934 as amended (the \"1934 Act\"), solely for the purpose of exercising rights of holders of the Issuer's Series A Cumulative Redeemable Perpetual Preferred Stock under the Articles Supplementary governing such securities. Pursuant to the Joint Filing Agreement filed as Exhibit 99.B hereto relating solely to the exercise of voting rights with respect to the Series A Preferred Stock and matters arising under Section 8 of the Articles Supplementary, the Reporting Persons may be deemed to share voting power with respect to an aggregate of approximately 11.1% of the outstanding Series A Preferred Stock with respect thereto. Except with respect to matters arising under Section 8 of the Articles Supplementary as described herein, each Reporting Person retains sole voting power over the shares beneficially owned by such Reporting Person. Each Reporting Person retains sole dispositive power over the shares beneficially owned by such Reporting Person. Except as expressly described herein with respect to matters arising under Section 8 of the Articles Supplementary, the Reporting Persons disclaim beneficial ownership of the shares beneficially owned by the other Reporting Persons or being or acting as a group under Section 13(d) of the 1934 Act.\n\nSpecifically, Clause 8(a) of the Articles Supplementary provides that, as a result of the Issuer failing to pay dividends on the Series A Cumulative Redeemable Perpetual Preferred Stock for 6 or more quarters, if the holders of at least ten percent (10%) of the outstanding shares of Series A Preferred Stock so request, the Issuer must call a special election meeting for the purpose of the preferred stockholders electing two trustees to the Board of Trustees of the Issuer.\n\nAs a result of forming the voting arrangements described herein, the Reporting Persons may be deemed to share voting power with respect to approximately 11.1% of the outstanding Series A Preferred Stock and are delivering a notice to the Board of Trustees of the Issuer requiring that the Issuer initiate the preferred stockholder election process contemplated by Clause 8(a) of the Articles Supplementary, with (i) Alexander Kachmar and (ii) David Cacciapaglia as the trustee nominees for the preferred stockholder trustee election.\n\nA copy of the Reporting Persons' letter to the Board of Trustees is attached hereto as Exhibit 99.C and is incorporated herein by reference.\n\nThe Reporting Persons may continue to communicate with one another, the Issuer, the Board of Trustees, other stockholders and other interested parties regarding matters relating to the preferred stockholder election process, the governance, operations, capitalization, strategic direction and future plans of the Issuer.\n\nExcept as set forth herein, none of the Reporting Persons currently has any plans or proposals that would relate to or result in any of the matters set forth in Items 4(a) through (j) of Schedule 13D, although each Reporting Person independently reserves the right to formulate such plans or proposals in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1532619/000200513826000007/0002005138-26-000007-index.html" }, { "accession_no": "0001999371-26-011447", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1869198, "issuer_name": "Life Time Group Holdings, Inc.", "issuer_cusip": "53190C102", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment amends and supplements Item 4 of the Original Schedule 13D by inserting the following after the paragraph titled \"June 2025 Lock-Up Agreement\":\n\n\"On May 21, 2026, the TPG Funds sold an aggregate of 2,152,115 shares of Common Stock at a price of $32.51 per share pursuant to Rule 144 under the Securities Act of 1933, as amended (the \"May 21, 2026 Offering\").\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1869198/000199937126011447/0001999371-26-011447-index.html" }, { "accession_no": "0001213900-26-061168", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2085932, "issuer_name": "Energy Transition Special Opportunities", "issuer_cusip": "G23017109", "securities_class_title": "Class A ordinary shares, $0.0001 par value", "date_of_event": "2026-05-18", "filed_date": "2026-05-26", "item3_funds_source": "The aggregate purchase price for the Class B ordinary shares currently beneficially owned by the Reporting Persons was $25,000. The source of these funds was the working capital of the Sponsor.", "item4_transaction_purpose": "On July 30, 2025, the Sponsor paid $25,000, or approximately $0.006 per share, to cover certain of the Issuer's offering costs in exchange for 4,541,667 Class B ordinary shares (the \"Founder Shares\"), pursuant to the Securities Subscription Agreement dated as of July 30, 2025 between the Sponsor and the Issuer (the \"Founder Share Purchase Agreement\"). On September 4, 2025, the Issuer effected a 1 for 1.26605495295 share split of the Founder Shares. In September 2025, the Sponsor transferred 25,000 Founder Shares to each of the independent directors at a purchase price of approximately $0.004 per share (for an aggregate of 75,000 Founder Shares). On May 18, 2026, the underwriters in the Issuer's initial public offering forfeited their over-allotment option to purchase up to an additional 2,250,000 units. As a result of the over-allotment option forfeiture by the underwriters, 750,000 Class B ordinary shares were forfeited by the Sponsor, resulting in the Sponsor holding an aggregate of 4,925,000 Founder Shares.\n\nOn May 18, 2026, the Issuer consummated its initial public offering (\"IPO\") and in connection with the consummation, Sponsor purchased an aggregate of 3,500,000 Placement Warrants for an aggregate purchase price of $3,500,000. The Reporting Persons made the acquisitions reported in this Schedule 13D in support of the Issuer's business plan and for investment purposes. The Reporting Persons may acquire or dispose of additional securities or sell securities of the Issuer from time to time in the market or in private transactions, including as a result of ownership of the warrants referred to above. However, the Reporting Persons do not have any other agreements to acquire additional ordinary shares at this time. As Chief Executive Officer of the Issuer, Mr. Zulkoski is involved in making material business decisions regarding the Issuer's policies and practices and may be involved in the consideration of various proposals considered by the Issuer's board of directors. Additionally, as the Issuer's business plan is to enter into a business combination, Mr. Zulkoski, as Chief Executive Officer of the Issuer, is actively involved in pursuing a suitable target for the Issuer's business combination and will be actively involved in effecting any such business combination if the Issuer's business plan is successful, which may also result in a change in the Issuer's board of directors, corporate structure or charter.\n\nAs of the date of this Schedule 13D, except as set forth in this Schedule 13D above, the Reporting Persons do not have any plans or proposals which would result in:\n\n(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n(c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries;\n(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of the board of directors or management of the Issuer;\n(e) Any material change in the present capitalization or dividend policy of the Issuer;\n(f) Any other material change in the Issuer's business or corporate structure;\n(g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;\n(h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n(j) Any action similar to any of those actions enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2085932/000121390026061168/0001213900-26-061168-index.html" }, { "accession_no": "0001213900-26-061115", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2098707, "issuer_name": "BurTech Acquisition Corp II", "issuer_cusip": "G1810A108", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-05-26", "filed_date": "2026-05-26", "item3_funds_source": "The information set forth in Item 4 hereof is hereby incorporated by reference into this Item 3, as applicable.", "item4_transaction_purpose": "Founder Shares\n\nIn connection with the organization of the Issuer, the Sponsor paid $25,000 for 12,321,429 Class B ordinary shares, $0.0001 par value per share (the \"Founder Shares\"), after the surrender of 7,392,858 Founder Shares on April 17, 2026 for no consideration and after the surrender of 985,714 Founder Shares on May 21, 2026 for no consideration, or, approximately $0.006 per share in connection with the Issuer's initial public offering (\"IPO\") which closed on May 26, 2026. The Issuer's registration statement on Form S-1 (File No. 333-295232, the \"Registration Statement\") was declared effective on May 13, 2026, and its final prospectus, dated May 21, 2026, filed on May 26, 2026, pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended, (the \"Securities Act\") (the \"Final Prospectus\"). See the Final Prospectus under the heading \"CERTAIN RELATIONSHIPS AND RELATED PARTY TRANSACTIONS.\"\n\nPublic Units\n\nOn May 26, 2026, the Issuer closed its initial public offering of 8,000,000 units, at a price of $10.00 per unit (the \"Public Units\"), for an aggregate purchase price of $80,000,000. Each Public Unit consists of one ordinary share and one redeemable warrant (each, a \"warrant\"). Each warrant entitles the holder thereof to purchase one Class A ordinary share at a price of $11.50 per share, subject to adjustment (as described more fully in the Registration Statement).\n\nPrivate Placement Units\n\nOn May 26, 2026, simultaneously with the closing of the Issuer's IPO, the Sponsor acquired 222,000 private placement units and an institutional investor acquired 30,000 private placement units (\"Private Placement Units\" and, together with the Public Units, the \"Units\") at $10.00 per Private Placement Unit, for an aggregate purchase price of $2,520,000, pursuant to a Private Placement Units Purchase Agreement dated May 21, 2026 between the Sponsor and the Issuer and a Founder Shares and Private Placement Units Agreement dated May 21, 2026 between the institutional investor and the Issuer (collectively, the \"Private Placement Units Purchase Agreements\"). The Private Placement Units are the same as the Public Units, except as described in the Registration Statement. The summary of such Private Placement Units Purchase Agreements contained herein is qualified in its entirety by reference to the full text of such agreements, copies of which are filed as exhibits hereto.\n\nThe Reporting Persons continuously assess the Issuer's business, financial condition, results of operations and prospects, general economic conditions, other developments and additional investment opportunities. Depending on such assessments, and subject to any restrictions described herein, the Reporting Persons may acquire additional securities of the Issuer or new securities of the Issuer or may determine to purchase, sell or otherwise dispose of all or some of the Issuer's securities beneficially owned by the Reporting Persons in the open market, as applicable, in privately negotiated transactions, in transactions directly with the Issuer or otherwise. Such actions will depend upon a variety of factors, including, without limitation, current and anticipated future trading prices, the financial condition, results of operations and prospects of the Issuer, alternative investment opportunities, general economic, financial market and industry conditions and other factors that the Reporting Persons may deem material to their investment decision.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2098707/000121390026061115/0001213900-26-061115-index.html" }, { "accession_no": "0001213900-26-061030", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1610853, "issuer_name": "Solana Company", "issuer_cusip": "42328V876", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nOn May 21, 2026, Blockchain Fund exercised its Strategic Advisory Warrants for 1,100,000 Class A Common Shares at an exercise price of $0.01 per share, for an aggregate cash payment to the Issuer of $1,100. The Strategic Advisory Warrants were issued pursuant to the strategic advisory agreement, dated September 15, 2025 by and between the Issuer, Pantera Capital Management LP and Summer Wisdom Holdings Limited. The source of funds for the warrant exercise was working capital of Blockchain Fund, derived from the working capital of the Funds", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented as follows:\n\nThe information set forth or incorporated in Item 3 and Item 6 of this Amendment is hereby incorporated by reference in its entirety into this Item 4.\n\nOn May 21, 2026, Blockchain Fund exercised its Strategic Advisory Warrants for 1,100,000 Class A Common Shares at an exercise price of $0.01 per share, for an aggregate cash payment to the Issuer of $1,100. Other than as described in this Item 4, none of the Reporting Persons presently has any additional plans or proposals that relate to or that would result in any of the transactions or other matters specified in clauses (a) through (j) of Item 4 of this Schedule 13D, but depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect their investment in the Issuer at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1610853/000121390026061030/0001213900-26-061030-index.html" }, { "accession_no": "0001193125-26-240025", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 910612, "issuer_name": "CBL & Associates Properties, Inc.", "issuer_cusip": "124830878", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-05-22", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/910612/000119312526240025/0001193125-26-240025-index.html" }, { "accession_no": "0001193125-26-239961", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1869198, "issuer_name": "Life Time Group Holdings, Inc.", "issuer_cusip": "53190C102", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Initial Statement is hereby amended and supplemented by adding the following at the end of Item 4 of the Initial Statement:\n\nMay 2026 Offering\n\nOn May 21, 2026, Green LTF, Associates VI-A and Associates VI-B sold 2,951,282, 4,999, and 49,819 shares of Common Stock, respectively, at a price of $32.51 per share pursuant to Rule 144 of the Securities Act of 1933, as amended (the \"Securities Act\").", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1869198/000119312526239961/0001193125-26-239961-index.html" }, { "accession_no": "0001193125-26-239217", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1714562, "issuer_name": "GameSquare Holdings, Inc.", "issuer_cusip": "36468G103", "securities_class_title": "Common Shares, par value of $0.0001", "date_of_event": "2026-05-22", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by inserting the following information at the end of Item 4:\nOn May 22, 2026, Goff Jones effected the Distribution, without payment of consideration by Goff Jones' members. As a result of the Distribution, Goff Jones no longer beneficially owns any Common Shares. None of the Reporting Persons have sold any of the securities of the Issuer, and the Distribution did not change any Reporting Person's pecuniary interest (if any) in any of the securities reported on this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1714562/000119312526239217/0001193125-26-239217-index.html" }, { "accession_no": "0001140361-26-022836", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1680873, "issuer_name": "HF Foods Group Inc.", "issuer_cusip": "40417F109", "securities_class_title": "Common Stock, par value $.0001", "date_of_event": "2024-11-18", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": "The information set forth in Item 6 of this Amendment No. 4 is incorporated herein by reference.\n\nSubject to market conditions and other factors the Reporting Person deems relevant, the Reporting Person may purchase additional securities of the Company, maintain the present ownership of his securities of the Company or sell some or all of his securities of the Company. The Reporting Person may modify his plans depending on the Reporting Person's evaluation of various factors, including the investment potential of the Common Stock, the Company's business prospects and financial position, other developments concerning the Company, opportunities that may be available to the Company, the price level and availability of shares of Common Stock, available opportunities to acquire or dispose of the shares of Common Stock, conditions in the securities markets and general economic and industry conditions, reinvestment opportunities and other factors deemed to be relevant by the Reporting Person. In connection with the activities described above, the Reporting Person may communicate with, and express his views to, the board of directors or management of the Company or its affiliates and may communicate with, and express his views to, other persons regarding the Company.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1680873/000114036126022836/0001140361-26-022836-index.html" }, { "accession_no": "0001104659-26-066389", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 837465, "issuer_name": "Callaway Golf Company", "issuer_cusip": "131193104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn May 21, 2026, PEP TG Investments LP sold 11,175,226 shares of Common Stock at $15.34 per share pursuant to Rule 144 in a standard broker-dealer transaction (the \"Shares Sale\").", "edgar_url": "https://www.sec.gov/Archives/edgar/data/837465/000110465926066389/0001104659-26-066389-index.html" }, { "accession_no": "0001104659-26-066339", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1730430, "issuer_name": "Kiniksa Pharmaceuticals International, plc", "issuer_cusip": "G52694109", "securities_class_title": "Class A Ordinary Shares, nominal value $0.000273235 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of Schedule 13D is supplemented and amended, as the case may be, as follows:\n\nOn May 21, 2026, Kiniksa Pharmaceuticals International, plc (the \"Issuer\") and the Adviser on behalf of the Funds entered into a Deed of Waiver (the \"Deed\") according to which the Adviser on behalf of the Funds irrevocably and unconditionally waived the Funds' right to convert the Class A1 ordinary shares of the Issuer (\"Class A1 ordinary shares\") and Class B1 ordinary shares of the Issuer (\"Class B1 ordinary shares\") held by the Funds into Class A ordinary shares of the Issuer (\"Class A ordinary shares\") or Class B ordinary shares of the Issuer (\"Class B ordinary shares\") to the extent that, immediately prior to or following the exercise of such conversion, the Funds (together with their direct or indirect affiliates, any person or entity who could be deemed to be acting as a \"group\" pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\") together with the Funds or any of their affiliates, and any other persons or entities whose beneficial ownership of the Issuer's ordinary shares would or could be aggregated with the Funds' and/or any of their affiliates' for purposes of Section 13(d) or Section 16 of the Exchange Act) would beneficially own more than 49.9% of the outstanding voting rights in the Issuer. The Issuer agreed pursuant to the Deed not to effect the putative exercise of any conversion rights of the Funds' Class A1 ordinary shares or Class B1 ordinary shares if the purpose or effect of such conversion would be to circumvent this waiver. Additionally, the Adviser on behalf of the Funds agreed that the Funds would not transfer their Class A1 ordinary shares or Class B1 ordinary shares to an affiliate unless the transferee first entered into a deed of adherence to the Deed or a similar arrangement with restrictions substantially similar to those contained in the Deed.\n\nThe foregoing description of the Deed does not purport to be complete and is qualified in its entirety by reference to the full text of the Deed, which is incorporated by reference as Exhibit 99.2 and is incorporated herein by reference.\n\nThe Funds hold securities of the Issuer for investment purposes. The Reporting Persons or their affiliates may purchase additional securities or dispose of securities in varying amounts and at varying times depending upon the Reporting Persons' continuing assessments of pertinent factors, including the availability of Class A ordinary shares of the Issuer or other securities for purchase at particular price levels, the business prospects of the Issuer, other business investment opportunities, economic conditions, stock market conditions, money market conditions, the attitudes and actions of the Board of Directors (the \"Board\") and management of the Issuer, the availability and nature of opportunities to dispose of securities of the Issuer and other plans and requirements of the particular entities. The Reporting Persons may discuss items of mutual interest with the Issuer's management, other members of the Board and other investors, which could include items in subparagraphs (a) through (j) of Item 4 Schedule 13D.\n\nDepending upon their assessments of the above factors, the Reporting Persons or their affiliates may change their present intentions as stated above and they may assess whether to make suggestions to the management of the Issuer regarding financing, and whether to acquire additional securities of the Issuer, including Class A ordinary shares (by means of open market purchases, privately negotiated purchases, conversion of Class A1 ordinary shares and Class B1 ordinary shares, subject to the terms of the Deed, or otherwise, exercise of some or all of the Share Options to purchase Class A ordinary shares of the Issuer, or to dispose of some or all of the securities of the Issuer, including Class A ordinary shares, under their control. Except as otherwise disclosed herein, at the present time, the Reporting Persons do not have any plans or proposals with respect to any extraordinary corporate transaction involving the Issuer including, without limitation, those matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1730430/000110465926066339/0001104659-26-066339-index.html" }, { "accession_no": "0001104659-26-066263", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1859690, "issuer_name": "Arqit Quantum Inc.", "issuer_cusip": "G0567U127", "securities_class_title": "Ordinary Shares, par value $0.0025 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": "Item 3 of the Schedule 13D is amended by adding the information set forth in Item 4 of this Amendment No. 9.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended by adding the following information:\n\nThis Amendment No. 9 is being filed to update the aggregate number of Ordinary Shares and percentage of Ordinary Shares of Arqit beneficially owned by the Reporting Persons due to the dilution caused by Arqit's issuance of additional Ordinary Shares from time to time since the date of the filing of Amendment No. 8 to Schedule 13D by the Reporting Persons on November 12, 2025 (\"Amendment No. 8\"), which resulted in a decrease of over one percent (1%) in the aggregate percentage ownership reported by the Reporting Persons in Amendment No. 8. In addition, this Amendment No. 9 contains information regarding the sale by the Reporting Persons of Business Combination Warrants (as defined in Arqit's Annual Report on Form 20-F for the fiscal year ended September 30, 2025, filed with the Securities and Exchange Commission (the \"SEC\") on December 9, 2025) on a post-Reverse Stock Split basis at the average prices set forth in the table below, in each case in open market transactions, since the information contained in Amendment No. 8.\n\nDate of Transaction Amount of Business Average Price per\n Combination Warrants Business Combination\n Warrant ($)\n11/11/2025 445 9.20\n11/12/2025 290 8.40\n11/13/2025 151 8.50\n11/14//2025 461 7.20\n11/17/2025 456 6.30\n11/18/2025 195 7.00\n11/19/2025 378 6.60\n11/20/2025 400 7.50\n11/21/2025 310 6.80\n11/24/2025 1,318 5.50\n11/25/2025 196 5.60\n11/26/2025 536 6.40\n11/28/2025 103 8.50\n12/1/2025 61 8.40\n12/2/2025 129 8.40\n12/3/2025 163 9.10\n12/4/2025 322 10.40\n12/5/2025 302 9.8\n12/8/2025 353 10.10\n12/9/2025 30 9.70\n12/10/2025 128 8.70\n12/11/2025 21 8.70\n12/12/2025 1 8.70\n12/15/2025 99 8.60\n12/16/2025 133 8.30\n12/17/2025 45 7.90\n12/18/2025 374 7.10\n12/19/2025 444 6.00\n12/22/2025 463 5.30\n12/23/2025 12 5.40\n12/24/2025 27 5.30\n12/26/2025 405 4.50\n12/29/2025 488 3.60\n12/30/2025 435 3.70\n12/31/2025 294 3.60\n1/2/2025 402 4.70\n1/5/2026 186 5.50\n1/6/2026 311 5.20\n1/7/2026 85 5.30\n1/8/2026 8 5.30\n1/9/2026 102 5.50\n1/12/2026 190 5.00\n1/13/2026 10 5.00\n1/14/2026 99 5.00\n1/15/2026 76 5.20\n1/16/2026 197 5.00\n1/20/2026 54 5.00\n1/21/2026 10 4.90\n1/22/2026 102 5.00\n1/23/2026 60 4.70\n1/26/2026 42 4.70\n1/27/2026 104 4.70\n1/28/2026 113 4.30\n1/29/2026 106 4.20\n1/30/2026 40 4.10\n2/2/2026 16 4.30\n2/3/2026 15 4.30\n2/4/2026 39 4.70\n2/5/2026 45 4.10\n2/6/2026 124 4.20\n2/9/2026 75 4.40\n2/10/2026 97 4.30\n2/11/2026 116 4.10\n2/12/2026 59 4.20\n2/13/2026 61 4.00\n2/18/2026 3 4.00\n2/19/2026 4 4.10\n2/20/2026 96 3.80\n2/23/2026 106 3.70\n2/24/2026 24 3.70\n2/25/2026 173 3.70\n2/26/2026 251 3.70\n2/27/2026 37 3.70\n3/2/2026 31 3.70\n3/3/2026 15 3.50\n3/4/2026 179 3.50\n3/5/2026 214 3.40\n3/6/2026 332 3.30\n3/9/2026 179 3.30\n3/10/2026 24 3.40\n3/11/2026 8 3.30\n3/12/2026 12 3.40\n3/13/2026 20 3.30\n4/15/2026 713 3.00\n4/16/2026 159 3.10\n4/17/2026 151 3.10\n4/20/2026 307 2.80\n4/21/2026 103 2.80\n4/22/2026 381 3.10\n4/23/2026 182 3.30\n4/24/2026 205 2.90\n4/27/2026 41 2.90\n4/28/2026 421 2.50\n4/29/2026 967 2.30\n4/30/2026 91 2.30\n5/1/2026 402 2.10\n5/4/2026 328 2.10\n5/5/2026 68 2.30\n5/6/2026 404 2.20\n5/7/2026 11 2.20\n5/8/2026 181 2.10\n5/11/2026 112 2.10\n5/12/2026 13 1.80\n5/13/2026 80 2.10\n5/14/2026 47 2.10\n5/15/2026 110 2.00\n5/18/2026 106 2.00\n5/19/2026 116 1.60\n5/20/2026 72 1.90\n5/21/2026 787 2.10\n5/22/2026 1,001 1.90", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1859690/000110465926066263/0001104659-26-066263-index.html" }, { "accession_no": "0001104659-26-066009", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1987240, "issuer_name": "SCHMID Group N.V.", "issuer_cusip": "N68722102", "securities_class_title": "Class A Ordinary Shares, nominal value EUR0.01 per share", "date_of_event": "2026-05-23", "filed_date": "2026-05-26", "item3_funds_source": "As a result of the Joint Voting Agreement described in Item 6, the Reporting Persons may be deemed to form a \"group\" within the meaning of Section 13(d)(3) of the Act. Accordingly, the source of consideration for the shared beneficial ownership of the collective block of 34,597,178 Ordinary Shares was the contribution of interest in Gebr. Schmid GmbH, the securities of the Issuer during the internal contribution and reorganization of assets in exchange for equity interests in the HoldCos, the off-set of debts owed by Issuer group companies to share recipients, and the work of Anette and Christian Schmid in their capacities as employees and board members of the Issuer. Further details follow in the below descriptions.\n\nBusiness Combination, Dissolution of the Erbengemeinschaft and Contributions to HoldCos\n\n11,490,000 ordinary shares held by Anette Schmid via Schmid Aequitas GmbH & Co. KG and the 15,320,000 ordinary shares held by Christian Schmid via C. Schmid Beteiligung GmbH & Co. KG prior to May 23, 2026 were all originally issued to Anette Schmid, Christian Schmid, and the Erbengemeinschaft in connection with the exchange of interests in Gebr. Schmid GmbH, into shares of the Issuer (the \"Exchange\") upon the completion of the business combination (the \"Business Combination\") on April 30, 2024 (the \"Closing Date\"). As part of the Business Combination, Anette Schmid and Christian Schmid were also contractually entitled to receive an aggregate of 4,000,000 Private Warrants (convertible on a 1:1 basis into Ordinary Shares) from Pegasus Digital Mobility Sponsor LLC (the \"Sponsor\"), as additional compensation.\n\nAs previously disclosed, an additional 5,000,000 Earn-Out Shares were issued to Anette Schmid and Christian Schmid by the Issuer on the Closing Date. Per the terms of the Earn-Out Agreement, the voting and dispositive power for these shares has not yet vested in the Reporting Persons. Consequently, the 5,000,000 Earn-Out Shares are not included in, and are not counted toward, the aggregate number of Ordinary Shares reported in Rows 7 through 11 of the cover pages of this Schedule 13D/A.\n\nSchmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. became beneficial owners of securities in the Issuer on May 14, 2026, when in a first step, the Erbengemeinschaft formally distributed its 14,937,000 Ordinary Shares to Christian Schmid and Anette Schmid, who in a second step and in connection with capital increases and related transfer arrangements contributed their combined holdings to their respective German limited partnerships (the GmbH & Co. KGs) (each, a \"HoldCo\" and collectively, the \"HoldCos\") in exchange for equity interests in such partnerships:\n\n1. Anette Schmid's HoldCo: (i) 6,894,000 Ordinary Shares previously held by her, and (ii) the 4,596,000 Ordinary Shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG.\n\n2. Christian Schmid's HoldCo: (i) 4,979,000 Ordinary Shares previously held by him, and (ii) the 10,341,000 Ordinary Shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG.\n\nIn addition, and under the same agreements executed on May 14, 2026, each HoldCo received the economic ownership of (i) 2,500,000 Earn-Out Shares (totaling 5,000,000 Earn-Out Shares) and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants contractually owed to be delivered by the Sponsor. These transfers were executed through trustee and nominee arrangements in instances where direct legal title or technical transfer mechanics were contractually restricted, pursuant to which legal title to such warrants (and, where applicable, related rights) remains with the respective individual holders, who hold such interests on behalf of the applicable HoldCo. The HoldCos maintain economic interests in such securities and, through such trustee arrangements, may direct the exercise or disposition of such securities, subject to the terms of the applicable agreements and any legal or contractual limitations thereunder.\n\nMay 23, 2026 Issuances - Set-off and Board/Management compensation and bonuses\n\nOn May 23, 2026:\n\n(i) Anette Schmid was issued 2,190,589 Ordinary Shares by the Issuer in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000. Anette transferred beneficial ownership in those shares to Schmid Aequitas GmbH & Co. KG.\n\n(ii) Schmid Grundstucke GmbH & Co. KG was issued 1,028,074 Ordinary Shares by the Issuer in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000.\n\n(iii) Anette Schmid was issued 24,247 Ordinary Shares as bonus compensation for her work in a management capacity for the Issuer in fiscal year 2023, and 18,782 Ordinary Shares in connection with outstanding and unpaid board compensation due to her for fiscal year 2025. Anette Schmid holds these securities directly.\n\n(iv) Christian Schmid was issued 1,265,322 Ordinary Shares by the Issuer in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000. Christian transferred beneficial ownership in those shares to C. Schmid Beteiligung GmbH & Co. KG.\n\n(v) Christian Schmid was issued 37,150 Ordinary Shares as bonus compensation for his work in a management capacity for the Issuer in fiscal year 2023, and 13,840 Ordinary Shares in connection with outstanding and unpaid board compensation due to him for fiscal year 2025. Christian Schmid holds these securities directly.\n\nThe foregoing descriptions of the Business Combination Agreement, as amended, the Earn-Out Agreement, the internal asset transfers and May 23, 2026 issuances do not purport to be complete descriptions of the terms thereof and are qualified in their entirety by reference to the full text of the relevant agreements, copies of which are incorporated by reference or filed as exhibits hereto.", "item4_transaction_purpose": "The information set forth in Item 3 of this Schedule 13D/A is incorporated herein by reference.\n\nAll of the Ordinary Shares reported herein as beneficially owned by the Reporting Persons were acquired in connection with the Business Combination, subsequent allocation and contribution of such Ordinary Shares to HoldCos, and the off-set of debts owed by Issuer group companies, and in exchange for the work of Anette and Christian Schmid in their capacities as employees and board members of the Issuer.\n\nOn May 14, 2026, the Reporting Persons effected an transfers pursuant to which Ordinary Shares held by Anette Schmid and Christian Schmid, including shares distributed from the Erbengemeinschaft, were contributed to and are now directly held by Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG, respectively. In addition, the economic interests in certain Earn-Out Shares and warrants were allocated to such entities through arrangements intended to transfer the economic benefits of such securities, including through trustee or nominee structures where direct legal ownership could not be transferred. These transactions were undertaken for estate planning, organizational and tax structuring purposes and did not involve the payment of cash consideration.\n\nOn May 23, 2026 Ordinary Shares were issued to Anette Schmid, Christian Schmid and Schmid Grundstucke GmbH & Co KG, in exchange for the off-set of debts owed by Issuer group companies, and the work of Anette and Christian Schmid in their capacities as employees and board members of the Issuer (details are set forth in Item 3). Some shares received by Anette Schmid and Christian Schmid were transferred by them to their respectively controlled HoldCos, some are still held by each directly, and Anette Schmid beneficially owns the securities issued to Schmid Grundstucke GmbH & Co KG, which is an investment vehicle she controls.\n\nOn May 18, 2026, the Reporting Persons entered into a Joint Voting Agreement pursuant to which they agreed to vote or cause to be voted all Ordinary Shares beneficially owned by them in accordance with a joint determination. As a result of such agreement, the Reporting Persons may be deemed to constitute a \"group\" within the meaning of Section 13(d)(3) of the Act, and, accordingly, may be deemed to beneficially own the securities beneficially owned by each other Reporting Person. On May 26, 2026 Schmid Grundstucke GmbH & Co KG joined the Joint Voting Agreement and is subsequently subject to all its conditions.\n\nAnette Schmid and Christian Schmid currently serve on the board of directors of the Issuer, and Christian Schmid also serves as Chief Executive Officer of the Issuer. As a result of their direct and indirect ownership of Ordinary Shares and their positions with the Issuer, the Reporting Persons have the ability to influence the management and policies of the Issuer.\n\nThe Reporting Persons intend to hold their respective interests in the Issuer for investment purposes and to support the ongoing management and operation of the Issuer. Except as described herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the transactions or other matters described in clauses (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons may, from time to time, review their investment in the Issuer and, subject to applicable law, may determine to increase or decrease their ownership position or to pursue or consider other plans or proposals relating to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1987240/000110465926066009/0001104659-26-066009-index.html" }, { "accession_no": "0001012975-26-000482", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2007825, "issuer_name": "Infleqtion, Inc.", "issuer_cusip": "45676K103", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2007825/000101297526000482/0001012975-26-000482-index.html" }, { "accession_no": "0000949130-26-000014", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 29332, "issuer_name": "The Dixie Group, Inc.", "issuer_cusip": "255519100", "securities_class_title": "Common Stock, Par Value $3.00 Per Share", "date_of_event": "2026-05-26", "filed_date": "2026-05-26", "item3_funds_source": "Not applicable for purposes of this Amendment No. 23", "item4_transaction_purpose": "This report is filed to acknowledge and to state that the parties to the former Shareholders Agreement dated November 6, 2015 and amended as of July 11, 2016, (and which has expired ) are no longer deemed to be a group for purposes of reporting their beneficial ownership of the Common Stock of the Dixie Group, Inc.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/29332/000094913026000014/0000949130-26-000014-index.html" }, { "accession_no": "0000912282-26-000766", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1992243, "issuer_name": "T1 Energy Inc.", "issuer_cusip": "35834F104", "securities_class_title": "Common Stock, par value $0.01", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": "Proceeds of sale allocated to working capital of Reporting Person.", "item4_transaction_purpose": "On May 21, 2026, and May 22, 2026, the Reporting Person sold a total of 22,500,000 shares of common stock of the Issuer in the ordinary course of business.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1992243/000091228226000766/0000912282-26-000766-index.html" }, { "accession_no": "0000897101-26-000184", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 811922, "issuer_name": "MFS GOVERNMENT MARKETS INCOME TRUST", "issuer_cusip": "552939100", "securities_class_title": "Common Stock", "date_of_event": "2026-05-21", "filed_date": "2026-05-26", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/811922/000089710126000184/0000897101-26-000184-index.html" }, { "accession_no": "0002104194-26-000015", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 2019793, "issuer_name": "XCF Global, Inc.", "issuer_cusip": "98400U103", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-15", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": "Other than as set forth above, the Reporting Persons do not intend to take any of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D at this time; however, they reserve the right to do so.\n\nThe Reporting Persons may purchase and sell common stock of XCF in their sole discretion and at such times as they deem convenient, subject to applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2019793/000210419426000015/0002104194-26-000015-index.html" }, { "accession_no": "0001763409-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2068577, "issuer_name": "Black Rock Coffee Bar, Inc.", "issuer_cusip": "092244102", "securities_class_title": "Class A Common Stock, par value $0.00001 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2068577/000176340926000002/0001763409-26-000002-index.html" }, { "accession_no": "0001699737-26-000012", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1754068, "issuer_name": "KALARIS THERAPEUTICS, INC.", "issuer_cusip": "482929106", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-20", "filed_date": "2026-05-22", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nOn May 20, 2026, Samsara Opportunity Fund purchased 244,300 shares of common stock from Samsara LP in a private sale for $4.83 per share, or an aggregate purchase price of $1,179,969.00. These shares represented shares held by Samsara LP for the exclusive benefit of limited partners who had redeemed their respective interests in Samsara LP and in which neither Samsara GP nor Dr. Akkaraju had any economic interest. These purchases were for cash and were funded by capital contributions from the general and limited partners of Samsara Opportunity Fund.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1754068/000169973726000012/0001699737-26-000012-index.html" }, { "accession_no": "0001398344-26-009673", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1574085, "issuer_name": "Braemar Hotels & Resorts Inc.", "issuer_cusip": "10482B101", "securities_class_title": "Common Stock", "date_of_event": "2026-05-20", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": "On May 20, 2026, in connection with the Reporting Persons' intent to seek to elect new directors at the Issuer's 2026 Annual Meeting of Stockholders (the \"2026 Annual Meeting\"), legal counsel to the Reporting Persons sent a letter (the \"May 20, 2026 letter\") to the Issuer requesting a copy of the Company's form proposed nominee questionnaire (the \"Questionnaire\") as referenced in Article I, Section 11(a)(4) of the Issuer's Fifth Amended and Restated Bylaws, as amended. The Questionnaire is a form document, which the Issuer should have readily available.\n\nThe foregoing description of the May 20, 2026 letter does not purport to be complete and is subject to, and qualified in its entirety by, the May 20, 2026 letter, a copy of which is attached here as Exhibit 8 and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1574085/000139834426009673/0001398344-26-009673-index.html" }, { "accession_no": "0001213900-26-060707", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1865631, "issuer_name": "NEXTNAV INC.", "issuer_cusip": "65345N106", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-22", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1865631/000121390026060707/0001213900-26-060707-index.html" }, { "accession_no": "0001213900-26-060681", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1850862, "issuer_name": "Tax-Free Fixed Income Fund for Puerto Rico Residents, Inc.", "issuer_cusip": "87677L102", "securities_class_title": "Common Shares, $0.01 par value", "date_of_event": "2026-05-21", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby supplemented to add the following:\n\nOn May 20, 2026, Ocean Capital submitted a shareholder proposal to the Issuer consistent with, and as permitted by, Rule 14a-8 under the Securities Exchange Act of 1934 (the \"Proposal\"). The purpose of the Proposal is to permit shareholders to vote at the 2026 annual meeting of the shareholders of the Issuer to terminate the investment advisory agreement between the Issuer and its investment adviser, UBS Investment Managers of Puerto Rico, pursuant to the right of shareholders as embodied in Section 15(a)(3) of the Investment Company Act of 1940, such termination to be effective no more than sixty days following the date of shareholder approval thereof.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1850862/000121390026060681/0001213900-26-060681-index.html" }, { "accession_no": "0001213900-26-060680", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1847304, "issuer_name": "Tax-Free Fixed Income Fund III for Puerto Rico Residents, Inc.", "issuer_cusip": "87677E108", "securities_class_title": "Common Shares, $0.01 par value", "date_of_event": "2026-05-20", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby supplemented to add the following:\n\nOn May 20, 2026, Ocean Capital submitted a shareholder proposal to the Issuer consistent with, and as permitted by, Rule 14a-8 under the Securities Exchange Act of 1934 (the \"Proposal\"). The purpose of the Proposal is to permit shareholders to vote at the 2026 annual meeting of the shareholders of the Issuer to terminate the investment advisory agreement between the Issuer and its investment adviser, UBS Investment Managers of Puerto Rico, pursuant to the right of shareholders as embodied in Section 15(a)(3) of the Investment Company Act of 1940, such termination to be effective no more than sixty days following the date of shareholder approval thereof.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1847304/000121390026060680/0001213900-26-060680-index.html" }, { "accession_no": "0001213900-26-060297", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1916416, "issuer_name": "Intelligent Group Ltd", "issuer_cusip": "G48047115", "securities_class_title": "Class A ordinary shares, US$0.0002 par value per share", "date_of_event": "2026-04-29", "filed_date": "2026-05-22", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented by inserting the following:\n\nOn April 29, 2026, the Issuer entered into a securities purchase agreement (the \"Securities Purchase Agreement\") with New Bay Development (Intel) Holding Co., Limited, pursuant to which New Bay Development (Intel) Holding Co., Limited agreed to subscribe for and purchase from the Issuer, and the Issuer agreed to issue and sell to New Bay Development (Intel) Holding Co., Limited, an aggregate of 600,000 Class B ordinary shares of the Issuer, par value US$0.0002 per share, for a purchase price of US$12.5 per share and a total consideration of US$7,500,000 (the \"Private Placement\"). The foregoing summary of the Securities Purchase Agreement is subject to, and qualified in its entirety by, such document. The form of the Securities Purchase Agreement is attached hereto as exhibit 99.5 to this Amendment No. 1 and is incorporated herein by reference. The Private Placement was consummated upon satisfying all closing conditions. The source of these funds was the internal cash reserve of New Bay Development (Intel) Holding Co., Limited.", "item4_transaction_purpose": "Item 4 of the Statement is hereby amended and supplemented by inserting the following:\n\nThis Amendment No. 1 is filed in connection with the Private Placement. The Reporting\nPersons executed the Private Placement primarily for investment purpose and intend to review their investments on a continuing basis.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1916416/000121390026060297/0001213900-26-060297-index.html" }, { "accession_no": "0001193125-26-237252", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1022321, "issuer_name": "Genesis Energy, L.P.", "issuer_cusip": "371927104", "securities_class_title": "Common Units", "date_of_event": "2015-07-22", "filed_date": "2026-05-22", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nOn May 21, 2026, for estate planning purposes, the Reporting Person withdrew 1,527,239 Common Units from the trusts referred to on the cover of this Schedule 13D/A (including footnotes thereto), and in exchange for the Common Units the Reporting Person contributed to the trusts cash and property of equal value.", "item4_transaction_purpose": "Item 4 is hereby amended and restated to read as follows:\n\nAs of July 22, 2015, the Reporting Person owned 5,323,932 Common Units. On July 22, 2015, Genesis sold 10,350,000 Common Units in a public underwritten offering. Following this offering, the number of outstanding Common Units increased from 99,589,221 to 109,939,221 Common Units, and as a result, the Reporting Person ceased to own more than 5% of the outstanding Common Units. Accordingly, the filing of this Amendment No. 6 represents the final amendment to the Statement and constitutes an exit filing for the Reporting Person.\n\nItem 3 of this Schedule 13D/A is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1022321/000119312526237252/0001193125-26-237252-index.html" }, { "accession_no": "0001193125-26-237023", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2100161, "issuer_name": "Blackstone Digital Infrastructure Trust Inc.", "issuer_cusip": "09264B107", "securities_class_title": "Common Stock", "date_of_event": "2026-05-15", "filed_date": "2026-05-22", "item3_funds_source": "The information set forth in Item 4 is hereby incorporated by reference into this Item 3.\n\n On April 7, 2026, Blackstone Treasury Holdings III L.L.C., purchased 5 shares of Common Stock of the Issuer. The aggregate purchase price for the investment was $100. The source of funds for the purchase of the 5 shares of Common Stock by Blackstone Treasury Holdings III L.L.C. was from working capital.\n\nOn May 15, 2026, in connection with the Issuer's initial public offering (the \"IPO\"), Blackstone Treasury Holdings III L.L.C. purchased 9,111,795 shares of Common Stock from the Issuer at a price of $20.00 per share. The source of funds for the purchase of the shares of Common Stock by Blackstone Treasury Holdings III L.L.C. was from working capital.\n\nOn May 15, 2026, Mr. Schwarzman purchased 375,000 shares of Common Stock in the Issuer's directed share program in connection with the IPO at a price of $20.00 per share. Mr. Schwarzman used personal funds to purchase these shares.", "item4_transaction_purpose": "The information in Items 3, 5 and 6 of this Schedule 13D is incorporated herein by reference.\n\nThe Reporting Persons acquired the securities reported herein for investment purposes, subject to the following:\n\nThe Reporting Persons intend to review their investment in the Issuer on an ongoing basis and, in the course of their review, may take actions (including through their affiliates) with respect to their investment or the Issuer, including communicating with the board of directors of the Issuer (the \"Board\"), members of management or other security-holders of the Issuer, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available. Such discussions and other actions may relate to, subject to the terms and conditions of the documents described herein to which the Reporting Persons are a party, various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including, but not limited to a merger, reorganization or liquidation) involving the Issuer or any of its subsidiaries; business combinations involving the Issuer or any of its subsidiaries, a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; material asset purchases; the formation of joint ventures with the Issuer or any of its subsidiaries or the entry into other material projects; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the Board (including board composition) or management of the Issuer; acting as a participant in debt financings of the Issuer or any of its subsidiaries, changes to the capitalization, ownership structure, dividend policy, business or corporate structure or governance documents of the Issuer, or any action similar to those enumerated above. Such discussions and actions may be preliminary and exploratory in nature, and not rise to the level of a plan or proposal.\n\nThe Reporting Persons or their affiliates may seek to acquire securities of the Issuer, including Common Stock and/or other equity, debt, notes or other financial instruments related to the Issuer or the Common Stock (which may include rights or securities exercisable or convertible into securities of the Issuer), and/or sell or otherwise dispose of some or all of such Issuer securities or financial instruments (which may include distributing some or all of such securities to such Reporting Person's respective partners or beneficiaries, as applicable) from time to time, in each case, in open market or private transactions, block sales or otherwise. Any transaction that any of the Reporting Persons or their affiliates may pursue, subject to the terms and conditions of the documents described herein to which the Reporting Persons are a party, may be made at any time and from time to time without prior notice and will depend on a variety of factors, including, without limitation, the price and availability of the Issuer's securities or other financial instruments, the Reporting Persons' or such affiliates' trading and investment strategies, subsequent developments affecting the Issuer, the Issuer's business and the Issuer's prospects, other investment and business opportunities available to such Reporting Persons and their affiliates, general industry and economic conditions, the securities markets in general, tax considerations and other factors deemed relevant by such Reporting Persons and such affiliates.\n\nBX REIT Advisors L.L.C., an affiliate of Blackstone, is the Issuer's external manager and is responsible for sourcing, evaluating and monitoring the Issuer's investment opportunities and making decisions related to the acquisition, management, financing and disposition of the Issuer's assets, in accordance with the Issuer's investment objectives, guidelines, policies and limitations, subject to oversight by the Board. All of the Issuer's officers and directors, other than the Issuer's independent directors, are employees of Blackstone. In such capacities, these individuals may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as described in this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans and may seek to influence management or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2100161/000119312526237023/0001193125-26-237023-index.html" }, { "accession_no": "0001193125-26-237003", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2021728, "issuer_name": "Cerebras Systems, Inc.", "issuer_cusip": "US15675D1037", "securities_class_title": "Class A common stock, $0.00001 par value per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-22", "item3_funds_source": "In May 2016, Eclipse I purchased 4,419,405 shares of the Issuer's Series A Preferred Stock for a purchase price of $0.85 per share and an aggregate purchase price of approximately $3.76 million.\n\nIn January 2017, Eclipse I purchased 599,465 shares of the Issuer's Series B Preferred Stock for a purchase price of $2.75449 per share and an aggregate purchase price of approximately $1.65 million.\n\nIn July 2017, Eclipse Continuity I purchased 486,175 shares of the Issuer's Series C Preferred Stock for a purchase price of $8.9474 per share and an aggregate purchase price of approximately $4.35 million.\n\nIn November 2018, Eclipse Continuity I purchased 309,678 shares of the Issuer's Series D Preferred Stock for a purchase price of $16.1458 per share and an aggregate purchase price of approximately $5.0 million.\n\nIn November 2019, Eclipse SPV II purchased 6,548,466 shares of the Issuer's Series E Preferred Stock for a purchase price of $18.3249 per share and an aggregate purchase price of approximately $120.0 million.\n\nIn October 2021, Eclipse Continuity I purchased 4,505 shares of the Issuer's Series F Preferred Stock for a purchase price of $27.7448 per share and an aggregate purchase price of approximately $0.125 million.\n\nIn October 2021, Eclipse I purchased 4,505 shares of the Issuer's Series F Preferred Stock for a purchase price of $27.7448 per share and an aggregate purchase price of approximately $0.125 million.\n\nIn June 2017, Eclipse I purchased 494,118 shares of the Issuer's Class B common stock for a purchase price of $0.36 per share for an aggregate purchase price of approximately $0.178 million.\n\nIn August 2022, Eclipse SPV XIII purchased 599,880 shares of the Issuer's Class B common stock for a purchase price of $16.7525 per share for an aggregate purchase price of approximately $10.0 million.\n\nOn May 15, 2026, effective upon the closing of the Offering, each series of the Issuer's preferred stock automatically converted, for no consideration, into shares of the Class B common stock. Following the conversion, each Reporting Person directly held such number of shares of Common Stock set forth in Item 11 of their respective Cover Pages.\n\nAll shares of the capital stock of the Issuer purchased by Eclipse Continuity I, Eclipse I, Eclipse SPV II, and Eclipse SPV XIII have been purchased using investment funds provided to Eclipse Continuity I, Eclipse I, Eclipse SPV II, and Eclipse SPV XIII by its limited partner and general partner investors. Unless noted above, no part of the purchase price was borrowed by any Reporting Person for the purpose of acquiring any securities discussed in this Item 3.", "item4_transaction_purpose": "The information set forth in Item 3 of this Statement is incorporated herein by reference. The Reporting Persons hold the securities of the Issuer for general investment purposes. The Reporting Persons may, from time to time, depending on prevailing market, economic and other conditions, acquire additional shares of Class A Common Stock or other securities of the Issuer, dispose of any such securities, or engage in discussions with the Issuer concerning such acquisitions or dispositions or further investments in the Issuer. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price and availability of shares of Class A Common Stock or other securities of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations and other factors considered relevant, may decide at any time to increase or to decrease the size of their investment in the Issuer in the open market, in privately negotiated transactions, pursuant to 10b5-1 trading plans or otherwise.\n\nExcept as set forth above, the Reporting Persons have no present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2021728/000119312526237003/0001193125-26-237003-index.html" }, { "accession_no": "0001193125-26-236919", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1559432, "issuer_name": "TXO Partners, L.P.", "issuer_cusip": "87313P103", "securities_class_title": "Common Units representing limited partner interests", "date_of_event": "2026-05-11", "filed_date": "2026-05-22", "item3_funds_source": "Item 3 of the Schedule 13D is amended and supplemented as follows:\nFrom May 7, 2026 to May 20, 2026, the Reporting Person purchased an aggregate of 1,200,000 Common Units for aggregate consideration of approximately $15.3 million. The Reporting Person used personal funds for each of these acquisitions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1559432/000119312526236919/0001193125-26-236919-index.html" }, { "accession_no": "0001193125-26-236850", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1567892, "issuer_name": "Keenova Therapeutics plc", "issuer_cusip": "G5890A102", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-20", "filed_date": "2026-05-22", "item3_funds_source": "Item 3 of the Schedule 13D is hereby supplemented as follows:\n\nThe source of funds used in the acquisitions reported in Item 5 was working capital of the Reporting Persons.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1567892/000119312526236850/0001193125-26-236850-index.html" }, { "accession_no": "0001140361-26-022646", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1735707, "issuer_name": "Garrett Motion Inc.", "issuer_cusip": "366505105", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1735707/000114036126022646/0001140361-26-022646-index.html" }, { "accession_no": "0001123292-26-000729", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1649749, "issuer_name": "FB Financial Corporation", "issuer_cusip": "30257X104", "securities_class_title": "Common Stock, par value $1.00 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649749/000112329226000729/0001123292-26-000729-index.html" }, { "accession_no": "0001104659-26-065866", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1282648, "issuer_name": "BATTALION OIL CORP", "issuer_cusip": "07134L107", "securities_class_title": "Common Stock", "date_of_event": "2026-05-21", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": "As previously disclosed, March 24, 2026, the Master Fund effected a distribution in kind of 5,200,000 shares (the \"Shares\") of common stock of the Issuer in the aggregate to: (i) its two feeder funds, Luminus Energy Partners QP, LP, a Delaware limited partnership (\"LEP Onshore\"), which received 2,117,138 Shares, and LEP Offshore (through LILP, an intermediary entity which received 2,641,190 Shares); and (ii) two affiliates that have economic interests in the Master Fund, namely LCP Onshore, which received 391,694 Shares, and LCP Offshore, which received 91,930 Shares. Each of the Funds had issued illiquid certificates to their respective investors on April 1, 2020.\n\nIn connection with the distribution in kind, the Manager planned to distribute 5,200,000 shares of common stock. As Certificate Holders entitled to receive 1,145,542 shares of common stock (the \"Segregated Shares\") in the aggregate did not either (i) respond or provide the requisite information to the Fund's administrator and the Manager to receive the Segregated Shares, (ii) were unable to accept delivery of the Segregated Shares or (iii) chose not to participate in the distribution (such Certificate Holders being referred to as the \"Non Returners\"), the Master Fund continues to hold the Segregated Shares and retains both voting and disposition power over the Segregated Shares. The Master Fund, however, has no economic interest in the Segregated Shares as the Master Fund is holding the Segregated Shares for the benefit of the Non Returners. From April 9, 2026 to May 21, 2026, the Master Fund distributed 557,494 shares of common stock to certain Non Returners who provided their information. The Master Fund can, in its discretion, sell the remaining Segregated Shares on behalf of the Non Returners and/or make one or more distribution in kind of the remaining Segregated Shares to the Non Returners who provide their requisite information.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1282648/000110465926065866/0001104659-26-065866-index.html" }, { "accession_no": "0001104659-26-065757", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1638290, "issuer_name": "MasterCraft Boat Holdings, Inc.", "issuer_cusip": "57637H103", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-22", "item3_funds_source": "Marine Products Merger\n\nOn May 15, 2026, pursuant to the Agreement and Plan of Merger, dated as of February 5, 2026 (the \"Merger Agreement\"), by and among the Company, Marine Products Corporation (\"Marine Products\"), Titan Merger Sub 1, Inc., a direct wholly owned subsidiary of the Company (\"Merger Sub 1\"), and Titan Merger Sub 2, LLC, a direct wholly owned subsidiary of the Company (\"Merger Sub 2\"), the Company acquired Marine Products in a cash and stock transaction (the \"Merger\") through: (i) the merger of Merger Sub 1 with and into Marine Products, with Marine Products continuing as the surviving corporation and a direct, wholly owned subsidiary of the Company (the \"first merger\") and (ii) the merger of Marine Products with and into Merger Sub 2, with Merger Sub 2 surviving as a direct, wholly owned subsidiary of the Company, in each case on the terms set forth in the Merger Agreement.\n\nPursuant to the terms of the Merger Agreement, effective as of the effective time of the first merger, and in connection with the closing of the Merger, each share of Marine Products common stock, par value $0.10 per share (\"Marine Products Stock\"), was automatically converted into the right to receive 0.232 validly issued, fully paid and nonassessable shares of Company Common Stock and $2.43 in cash, without interest. All of the shares of Company Common Stock beneficially owned by the reporting persons and reported herein were acquired upon the automatic conversion of their previously held Marine Products Stock into Company Common Stock as consideration for the Merger, pursuant to the terms of the Merger Agreement.", "item4_transaction_purpose": "The information set forth in Item 3 hereof is hereby incorporated by reference.\n\nRegistration Rights Agreement\n\nIn connection with the Merger Agreement, on February 5, 2026, LOR, Inc. and the Company entered into a Registration Rights Agreement (the \"Registration Rights Agreement\"), which became effective on May 15, 2026 upon the closing of the Merger, pursuant to the Merger Agreement.\n\nUnder the Registration Rights Agreement, the Company must use its reasonable best efforts to file and keep a registration statement on Form S-3, continuously effective and usable for the resale of the shares of Company Common Stock received by and beneficially held by the Group following completion of the Merger (the \"Group Shares\"). With certain exceptions, LOR, Inc. has the right to request up to ten (10) offerings pursuant to the Registration Rights Agreement. LOR, Inc. also has \"piggyback\" rights to participate, on the terms and conditions described in the Registration Rights Agreement, in certain offerings of Company Common Stock registered under the Securities Act that the Company may undertake for its own account or for the account of other shareholders.\n\nPursuant to the terms of the Registration Rights Agreement, the Company will pay all registration and filing fees pertaining to the registration of securities beneficially owned by the Group as well as all other costs, fees and expenses incident to Company's performance or compliance with the Registration Rights Agreement, provided, that, upon the closing of the first underwritten shelf takedown pursuant to the Registration Rights Agreement, LOR, Inc. shall pay $350,000 to the Company. LOR, Inc. will also pay its own fees and expenses, including the fees for any counsel, accountants or advisors retained by it, as well as any underwriter's fees (including discounts, commissions or fees of the underwriters). The Registration Rights Agreement also contains customary indemnification provisions. The Registration Rights Agreement will stay in effect until the fifteenth anniversary of the closing date of the Merger.\n\nThe foregoing description of the Registration Rights Agreement does not purport to be complete and is subject to, and is qualified in its entirety by reference to, the full text of the Registration Rights Agreement, which is included as Exhibit B hereto and is incorporated herein by reference.\n\nStockholders Agreement\n\nIn connection with the Merger Agreement, on February 5, 2026, the Company, LOR, Inc., and certain other stockholders of the Company (LOR, Inc. together with such other stockholders, collectively, the \"Stockholders\") entered into a Stockholders Agreement (the \"Stockholders Agreement\") with respect to the Company Common Stock such Stockholders were to receive upon the closing of the Merger. The Stockholders Agreement became effective upon the closing of the Merger pursuant to the Merger Agreement.\n\nUnder the terms of the Stockholders Agreement, no Stockholder may transfer its shares of Company Common Stock for six months following the closing of the Merger, and no Stockholder may transfer in the aggregate more than 50% of the Company Common Stock beneficially owned by such Stockholder from the period beginning six months following the closing until the first anniversary of the closing, in each case subject to limited exceptions.\n\nFurther, under the terms of the Stockholders Agreement, for so long as the Stockholders beneficially own, in the aggregate, at least 15% of the total voting power of the outstanding capital stock of the Company, the Stockholders shall collectively have the right to nominate two directors to the board of directors of the Company, at least one of whom shall be an \"independent director.\" For so long as the Stockholders beneficially own, in the aggregate, at least 10% but less than 15% of the capital stock of the Company, the Stockholders shall have the right to nominate one director to the board of directors of the Company, which nominee is not required to be an \"independent director.\" Until the second anniversary of the closing of the Merger, the Stockholders have agreed to (i) be present in person or by proxy at any meeting of stockholders of the Company, (ii) vote in favor of each director nominated and recommended by the Company for election to the board of directors of the Company, (iii) vote against any stockholder nominations for directors that are not approved and recommended by the Company's board of directors for election to its board of directors, and (iv) vote against any proposals or resolutions to remove any member of the Company's board of directors (unless such removal was approved and recommended by the board of directors of the Company). In addition, the Stockholders have agreed to customary standstill provisions for the period ending on the second anniversary of the Merger.\n\nThe Stockholders Agreement shall automatically terminate upon the last to occur of (i) the first anniversary of the closing of the Merger, and (ii) the date at which the Stockholders cease to beneficially own, in the aggregate, at least 10% of the total voting power of the outstanding capital stock of the Company.\n\nThe foregoing description of the Stockholders Agreement does not purport to be complete and is subject to, and is qualified in its entirety by reference to, the full text of the Stockholders Agreement, which is included as Exhibit D hereto and is incorporated herein by reference.\n\nFirst Amendment to the Stockholders Agreement\n\nOn March 11, 2026, the Company and the Stockholders entered into a First Amendment to the Stockholders Agreement (the \"First Amendment to the Stockholders Agreement\"), which amends the Stockholders Agreement to remove a provision which required the written consent of the Stockholders prior to removing the Stockholders' director nominees from the board of directors of the Company.\n\nThe foregoing description of the First Amendment to the Stockholders Agreement does not purport to be complete and is subject to, and is qualified in its entirety by reference to, the full text of the First Amendment to the Stockholders Agreement, which is included as Exhibit D hereto and is incorporated herein by reference.\n\nIn addition to the foregoing, subject to applicable securities laws and regulations, market conditions and other factors, the reporting persons may sell a portion of the shares of Common Stock beneficially owned by the reporting persons from time to time in open market transactions pursuant to Rule 144 under the Securities Act of 1933, as amended, pursuant to registered secondary offerings or transactions exempt from the registration requirements of the Securities Act, in privately negotiated transactions or otherwise, including pursuant to Rule 10b5-1 plans, for liquidity, asset diversification, tax and estate planning and charitable giving purposes. The reporting persons may modify their current plans depending on the reporting persons' evaluation of various factors, including the Company's business prospects and financial position, other developments concerning the Company, the price level of the Common Stock, conditions in the securities markets and general economic and industry conditions and other factors deemed relevant by the reporting persons. Furthermore, the reporting persons continue to reserve the right to formulate plans or make proposals, and take such action with respect thereto, including any or all of the items set forth in subsections (a) through (j) of Item 4 of Schedule 13D and any other actions, as they may determine.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1638290/000110465926065757/0001104659-26-065757-index.html" }, { "accession_no": "0001104659-26-065746", "submission_type": "SCHEDULE 13D/A", "amendment_no": 25, "issuer_cik": 1069899, "issuer_name": "Phibro Animal Health Corporation", "issuer_cusip": "71742Q106", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-20", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nOn May 20 2026, BFI entered into a Rule 10b5-1 sales plan (the \"Sales Plan\") with Goldman, Sachs & Co. LLC (\"Broker\") pursuant to which Broker is authorized and directed to sell on behalf of BFI up to 750,000 shares of Class A Common Stock through March 17, 2027, subject to satisfaction of certain conditions, including among others, minimum sale prices and limits on the number of shares that can be sold on a single trading day. All transactions under the Sales Plan are to be made in accordance with the terms and conditions of the Sales Plan. The Sales Plan was adopted to enable BFI to sell a modest portion of its shares of Class A Common Stock (and Class B Common Stock that BFI converts to Class A Common Stock). By using a Rule 10b5-1 Sales Plan, BFI can diversify its investment portfolio over an extended period of time. The Sales Plan became effective as of May 20, 2026 and shall terminate on the earliest of (a) March 17, 2027, (b) the date on which all transactions under the Sales Plan are completed, (c) the date Broker reasonably determines that: (i) the Sales Plan does not comply with Rule 10b5-1(c) or other applicable laws, (ii) BFI has not complied with the Sales Plan, or (iii) BFI's representations or warranties in the Sales Plan are not true and correct, or BFI can no longer make such representations and warranties, (d) the date Broker receives notice of the death, dissolution, liquidation, bankruptcy or insolvency of BFI or the Issuer, (e) the date Broker receives notice of the closing of a merger, recapitalization, acquisition, tender or exchange offer, or other business combination or reorganization resulting in the exchange or conversion of the shares of the Issuer into shares of another company, (f) the date the stock of the Issuer is no longer listed on a national securities exchange or (g) the date that the Broker receives notice in writing of termination of the Sales Plan from BFI in the form specified in the Sales Plan with the written acknowledgement of the Issuer. The first possible trade date under the Sales Plan is September 16, 2026. Based on BFI's beneficial ownership as of May 22, 2026, if all shares covered by the Sales Plan are sold, BFI will continue to hold 56,152 shares of Class A Common Stock and 18,746,034 shares of Class B Common Stock, which are exchangeable for 18,746,034 shares of Class A Common Stock.\n\nExcept as described above, none of the Reporting Persons currently has any plans or proposals which would be related to or would result in any of the matters described in Items 4(a)-(j) of Schedule 13D. However, as part of the ongoing evaluation of investment alternatives, the Reporting Persons may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, one or more Reporting Persons may hold discussions with or make formal proposals to management or the Board of Directors of the Issuer or other third parties regarding such matters as permitted by law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1069899/000110465926065746/0001104659-26-065746-index.html" }, { "accession_no": "0001104659-26-065674", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1138723, "issuer_name": "Accuray Inc", "issuer_cusip": "004397105", "securities_class_title": "Common Stock", "date_of_event": "2026-05-19", "filed_date": "2026-05-22", "item3_funds_source": "The disclosure in Item 3 is supplemented by adding the following:\n\nOn May 19, 2026, the Issuer issued (x) to TCW Rescue Financing and TCW Direct Lending, respectively, (x) Common Stock Purchase Warrants to purchase 1,010,028 shares and 75,630 shares, respectively, of Common Stock at an exercise price of $1.25 per share (the \"May Premium Warrants\"), (y) Common Stock Purchase Warrants to purchase 1,414,040 shares and 105,882 shares, respectively, of Common Stock at an exercise price of $1.50 per share (the \"May Super Premium Warrants\"), in each case of the May Premium Warrants and Super Premium Warrants, exercisable on and after six months and one day after May 19, 2026 and expiring on May 19, 2033, and (z) Common Stock Purchase Warrants to purchase 808,023 shares and 60,504 shares, respectively, of Common Stock at an exercise price of $0.01 per share (the \"December Penny Warrants\"), exercisable on and after May 19, 2026 and expiring on May 19, 2033 (the May Premium Warrants, May Super Premium Warrants and May Penny Warrants, collectively, the \"May Warrants\" and, together with the June Warrants and December Warrants, the \"Warrants\").The May Warrants were issued to the holders thereof in connection with the making of a Delayed Draw Term Loan (as defined in the Financing Agreement) by the Issuer. Pursuant to the terms of the Financing Agreement, the issuance of the May Warrants was a condition to the obligations of the lenders under the Financing Agreement making such Delayed Draw Term Loan. No separate consideration was paid by the holders thereof for such May Warrants, and no exercise of the May Warrants has occurred. Any separate exercise price under the Warrants, if applicable, would be paid using working capital funds.", "item4_transaction_purpose": "The disclosure in Item 4 is supplemented by adding the following:\n\nThe May Warrants were issued as consideration for, and as a condition to, the lenders under the Financing Agreement providing the Delayed Draw Term Loan (as defined in the Financing Agreement).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1138723/000110465926065674/0001104659-26-065674-index.html" }, { "accession_no": "0000919574-26-003687", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 834365, "issuer_name": "BIOLIFE SOLUTIONS INC", "issuer_cusip": "09062W204", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-20", "filed_date": "2026-05-22", "item3_funds_source": "The funds for the purchase of the Shares by the Fund came from the working capital of the Fund, over which the Reporting Persons, through their roles described above in Item 2(c), exercise investment discretion. No borrowed funds were used to purchase the Shares, other than borrowed funds used for working capital purposes in the ordinary course of business.", "item4_transaction_purpose": "The Reporting Persons have acquired their Shares of the Issuer for investment. The Reporting Persons have no plans or proposals as of the date of this filing which, other than as expressly set forth below, would relate to or would result in: (a) any extraordinary corporate transaction involving the Issuer; (b) any change in the present Board of Directors or management of the Issuer; (c) any material change in the present capitalization or dividend policy of the Issuer; (d) any material change in the operating policies or corporate structure of the Issuer; (e) any change in the Issuer's charter or by-laws; (f) the Shares of the Issuer ceasing to be listed from a national securities exchange or to ceasing to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; or (g) causing the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934.\n\nThe Reporting Persons, however, reserve the right, at a later date, to effect one or more of such changes and may dispose of or enter into other transactions in the shares they may be deemed to beneficially own.\n\nThe Reporting Persons have been and may continue to be in contact with members of the Issuer's management, the Issuer's Board of Directors, other significant shareholders and others regarding alternatives that the Issuer could employ to maximize shareholder value.\n\nThe Reporting Persons further reserve the right to act in concert with any other shareholders of the Issuer, or other persons, for a common purpose should it determine to do so, and/or to recommend courses of action to management and the shareholders of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/834365/000091957426003687/0000919574-26-003687-index.html" }, { "accession_no": "0000919574-26-003685", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1818331, "issuer_name": "GeneDx Holdings Corp.", "issuer_cusip": "81663L200", "securities_class_title": "Class A common stock, par value $0.0001 per share", "date_of_event": "2026-05-20", "filed_date": "2026-05-22", "item3_funds_source": "The information set forth in Item 5(c) is hereby incorporated by reference into this Item 3. Such Shares reported as purchased in Item 5(c) were purchased with the working capital of investment funds advised by Casdin Capital, LLC.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1818331/000091957426003685/0000919574-26-003685-index.html" }, { "accession_no": "0000898432-26-000394", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1467761, "issuer_name": "FiEE, Inc.", "issuer_cusip": "60365W102", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-05-12", "filed_date": "2026-05-22", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1467761/000089843226000394/0000898432-26-000394-index.html" }, { "accession_no": "0000038777-26-000164", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1762562, "issuer_name": "CLARION PARTNERS REAL ESTATE INCOME FUND INC.", "issuer_cusip": "180567109", "securities_class_title": "Class S Common Stock, per share", "date_of_event": "2026-05-20", "filed_date": "2026-05-22", "item3_funds_source": "The Reporting Persons have invested in Class S Shares of Common Stock (\"the Shares\") as follows:\n\nOn March 12, 2021 5,223 Shares were transferred for no consideration from Legg Mason, Inc. to FRI. 88,106 Shares were acquired on April 16, 2026 and a total purchase price of $1,051,085 was paid from FRI's working capital. C. Johnson and R. Johnson, Jr. do not own directly any shares of the Issuer.", "item4_transaction_purpose": "FRI acquired the Shares for investment and to facilitate the acquisition of the Issuer's commercial real estate investments. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of the Shares at prices that would make the purchase or sale of the Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of the Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable. Other factors that may affect the Reporting Persons' investment in the Shares include, without limitation, the Issuer's financial position, results, prospects and strategic direction, actions taken by the Issuer's portfolio managers, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions.\n\n\nExcept as described above, none of the Reporting Persons covered by this Schedule 13D currently has any plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer. The Reporting Persons may at any time review, reconsider and change their position and/or change their purpose and/or develop such plans or proposals.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1762562/000003877726000164/0000038777-26-000164-index.html" }, { "accession_no": "0001763409-26-000001", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2068577, "issuer_name": "Black Rock Coffee Bar, Inc.", "issuer_cusip": "092244102", "securities_class_title": "Class A Common Stock, par value $0.00001 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-21", "item3_funds_source": "At the time of the Issuer's initial public offering (the \"IPO\"), the Reporting Persons owned (i) 316,012 shares of Class A Common Stock, held by Cynosure Partners III Offshore, LP and (ii) 7,872,592 LLC Units in Black Rock Coffee Holdings LLC (\"Black Rock Op Co\"), and an equal number of shares of Class B Common Stock, comprised of (i) 3,514,041 shares of Class B Common Stock held by Cynosure Partners 2020, LP, (ii) 260,660 shares of Class B Common Stock held by Cynosure Partners 2020 PV, LP, (iii) 660,106 shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC (for and on behalf of Series A members), (iv) 1,247,093 shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC (for and on behalf of Series B members), and (v) 2,190,692 shares of Class B Common Stock held by Cynosure Partners III, LP.\nOn May 15, 2026, Cynosure Partners III, LP, as buyer, entered into a Purchase and Assignment Agreement (the \"Purchase Agreement\") with Viking Cake Fuel, LLC and Viking Cake Fuel II, LLC, Vahalda Fuel, LLC, and Aureata Fuel, LLC, as sellers, together with the Issuer and Black Rock OpCo, pursuant to which Cynosure Partners III, LP purchased 12,042,712 LLC Units and an equal number of shares of Class C Common Stock and 1,600,000 shares of Class A Common Stock, and the sellers transferred to Cynosure Partners III, LP certain rights under a Tax Receivable Agreement by and among the Issuer, Black Rock OpCo and the other parties thereto, dated as of September 11, 2025, for an aggregate purchase price of $72,973,697.44, representing the notional amount, accrued interest, including payment-in-kind interest, and a make-whole amount (collectively, the \"Margin Loan\") due under a Margin Loan Agreement between the sellers and JPMorgan Chase Bank, N.A. (as amended, the \"Margin Loan Agreement\"). Following this sale, the Margin Loan was paid off in full and the securities previously pledged under the Margin Loan Agreement were released as collateral. Upon the closing of the transaction, the Class C Common Stock purchased by Cynosure Partners III, LP automatically converted into Class B Common Stock of the Issuer.\nIn connection with this transaction, Cynosure Partners III, LP delivered a notice of conversion to the Issuer to convert 119,892 LLC Units to Class A Common Stock on a one-to-one basis and a corresponding number of shares of Class B Common Stock were cancelled for no consideration. In addition, Cynosure Partners III, LP transferred 1,600,000 shares of Class A Common Stock to Cynosure Partners III Offshore, LP for no consideration.\nThe source of funds to acquire all of the Issuer's securities reported herein was the general working capital of the Reporting Persons, which primarily consists of capital committed by the partners of the funds and proceeds of financing facilities generally available to such funds.", "item4_transaction_purpose": "The Reporting Persons acquired the securities reported herein for investment purposes.\nThe Reporting Persons may have influence over the corporate activities of the Issuer, including activities that may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons have certain rights under the Issuer's Amended and Restated Certificate of Formation, which are described in Item 6 and incorporated by reference herein. The Reporting Persons have designated Andrew Braithwaite, a Managing Director of The Cynosure Group, LLC, as the Cynosure Nominee, and in such capacity, he may have influence over the corporate activities of the Issuer.\nRepresentatives of the Reporting Persons expect to conduct discussions from time to time with management of the Issuer, other stockholders of the Issuer or other relevant parties that may include matters relating to the financial condition, strategy, business, assets, operations, capital structure and strategic plans of the Issuer. In addition to the foregoing, the Reporting Persons may engage the Issuer, other stockholders of the Issuer or other relevant parties in discussions that may include one or more of the other actions described in subsections (a) through (j) of Item 4 of Schedule 13D.\nThe Reporting Persons expect that they will continuously review their investment position in the common stock or the Company and may, depending on the Company's performance and other market conditions, increase or decrease their investment position in the common stock. The Reporting Persons may, from time to time, make additional purchases of common stock either in the open market or in privately-negotiated transactions, depending upon the Reporting Persons' evaluation of the Company's business, prospects and financial condition, the market for the common stock, other opportunities available to the Reporting Persons, general economic conditions, stock market conditions and other factors. Depending upon the factors noted above, the Reporting Persons may also decide to hold or dispose of all or part of their investments in the common stock and/or enter into derivative transactions with institutional counterparties with respect to the Company's securities, including the common stock.\nExcept as set forth in this Item 4 or Item 6 below, the Reporting Persons have no present plans or proposals that relate to, or that would result in, any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2068577/000176340926000001/0001763409-26-000001-index.html" }, { "accession_no": "0001294357-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1287032, "issuer_name": "PROSPECT CAPITAL CORP", "issuer_cusip": "74348T102", "securities_class_title": "Common Stock, par value $ 0.001 per share", "date_of_event": "2026-05-19", "filed_date": "2026-05-21", "item3_funds_source": "Since the filing of Amendment No. 11 on March 3, 2026 through May 21, 2026, (i) Mr. Barry acquired an aggregate of 278,396.77 Shares, which include Shares held in an IRA account in his name (the John F. Barry III IRA) and consist of 78,396.77 Shares purchased with dividends through the Issuers dividend reinvestment plan and 200,000.00 Shares purchased with personal funds on the open market, and (ii) 22,186.41 Shares were purchased with dividends through the Issuers dividend reinvestment account by an IRA account controlled by Mr. Barrys spouse, Daria Barry (the Daria Barry IRA), and 0 Shares purchased with existing cash on hand on the open market by the Daria Barry IRA.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1287032/000129435726000002/0001294357-26-000002-index.html" }, { "accession_no": "0001231919-26-000523", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1348911, "issuer_name": "KalVista Pharmaceuticals, Inc.", "issuer_cusip": "483497103", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-19", "filed_date": "2026-05-21", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended to incorporate Item 5(c) hereof and to replace the last paragraph with the following:\n\nThe working capital of FLSPF, FLS X, FLS XI and FLS XII was the source of the funds for the purchase of the FLSPF Shares, the FLS X Shares, the FLS XI Shares and the FLS XII Shares. No part of the purchase price of the FLSPF Shares, the FLS X Shares, the FLS XI Shares or the FLS XII Shares was represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the FLSPF Shares, the FLS X Shares, the FLS XI Shares or the FLS XII Shares.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1348911/000123191926000523/0001231919-26-000523-index.html" }, { "accession_no": "0001213900-26-060059", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1809616, "issuer_name": "Universe Pharmaceuticals INC", "issuer_cusip": "G9442G138", "securities_class_title": "Class A ordinary shares, par value US$0.00001 per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-21", "item3_funds_source": "On May 7, 2026, the Issuer granted to Gang Lai 71,890 Class A ordinary shares and 12,610 Class B ordinary shares under the Issuer's 2026 Equity Incentive Plan (the \"Equity Grant\"), in consideration for past services rendered by Gang Lai to the Issuer. The Equity Grant was made pursuant to the terms of an award agreement entered into by and between Gang Lai and the Issuer, dated May 5, 2026 (the \"Award Agreement\"). No funds were used in connection with the Equity Grant.\n\nIn addition, Sununion Holding Group Limited, a business company incorporated in the British Virgin Islands which is owned as to 100% and controlled by Gang Lai, holds 3,467 Class B ordinary shares of the Issuer.", "item4_transaction_purpose": "Gang Lai serves as Chief Executive Officer and Chairman of the Board of Directors of the Issuer. In such capacities, Gang Lai may engage in communications with the Issuer's Board of Directors, members of management, other shareholders, financial and legal advisers, and other parties regarding the Issuer, including but not limited to the Issuer's operations, governance and control. In addition, in these capacities, he may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Except as set forth herein, Gang Lai does not have any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. He may, at any time and from time to time, review or reconsider his position and/or change his purpose and/or formulate plans or proposals with respect thereto.\n\nGang Lai acquired the ordinary shares pursuant to the Equity Grant and intends to maintain his holding in the Issuer on a continuing basis. Nevertheless, he may acquire additional shares of the Issuer or sell or otherwise dispose of any or all of the shares that he beneficially owns.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1809616/000121390026060059/0001213900-26-060059-index.html" }, { "accession_no": "0001213900-26-059910", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1912884, "issuer_name": "Republic Power Group Ltd", "issuer_cusip": "G7523E113", "securities_class_title": "Class A Ordinary Shares, par value US$0.0125", "date_of_event": "2026-05-04", "filed_date": "2026-05-21", "item3_funds_source": null, "item4_transaction_purpose": "On January 30, 2026, the Company closed an offering of 44,775,000 class A ordinary shares, par value $0.000625 each, to certain investors.\n\nOn February 23, 2026, the Company effectuated a reverse share split of its ordinary shares at a ratio of 1:20.\n\nOn April 10, 2026, the Company entered into a securities purchase agreement with True Sage, pursuant to which True Sage agreed to subscribe for and purchase from the Company, and the Company agreed to issue and sell to True Sage, an aggregate of 688,073 Class B Ordinary Shares.\n\nOn May 4, 2026, upon the Company's receipt of the instrument of transfer and application for shares as duly executed by True Sage, the Company repurchased 505,664 Class A Ordinary Shares, held by True Sage, all of which are fully paid shares, in consideration for the Company's new issuance of 505,664 Class B Ordinary Shares to True Sage. This transaction was duly approved by the stockholders of the Company on April 30, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1912884/000121390026059910/0001213900-26-059910-index.html" }, { "accession_no": "0001213900-26-059809", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2033377, "issuer_name": "Mega Fortune Co Ltd", "issuer_cusip": "G6005A102", "securities_class_title": "Ordinary shares, par value $0.000001 per share", "date_of_event": "2026-05-21", "filed_date": "2026-05-21", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated in its entirety as follows:\n\nThe information set forth in Item 5 is hereby incorporated by reference into this Item 4.\n\nOn September 30, 2025, PPCL and Ip Tsz Ying, Tin Sze Wai, Tam Tak Seng and Wong Ka Ki (collectively, the \"Mericorn Shareholders\") entered into a deposit agreement (the \"Deposit Agreement\"). Pursuant to the Deposit Agreement, PPCL paid an aggregate deposit of US$1,605,000 to the Mericorn Shareholders, and each of the Mericorn Shareholders agreed to initiate good-faith negotiations for the sale of its entire equity interest in Mericorn following expiry of certain lock-up restrictions applicable to such equity securities.\n\nOn October 22, 2025, PPCL acquired 625,237 ordinary shares of the Issuer in open market transactions through its brokerage account maintained with Futu Securities International (Hong Kong) Limited.\n\nOn December 8, 2025, PPCL and Choo Wai Hang entered into a share purchase agreement (the \"Choo Agreement\"). Pursuant to the Choo Agreement, Choo Wai Hang sold its entire equity interests in Mericorn to PPCL for an aggregate consideration of US$535, representing 0.01% of Mericorn's equity immediately prior to the transactions contemplated under the Choo Agreement (the \"Choo Transaction\"). The Choo Transaction was closed on December 8, 2025.\n\nOn January 21, 2026, PPCL, Mericorn, and the Mericorn Shareholders entered into a share purchase agreement (the \"Agreement\"). Pursuant to the Agreement, each of the Mericorn Shareholders sold its entire equity interests in Mericorn to PPCL for an aggregate consideration of US$5,349,465, representing 99.99% of Mericorn's equity immediately prior to the transactions contemplated under the Agreement (the \"Transaction\"). The Transaction was closed on January 26, 2026. Effective January 20, 2026, Mr. PoTin Wong (\"Mr. Wong\") resigned as an independent director of the Issuer. Effective January 21, 2026, Mr. Wan Kwun Lun (\"Mr. Wan\") resigned as an independent director, Mr. Chi Chuen Lai (\"Mr. Lai\") resigned as a director and the Chief Financial Officer, and Ms. Sin Yi Cheng resigned as a director and the Chief Operating Officer of the Issuer. Also effective January 21, 2026, the remaining members of the board of directors of the Issuer elected Mr. Charles Lin as an independent director to fill the vacancy resulting from Mr. Wong's resignation, Ms. Chunyan Wang as an independent director to fill the vacancy resulting from Mr. Wan's resignation, and Mr. Long Wai Lai as a director to fill the vacancy resulting from Mr. Lai's resignation.\n\nThe composition of the board of directors and its members may be further changed from time to time in accordance with the Issuer's then-effective memorandum and articles of association.\n\nThe Reporting Persons acquired beneficial ownership of the ordinary shares as described in this Schedule 13D (the \"Ordinary Shares\") as a result of the aforementioned transactions. The Reporting Persons acquired beneficial ownership of the Ordinary Shares for investment purposes. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Each Reporting Person may in the future take such actions with respect to its investment in the Issuer as it deems appropriate, including changing its current intentions, with respect to any or all matters required to be disclosed in this Schedule 13D, depending on various factors, including but not limited to the Issuer's business, prospects, financial position and strategic direction, price levels of the Ordinary Shares, conditions in the securities markets, and general economic and industry conditions. Consistent with the Reporting Persons' investment purposes, the Reporting Persons may engage in communications with, without limitation, one or more shareholders of the Issuer, management of the Issuer or one or more members of the board of directors of the Issuer, and may make suggestions concerning the Issuer's operations, prospects, business and financial strategies, strategic direction and transactions, assets and liabilities, business and financing alternatives and such other matters as the Reporting Persons may deem relevant to their investment in the Ordinary Shares. The Reporting Persons expect that they will, from time to time, review their investment position in the Issuer and may make additional purchases of Ordinary Shares (or other securities convertible or exercisable into Ordinary Shares) in the open market or in privately negotiated transactions, or hold or dispose of all or part of their investments in the Ordinary Shares, depending upon the Reporting Persons' evaluation of the Issuer's business, prospects, financial condition and strategic direction, the market for the Ordinary Shares, other opportunities available to the Reporting Persons, general economic conditions, stock market conditions and other factors.\n\nOther than the foregoing, the Reporting Persons have no present plans or proposals that relate to or that would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2033377/000121390026059809/0001213900-26-059809-index.html" }, { "accession_no": "0001193805-26-000674", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 896493, "issuer_name": "Hyperscale Data, Inc.", "issuer_cusip": "09715M804", "securities_class_title": "Class A Common Stock, par value $0.001 per share", "date_of_event": "2026-05-19", "filed_date": "2026-05-21", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe two (2) Class A Shares owned directly by Mr. Nisser were issued upon vesting of restricted stock units awarded to him in his capacity as an officer and director of the Issuer.\n\nTwo (2) Class A Shares owned directly by Mr. Ault were issued upon vesting of restricted stock units awarded to him in his capacity as an officer and director of the Issuer, and the aggregate purchase price of the other 666,298 Class A Shares beneficially owned by Mr. Ault that were purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $264,097, including brokerage commissions.\n\nThe Class B Shares owned by the Reporting Persons were issued as stock dividends by the Issuer.\n\nThe aggregate purchase price of the 2,600,005 Class A Shares beneficially owned by Ault & Company that were purchased directly by Ault & Company with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is approximately $3,197,833, including brokerage commissions.\n\nThe purchase price of the 50,000 shares of Series C Preferred Stock owned directly by Ault & Company, which are currently convertible into 432,900,430 Class A Shares, and warrants owned directly by Ault & Company, which are currently exercisable (or are exercisable within 60 days) into 422,337 Class A Shares, is $50,000,000.\n\nThe purchase price of the 960 shares of Series G Preferred Stock owned directly by Ault & Company, which are currently convertible into 8,311,688 Class A Shares, and warrants owned directly by Ault & Company, which are currently exercisable into 162,217 Class A Shares, is $960,000.\n\nThe purchase price of the 4,000 shares of Series H Preferred Stock owned directly by Ault & Company, which are currently convertible into 34,632,035 Class A Shares is $4,000,000.\n\nThe remaining warrants owned directly by Ault & Company, which are currently exercisable into 54,498 Class A Shares, were issued in connection with a senior secured convertible promissory note in the principal face amount of $17.5 million, which was sold to Ault & Company by the Issuer, for $17.5 million (the \"Senior Note\"). The Senior Note was subsequently repaid.\n\nMessrs. Ault, Horne, Nisser and Cragun have been awarded stock options to purchase 2,000,000, 2,000,000, 1,500,000 and 1,000,000 Class A Shares, respectively, in their capacity as an officer of the Issuer, which have a strike price of $0.72 per share, expire on July 30, 2035. Fifty percent (50%) of these options vested and became exercisable on the date that receipt of approval of the option grants by the Issuer's stockholders and the NYSE American. Stockholder approval was obtained on April 10, 2026 and approval from the NYSE American was obtained on May 6, 2026, so May 6, 2026 was the date that these options vested and became exercisable. The remaining 50% vest in equal monthly increments over 24 months beginning June 1, 2026.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/896493/000119380526000674/0001193805-26-000674-index.html" }, { "accession_no": "0001140361-26-022492", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1119639, "issuer_name": "PETROBRAS - PETROLEO BRASILEIRO SA", "issuer_cusip": "71654V101", "securities_class_title": "Preferred Shares, without par value", "date_of_event": "2026-05-19", "filed_date": "2026-05-21", "item3_funds_source": "The information in Item 4 is incorporated by reference herein to the extent applicable.", "item4_transaction_purpose": "This Amendment is being filed to report a decrease in the Preferred Shares beneficially owned by the Reporting Persons, as a result of a combination of open market sales made by the Reporting Persons. As a result of the foregoing, the Preferred Shares owned by the Reporting Persons decreased from 1,035,458,754 to 957,806,254 (corresponding to approximately 17.59% of the Issuer's outstanding Preferred Shares).\n\nThe aggregate percentages of the class beneficially owned by the Reporting Persons is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' 6-K.\n\nThe Reporting Persons may, from time to time, take such actions regarding their investment in the Preferred Shares as they deem appropriate. These actions may include: (i) disposing of any or all of their Preferred Shares and/or other equity, debt, notes, other securities or derivatives or other instruments of the Issuer that are based upon or relate to the value of the Preferred Shares (collectively, \"Securities\") in the open market or otherwise, including in connection with business development transactions or financing commitments in relation thereto; (ii) engaging in any hedging or similar transactions with respect to the Securities; (iii) exercising director appointment rights or cumulative voting rights to the extent permitted under Petrobras's bylaws and otherwise by law; or (iv) proposing or considering one or more of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D. In determining whether to carry out any of the above-mentioned actions, the Reporting Persons may consider factors such as Petrobras's financial position and strategic direction, actions taken by Petrobras's board of directors, price levels of the Common Shares and Preferred Shares, conditions in the securities market and general economic and industry conditions.\n\nEach of the Reporting Persons disclaims beneficial ownership in all Preferred Shares reported herein, except to the extent of the Reporting Person's respective pecuniary interest therein. This filing shall not be deemed an admission that any of the Reporting Persons constitute a \"group\" for purposes of Section 13(d) or Section 13(g) of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1119639/000114036126022492/0001140361-26-022492-index.html" }, { "accession_no": "0001104659-26-064938", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1333274, "issuer_name": "MERCER INTERNATIONAL INC.", "issuer_cusip": "588056101", "securities_class_title": "Common Stock, par value $1.00", "date_of_event": "2026-05-19", "filed_date": "2026-05-21", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1333274/000110465926064938/0001104659-26-064938-index.html" }, { "accession_no": "0001062993-26-002835", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 843006, "issuer_name": "ACCESS Newswire Inc.", "issuer_cusip": "46520M204", "securities_class_title": "Common Stock", "date_of_event": "2026-05-18", "filed_date": "2026-05-21", "item3_funds_source": "The shares owned by Yorkmont Capital Partners, LP were purchased with working capital of the fund. Of the shares held by Mr. Rein, 64,833 were purchased with personal funds held in Mr. Rein's brokerage account and 14,900 were received as restricted stock units for service on the Board of Directors. The aggregate purchase price of the 282,478 shares beneficially owned is approximately $1,976,081. No borrowed funds were used in the purchases.", "item4_transaction_purpose": "The Reporting Persons originally acquired the Common Stock subject to this Schedule 13D for investment purposes. The Reporting Persons will review their investments in the Common Stock on a continuing basis, and, subject to applicable law and regulation and depending upon certain factors, including, without limitation, the financial performance of the Issuer, the availability and price of the Common Stock, and other general market and investment conditions, the Reporting Persons may determine to:\n- acquire additional Common Stock through open market purchases or otherwise;\n- sell Common Stock through the open market or otherwise; or\n- otherwise engage or participate in a transaction with the purpose or effect of changing or influencing the control of the Company.\nSuch transactions may take place at any time and without prior notice. There can be no assurance, however, that any Reporting Person will take any such actions.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/843006/000106299326002835/0001062993-26-002835-index.html" }, { "accession_no": "0001056823-26-000016", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1438472, "issuer_name": "MIAMI INTERNATIONAL HOLDINGS, INC.", "issuer_cusip": "59356Q108", "securities_class_title": "Common Stock", "date_of_event": "2026-05-19", "filed_date": "2026-05-21", "item3_funds_source": null, "item4_transaction_purpose": "HKAM acquired the securities reported herein on behalf of the Managed Accounts for investment purposes. In the ordinary course of its business, HKAM intends to regularly review its equity interest in the Issuer and may, from time to time, acquire additional shares or other securities of the Issuer. While HKAM has no present intention to dispose of all or any portion of the shares beneficially owned by Managed Accounts, it may sell shares from time to time for a number of reasons, not limited to client requests, regulatory or investment limitations or other reasons. Any such sales of securities of the Issuer may be in the open market, privately negotiated transactions or otherwise.\n\nOn May 19, 2026, HKAM distributed 4,084,261 shares in-kind on a pro rata basis without consideration to the beneficial owners of the Managed Accounts in response to client requests.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1438472/000105682326000016/0001056823-26-000016-index.html" }, { "accession_no": "0000950103-26-007622", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1462418, "issuer_name": "ALTISOURCE PORTFOLIO SOLUTIONS S.A.", "issuer_cusip": "L0175J104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-01-16", "filed_date": "2026-05-21", "item3_funds_source": null, "item4_transaction_purpose": "On January 16, 2026, the Client Accounts sold an aggregate of 2,108 shares of Common Stock (which represents 0.018% of the outstanding shares of Common Stock).\n\nThe Reporting Person intends to evaluate on an ongoing basis its investment in the Issuer and its options with respect to such investment. Depending on market conditions, an evaluation of the business and the prospect of the Issuer and other factors, the Reporting Person may, in its sole discretion, purchase additional shares of Common Stock, or other securities convertible into or exchangeable for shares of Common Stock, and/or other equity, debt, notes instruments or other securities of the Issuer, dispose of shares of Common Stock or such other securities from time to time in the open market, in privately negotiated transactions or otherwise, and/or otherwise change its intention with respect to any and all matters referred to in this Item 4.\n\nExcept as set forth herein, the Reporting Person does not have, as of the date of this Schedule 13D, any plans or proposals that relate to or would result in any of the actions or events specified in clauses (a) through (j) of Item 4 of Schedule 13D. However, the Reporting Person reserves the right to adopt such plans or proposals in the future, subject to applicable regulatory requirements, if any.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1462418/000095010326007622/0000950103-26-007622-index.html" }, { "accession_no": "0000921895-26-001475", "submission_type": "SCHEDULE 13D/A", "amendment_no": 16, "issuer_cik": 1643303, "issuer_name": "Nano Dimension Ltd.", "issuer_cusip": "63008G203", "securities_class_title": "Ordinary Shares par value NIS 5.00 per share", "date_of_event": "2026-05-19", "filed_date": "2026-05-21", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares purchased by Nomis Bay were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 4,665,000 Shares beneficially owned by Nomis Bay is approximately $13,679,603, including brokerage commissions. In addition, in connection with the prior ADS conversions, Nomis Bay paid $270,000 in fees to the Bank of New York Mellon, as depositary.\n\nThe Shares purchased by BPY were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 3,110,000 Shares beneficially owned by BPY is approximately $9,119,060, including brokerage commissions. In addition, in connection with the prior ADS conversions, BPY paid $30,000 in fees to the Bank of New York Mellon, as depositary.\n\nThe Shares held in the Managed Positions were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 7,775,000 Shares held in the Managed Positions is approximately $22,798,519, including brokerage commissions. In addition, in connection with the prior ADS conversions, the managed positions paid $562,500 in fees to the Bank of New York Mellon, as depositary.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn May 19, 2026, Murchinson and certain funds it advises and/or sub-advises, including the holders of the Managed Positions, Nomis Bay and BPY (collectively, the \"Murchinson Proposing Shareholders\"), delivered a written request card (each a \"Written Request Card\" and collectively, the \"Written Request Cards\") and accompanying materials to a limited number of the Issuer's shareholders seeking their consent to demand that the Issuer call a special general meeting of shareholders (the \"Special Meeting\") pursuant to Section 63(b)(2) of the Companies Law, 1999 (including the regulations promulgated thereunder, the \"Companies Law\") for the purposes of (i) amending Article 39 of the Issuer's Amended and Restated Articles of Association (as amended, the \"Articles\") to declassify the Issuer's Board of Directors (the \"Board\") and provide for annual director elections, (ii) adding a new Article 71 to the Articles to provide that the Issuer may not adopt a shareholder rights plan without shareholder approval, (iii) adding a new Article 72 to the Articles prohibiting the Issuer from consummating any major transaction unless such transaction is approved and authorized by shareholders, (iv) removing certain directors of the Issuer, and (v) appointing certain new directors to fill the vacancies created by the removal of the incumbent directors at the Special Meeting (collectively, the \"Murchinson Proposed Resolutions\"). The Murchinson Proposed Resolutions, which were included as Exhibit A to the Written Request Cards and Exhibit B to the Special Meeting Demand (as defined below), are attached hereto as Exhibit 99.1 and are incorporated herein by reference.\n\nFollowing delivery of the Written Request Cards, the Murchinson Proposing Shareholders received sufficient support to call the Special Meeting. Accordingly, on May 21, 2026, the Murchinson Proposing Shareholders delivered a letter to the Issuer demanding the call of the Special Meeting (the \"Special Meeting Demand\").", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1643303/000092189526001475/0000921895-26-001475-index.html" }, { "accession_no": "0000919574-26-003637", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1766478, "issuer_name": "Angel Oak Mortgage REIT, Inc.", "issuer_cusip": "03464Y108", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-05-19", "filed_date": "2026-05-21", "item3_funds_source": null, "item4_transaction_purpose": "On May 19, 2026, Xylem entered into a stock repurchase agreement (the \"2026 Stock Repurchase Agreement\") with the Issuer and Falcons I, LLC, a Delaware limited liability company and the Issuer's external manager (the \"Manager\"), relating to the Issuer's repurchase of shares of Common Stock owned by Xylem (the \"2026 Share Repurchase\") having an aggregate purchase price of $15.0 million.\n\nSpecifically, pursuant to the 2026 Stock Repurchase Agreement, the Issuer has agreed to repurchase from Xylem shares of common stock having an aggregate purchase price of $15.0 million at a purchase price per share equal to (1) the volume-weighted average price of shares of the Common Stock for the ten trading days up to and including the trading day immediately preceding the closing date of the Share Repurchase the \"Closing Date\") less (2) a discount of 3.00% of the share price determined pursuant to clause (1) above.\n\nThe 2026 Share Repurchase was conditioned only upon Mr. Vikram Shankar, a member of the Issuer's Board of Directors, having delivered to the Issuer a letter of resignation from the Issuer's Board of Directors, with such resignation being effective as of the Closing Date and being subject to the closing of the 2026 Share Repurchase.\n\nThe Closing Date of the 2026 Share Repurchase occurred on May 20, 2026. Accordingly, on May 20, 2026, the Issuer repurchased 1,794,353 shares of Common Stock from Xylem at a price $8.3596 per share, and Mr. Vikram Shankar resigned as a member of the Issuer's Board of Directors.\n\nPursuant to the 2026 Stock Repurchase Agreement, the Issuer, the Manager and Xylem have agreed to terminate the Shareholder Rights Agreement, effective upon Mr. Vikram Shankar's resignation from the Issuer's Board of Directors, and subject to the closing of the 2026 Share Repurchase. Accordingly, with effect from the closing of the 2026 Share Repurchase, Xylem no longer has the right to designate a nominee for election to the Issuer's Board of Directors.\n\nFurthermore, pursuant to the 2026 Stock Repurchase Agreement, Xylem has agreed to permanently waive its demand and shelf registration rights under the Registration Rights Agreement, effective upon, and subject to, the closing of the 2026 Share Repurchase. Accordingly, with effect from the closing of the 2026 Share Repurchase, Xylem only has the ability to exercise piggyback registration rights under the Registration Rights Agreement.\n\nThe 2026 Stock Repurchase Agreement contains customary representations, warranties and covenants of the parties.\n\nThe foregoing description of the 2026 Stock Repurchase Agreement does not purport to be complete and is subject to and is qualified in its entirety by reference to the 2026 Stock Repurchase Agreement, a copy of which is attached hereto as 99.5 and incorporated by reference from Exhibit 10.1 to the Issuer's Current Report on Form 8-K filed with the Securities Exchange Commission on May 20, 2026, and the terms of which are incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1766478/000091957426003637/0000919574-26-003637-index.html" }, { "accession_no": "0000820478-26-000009", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 2031283, "issuer_name": "Stone Point Credit Income Fund", "issuer_cusip": "000000000", "securities_class_title": "common stock", "date_of_event": "2025-05-01", "filed_date": "2026-05-21", "item3_funds_source": "STRS Ohio has purchased 1,138,351.59 shares of common stock in the Company subject to a Subscription Agreement signed with Company on January 10, 2025.\nThe amount of funds used to acquire the stock of the Company was $28,525,497.15.\nNo part of the purchase price is or will be represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the securities.", "item4_transaction_purpose": "STRS Ohio acquired the shares of common stock in the Company for investment purposes in the course of ordinary business.\nShares are purchased each time the Company delivers a capital contribution notice to purchase shares at a price per share equal to the most recent net asset value (NAV) per share as determined by the Company Board of Directors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2031283/000082047826000009/0000820478-26-000009-index.html" }, { "accession_no": "0001683168-26-004169", "submission_type": "SCHEDULE 13D/A", "amendment_no": 27, "issuer_cik": 814586, "issuer_name": "Lifeway Foods, Inc.", "issuer_cusip": "531914109", "securities_class_title": "Common Stock", "date_of_event": "2026-05-18", "filed_date": "2026-05-20", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/814586/000168316826004169/0001683168-26-004169-index.html" }, { "accession_no": "0001213900-26-059706", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2095443, "issuer_name": "Breeze Acquisition Corp. II", "issuer_cusip": "G13227106", "securities_class_title": "Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-20", "item3_funds_source": "Funds for the purchase of securities reported herein were derived from available working capital of the Sponsor. The Sponsor paid the Issuer $25,000 for the Founder Shares (as defined in Item 4) and $4,700,000 for the Private Units (as defined in Item 4).", "item4_transaction_purpose": "Founder Shares\n\nOn September 4, 2025, pursuant to the terms of the Securities Subscription Agreement between the Sponsor and the Issuer, the Sponsor purchased 4,791,667 ordinary shares of the Issuer for an aggregate purchase price of $25,000 in cash, or approximately $0.00522 per share. On October 21, 2025, pursuant to the terms of the Amended and Restated Securities Subscription Agreement between the Sponsor and the Issuer, the Sponsor purchased an additional 259,009 ordinary shares of the Issuer for a total of 5,050,676 ordinary shares (the \"Founder Shares\") for no additional consideration. On May 14, 2026, the Sponsor transferred 35,000 Founder Shares to each of the director nominees, resulting in the Sponsor holding 4,910,676 Founder Shares. Because the underwriters did not exercise the over-allotment option in full, 131,757 Founder Shares of the Sponsor were forfeited for no consideration, resulting in the Sponsor holding 4,778,919 Founder Shares.\n\nPrivate Units\n\nOn May 14, 2026 and May 15, 2026, as part of the private placement units purchase agreement dated May 12, 2026 (the \"Private Placement Units Subscription Agreement\"), the Sponsor purchased an aggregate of 470,000 private units (the \"Private Units\") from the Issuer for an aggregate purchase price of $4,700,000. Each Private Unit consists of one ordinary share and one right (\"Private Rights\"), each right entitles the holder thereof to receive one-fifth (1/5) of one ordinary share upon the consummation of our initial business combination, subject to adjustment.\n\nThe Private Units are identical to the Public Units. If the Private Units are held by holders other than the initial purchasers or their permitted transferees, then the Private Units will be redeemable by the Issuer and exercisable by the holders on the same basis as the Public Units. The Private Units will not be transferable, assignable or saleable until after the completion of the Issuer's initial business combination, except to permitted transferees.\n\nWorking Capital Loans\n\nThe Sponsor or the Issuer's officers, directors or initial stockholders, or their respective affiliates, may, but are not obligated to, loan the Issuer funds, from time to time or at any time, in whatever amount they deem reasonable in their sole discretion. Each loan would be evidenced by a promissory note. The notes would either be paid upon consummation of the Issuer's initial Business Combination, without interest, or, at the lender's discretion, up to $1,500,000 of the notes may be converted into units at a price of $10.00 per unit (\"Working Capital Units\"). The Working Capital Units, if any, would be identical to the Private Units. The terms of such loans, if any, have not been determined.\n\nRights Agreement\n\nThe Rights are governed by the terms of the Share Rights Agreement, dated as of May 12, 2026 (the \"Rights Agreement\"), between the Issuer and Continental Stock Transfer & Trust Company (\"Continental\"), as rights agent. Each Right entitles the registered holder to receive one-fifth (1/5) of one ordinary share, subject to adjustment as described therein, at any time commencing upon the Issuer's consummation of an initial business combination.\n\nRegistration Rights\n\nPursuant to the Registration Rights Agreement, dated as of May 12, 2026 (the \"Registration Rights Agreement\"), among the Issuer, the Sponsor, and certain other security holders, the holders of the Founder Shares, the Private Units (and underlying securities) and any Working Capital Units (and underlying securities), including any securities of the Issuer issued as a dividend or other distribution with respect to or in exchange for or in replacement of such securities (collectively, the \"Registrable Securities\"), including the Sponsor, are entitled to make up to three demands that the Issuer register such securities. In addition, the holders of the Registrable Securities, including the Sponsor, have certain \"piggy-back\" registration rights with respect to registration statements filed subsequent to the Issuer's consummation of a Business Combination.\n\nLetter Agreement\n\nOn May 12, 2026, the Issuer entered into a letter agreement (the \"Letter Agreement\") with the Reporting Person and the other parties thereto (collectively, the \"Insiders\"). Under the Letter Agreement, among other matters, the Insiders agreed with the Issuer: (i) that they will not propose, or vote in favor of, any amendment to the Issuer's amended and restated memorandum and articles of association (\"MAA\") (A) to modify the substance or timing of the Issuer's obligations with respect to conversion rights as described in the Registration Statement or (B) with respect to any other provision relating to shareholders' rights or pre-initial Business Combination activity, unless the Issuer provides public shareholders with the opportunity to convert their shares upon the approval of any such amendment; (ii) that if the Issuer solicits approval of its shareholders of a Business Combination, the Insiders will vote all ordinary shares beneficially owned by them, whether acquired before, in, or after the IPO, in favor of such Business Combination; and (iii) to waive any right to exercise redemption rights with respect to any ordinary shares owned or to be owned by them, directly or indirectly (or to sell such shares to the Issuer in a tender offer), whether acquired before, in or after the IPO, and not to seek redemption with respect to such shares in connection with any vote to approve a Business Combination (or sell such shares to the Issuer in a tender offer in connection with such a Business Combination) or any amendment to the Issuer's MAA prior thereto.\n\nThe foregoing summary of certain terms of the Private Placement Units Subscription Agreement, the Share Rights Agreement, the Registration Rights Agreement and the Letter Agreement is not complete and is qualified in its entirety by reference to the full text of the documents, which are incorporated by reference as Exhibits 1-4 to this Schedule 13D.\n\nExcept as set forth herein, neither of the Reporting Persons has any present plan or proposal that would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D. The Reporting Persons intend to review the Reporting Persons' investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and strategic direction, actions taken by the board of directors, price levels of the Units, other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, the Reporting Person may in the future take such actions with respect to the Reporting Persons' investment in the Issuer as they deem appropriate including, without limitation, purchasing additional Units or selling some or all of their Units and, alone or with others, pursuing discussions with the management, the board of directors, other stockholders of the Issuer and third parties with regard to their investment in the Issuer, and/or otherwise changing their intention with respect to any and all matters referred to in Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2095443/000121390026059706/0001213900-26-059706-index.html" }, { "accession_no": "0001193125-26-233115", "submission_type": "SCHEDULE 13D/A", "amendment_no": 21, "issuer_cik": 1397187, "issuer_name": "lululemon athletica inc.", "issuer_cusip": "550021109", "securities_class_title": "Common Stock", "date_of_event": "2026-05-18", "filed_date": "2026-05-20", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn May 18, 2026, Mr. Wilson issued a press release (the \"May 18 Press Release\"), a copy of which is attached as Exhibit 99.1 to this Amendment, setting forth details of his recent negotiations with the Issuer. The May 18 Press Release highlighted Mr. Wilson's support for the eight key terms proposed by the Issuer as part of a potential resolution, and detailed Mr. Wilson's responses to other items in the Issuer's proposal, including to align the proposed framework with customary terms such as replacement rights and an expense reimbursement. The May 18 Press Release noted that such customary terms are so common that they are included in at least 14 of the last 20 settlement agreements that other clients of the Issuer's counsel have entered into in similar situations. The May 18 Press Release also expressed Mr. Wilson's willingness to continue a constructive dialogue with the Board to effect a resolution and his readiness to act in the best interests of all shareholders, whether through a vote at the Annual Meeting or a constructive resolution with the Issuer. The information contained in Exhibit 99.1 of this Amendment is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1397187/000119312526233115/0001193125-26-233115-index.html" }, { "accession_no": "0001193125-26-233062", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1228627, "issuer_name": "Opus Genetics, Inc.", "issuer_cusip": "67577R102", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-18", "filed_date": "2026-05-20", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1228627/000119312526233062/0001193125-26-233062-index.html" }, { "accession_no": "0001193125-26-232878", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1680247, "issuer_name": "ProPetro Holding Corp.", "issuer_cusip": "74347M108", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-18", "filed_date": "2026-05-20", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to include the following:\n\nOn May 20, 2026, the Reporting Persons monetized their investment via a sale of 16,600,000 shares of Common Stock of the Issuer in a block trade pursuant to Rule 144 of the Securities Act of 1933, at a price of $16.66 per share.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1680247/000119312526232878/0001193125-26-232878-index.html" }, { "accession_no": "0001193125-26-232710", "submission_type": "SCHEDULE 13D/A", "amendment_no": 27, "issuer_cik": 1915657, "issuer_name": "HF Sinclair Corporation", "issuer_cusip": "403949100", "securities_class_title": "Common Stock", "date_of_event": "2026-05-18", "filed_date": "2026-05-20", "item3_funds_source": null, "item4_transaction_purpose": "The information contained in the explanatory note and Items 3 and 6 of the Schedule 13D is incorporated herein by reference.\n\nOn May 18, 2026, the Issuer entered into a Stock Purchase Agreement (the \"Twenty-First Purchase Agreement\") with the Reporting Person to repurchase 1,455,180 shares of Common Stock, for $68.72 per share, for the aggregate purchase price of $99,999,970 in a privately negotiated transaction (the \"Twenty-Second Repurchase Transaction\"). The Twenty-Second Repurchase Transaction is expected to close on or about May 21, 2026, subject to customary closing conditions. The foregoing description of the Twenty-First Purchase Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Twenty-First Purchase Agreement, which is filed as Exhibit 10.23 hereto and is incorporated herein by reference.\n\nAs previously reported, the Reporting Person has sold its Common Stock from time to time in both open market sales and sales to the Issuer. Subject to the terms of the Stockholders Agreement, the Reporting Person expects to continue to engage in such sales (with a strong preference for sales to the Issuer), but the Reporting Person may both acquire additional Common Stock or dispose of any or all of the Common Stock, in each case, depending upon an ongoing evaluation of the investment in the Common Stock, prevailing market conditions, other investment opportunities, other investment considerations and/or other factors. The Reporting Person evaluates its investments in the Common Stock on a continual basis.\n\nAdditionally, while the Reporting Person reserves the right to make sales from time to time, it is its intent as of the date of this Amendment to maintain such sufficient ownership of Common Stock so the Reporting Person retains the right to appoint at least one director to the Board of the Issuer pursuant to the Stockholders Agreement. The Reporting Person may, at any time and from time to time, review or reconsider such position.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1915657/000119312526232710/0001193125-26-232710-index.html" }, { "accession_no": "0001193125-26-232696", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 814586, "issuer_name": "LIFEWAY FOODS, INC.", "issuer_cusip": "531914109", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-05-19", "filed_date": "2026-05-20", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and restated as follows:\nAs of May 19, 2026, the reporting persons no longer beneficially own any shares of Common Stock.", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and restated as follows:\n\nOn May 19, 2026, Danone S.A.'s wholly owned subsidiary, Danone USA Public Benefit Corporation, completed the sale of Danone USA Public Benefit Corporation's holdings in the Issuer. Danone S.A. previously disclaimed any indirect beneficial ownership of Common Stock of the Issuer and, as a result of this transaction, Danone USA Public Benefit Corporation no longer has beneficial ownership of any of the Common Stock of the Issuer. Danone USA Public Benefit Corporation and Danone S.A. are filing this Amendment as a final amendment to the Original Schedule 13D. Danone USA Public Benefit Corporation only retains voting power over the shares of Common Stock in respect of matters where there is a record date prior to May 19, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/814586/000119312526232696/0001193125-26-232696-index.html" }, { "accession_no": "0001104659-26-064511", "submission_type": "SCHEDULE 13D/A", "amendment_no": 21, "issuer_cik": 1819810, "issuer_name": "Redwire Corp", "issuer_cusip": "75776W103", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-18", "filed_date": "2026-05-20", "item3_funds_source": null, "item4_transaction_purpose": "On May 18, 2026, the Reporting Persons exercised its option to convert 46,505.13 shares of Series A Convertible Preferred Stock of the Company, par value $0.0001 per share (\"Convertible Preferred Stock\" and such conversion, the \"Conversion\") held by the Reporting Persons into shares of Common Stock in accordance with the terms of the Certificate of Designation of the Convertible Preferred Stock filed with the Delaware Secretary of State and effective October 28, 2022 (the \"Certificate of Designation\") and directed the Company to issue the shares of Common Stock issuable upon such conversion to the Reporting Persons. Pursuant to the terms of the Certification of Designation, the Reporting Persons received an aggregate of 15,247,586 shares of Common Stock of the Issuer in connection with the Conversion.\n\nFollowing the Conversion, on May 18, 2026, the Reporting Persons sold 15,247,586 shares of Common Stock pursuant to Rule 144 of the Securities Act of 1933, as amended.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819810/000110465926064511/0001104659-26-064511-index.html" }, { "accession_no": "0001104659-26-064061", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1072627, "issuer_name": "KINGSWAY Corp", "issuer_cusip": "496904202", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-18", "filed_date": "2026-05-20", "item3_funds_source": null, "item4_transaction_purpose": "Mr. Patinkin was appointed as Chairman of the Board of Directors of the Company on March 11, 2026. On May 18, 2026, in connection with his appointment as Chairman, the Company granted to Mr. Patinkin a 10-year option to purchase up to 400,000 shares of Common Stock, which will vest in four equal annual installments beginning on the grant date, or May 18, 2026. The first and second installments have an exercise price of $20.00 per share, while the third and fourth installments have an exercise price of $30.00 per share. In addition, on May 18, 2026, certain employees of David Capital Partners, LLC who provide consulting services to the Company were granted 10-year options to purchase up to 200,000 shares of Common Stock in the aggregate, which have an exercise price of $25.00 per share and vested upon grant.\n\nThe Reporting Persons acquired the securities reported in this Statement for investment purposes. The Reporting Persons and their affiliates may in the future acquire additional securities or dispose of some or all of the securities held by the Reporting Persons in open-market transactions or privately negotiated transactions, on such terms and at such times as the Reporting Persons may deem advisable. The Reporting Persons may engage in short selling or hedging or similar transactions with respect to the Common Stock, on such terms and at such times as the Reporting Persons may deem advisable, subject to applicable law.\n\nThe Reporting Persons do not have any present plan or proposal that would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein, or as may be proposed by Mr. Patinkin in his capacity as a director of the Company or by the Board of Directors with his participation. The Reporting Persons intend to review their investment in the Company on a continuing basis. Depending on various factors including, without limitation, the Company's financial position, the price levels of the securities of the Company, conditions in the securities markets, and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Company as they deem appropriate and to the extent permitted by law, including, without limitation, engaging in communications with management and/or the Board of Directors of the Company and their advisors, engaging in discussions with stockholders of the Company and others about the Company and the Reporting Persons' investment, making proposals to the Company concerning changes to the capitalization, the ownership structure, the structure, composition, and skill sets of the Board of Directors and senior management or the operations of the Company, purchasing additional securities of the Company, selling some or all of such securities, entering into financial instruments or other agreements that increase or decrease the Reporting Persons' economic or beneficial exposure with respect to their investment in the Company, engaging in short selling of or any hedging or similar transaction with respect to the securities of the Company, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1072627/000110465926064061/0001104659-26-064061-index.html" }, { "accession_no": "0001011438-26-000359", "submission_type": "SCHEDULE 13D/A", "amendment_no": 13, "issuer_cik": 1959568, "issuer_name": "Senior Credit Investments, LLC", "issuer_cusip": "000000000", "securities_class_title": "Common Limited Liability Company Units", "date_of_event": "2026-05-05", "filed_date": "2026-05-20", "item3_funds_source": "Item 3 of this Schedule 13D is supplemented and superseded, as the case may be, as follows:\r\n\r\nThe information in Item 4 is incorporated herein by reference. The Common Units of the Issuer were purchased by Platinum Falcon with the working capital of Platinum Falcon.", "item4_transaction_purpose": "Item 4 of this Schedule 13D is supplemented and superseded, as the case may be, as follows:\r\n\r\nOn March 13, 2026, the Issuer delivered a Notice to Platinum Falcon to purchase Common Units in an aggregate amount equal to $30,000,000 (the \"Fourteenth Purchase Amount\"). Platinum Falcon paid the Fourteenth Purchase Amount to the Issuer to purchase 16,876.813 Common Units at a per Common Unit purchase price of $1,777.5868, with such price and number of Common Units being determined by the Issuer on May 5, 2026.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1959568/000101143826000359/0001011438-26-000359-index.html" }, { "accession_no": "0000950103-26-007553", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1783180, "issuer_name": "Carrier Global Corp", "issuer_cusip": "14448C104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-20", "filed_date": "2026-05-20", "item3_funds_source": null, "item4_transaction_purpose": "On May 20, 2026, Viessmann Traeger HoldCo GmbH (together with its affiliates, \"VGG\") entered into a block trade (the \"Block Trade\") with JPMorgan Chase Bank, N.A. (\"JPMorgan\") with respect to a portion of VGG's ownership of Carrier Global Corporation (\"Carrier\" or the \"Company\") common stock.\n\nThe aggregate number of shares sold in the Block Trade was 12,094,823. The price of the shares sold in the Block Trade represents a discount of 2.4847% to the closing price of Carrier's common stock on May 20, 2026.\n\nVGG received the Carrier shares as consideration for Carrier's acquisition of Viessmann Climate Solutions in January 2024. VGG entered into the Block Trade to support portfolio rebalancing. Notwithstanding the Block Trade, VGG continues to hold a substantial ownership position in the Company and remains one of the Company's largest shareholders.\n\nMax Viessmann remains firmly committed to Carrier for the long term, as demonstrated by his substantial investment in the Company and his sustained focus on advancing its growth strategy and value creation framework. Mr. Viessmann believes that his investment in Carrier positions VGG to participate in the Company's long-term growth and supports the Company's competitiveness over the short-term and long-term. As further evidence of Mr. Viessmann's belief in Carrier and its future, he will proudly continue to serve on the Company's Board of Directors and will assume the role of Chair of the Company's Technology & Innovation Committee. In that capacity, Mr. Viessmann expects to devote even further time and attention to the Company and its strategic priorities. Mr. Viessmann added: \"Carrier and Viessmann Climate Solutions together represent a unique platform to accelerate innovation and drive the energy transition. I remain fully committed to Carrier and its long-term success. I look forward to taking on the role of Chair of the Technology & Innovation Committee to support the Company's strategic growth initiatives and long-term competitiveness.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1783180/000095010326007553/0000950103-26-007553-index.html" }, { "accession_no": "0000921895-26-001453", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1979332, "issuer_name": "Central Plains Bancshares, Inc.", "issuer_cusip": "15486W100", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-20", "filed_date": "2026-05-20", "item3_funds_source": "Since we last reported purchases of Common Stock, Stilwell Partners has not expended any monies to acquire shares of Common Stock.\n\nSince we last reported purchases of Common Stock, Stilwell Activist Fund has expended $10,083.15 to acquire 679 shares of Common Stock. Such funds were provided from Stilwell Activist Fund's working capital and may, from time to time, be provided in part by margin account loans from subsidiaries of Morgan Stanley or Interactive Brokers extended in the ordinary course of business.\n\nSince we last reported purchases of Common Stock, Stilwell Activist Investments has expended $60,149.89 to acquire 4,047 shares of Common Stock. Such funds were provided from Stilwell Activist Investments' working capital and may, from time to time, be provided in part by margin account loans from subsidiaries of Morgan Stanley or Interactive Brokers extended in the ordinary course of business.\n\nAll purchases of shares of Common Stock made by the Group using funds borrowed from subsidiaries of Morgan Stanley, J.P. Morgan or Interactive Brokers, if any, were made in margin transactions on their usual terms and conditions. All or part of the shares of Common Stock owned by members of the Group may from time to time be pledged with one or more banking institutions or brokerage firms as collateral for loans made by such entities to members of the Group. Such loans generally bear interest at a rate based on the broker's call rate from time to time in effect. Such indebtedness, if any, may be refinanced with other banks or broker-dealers.", "item4_transaction_purpose": "We are filing this Second Amendment to announce that we have served our notice of intent to nominate Francis \"Frank\" E. Younes for election as a director at the Issuer's upcoming 2026 annual meeting of shareholders (the \"2026 Annual Meeting\"), with Mark E. Novotny as our alternate nominee. A copy of the Nominee Agreements (as defined below) are attached as Exhibits 2 and 3 to this Second Amendment.\n\nAdditionally, we have submitted a non-binding proposal (the \"Share Repurchase Proposal\") seeking stockholder approval of a request that the Board of Directors shall take all necessary and permissible actions to repurchase no less than 10% of the Issuer's outstanding Common Stock each and every year in which the Common Stock trades below book value per share, which further entails that the Issuer have the proper trading plan(s) in place to account for blackout periods. A copy of the Share Repurchase Proposal is attached hereto as Exhibit 4 and is incorporated herein by reference.\n\nOur purpose in acquiring shares of Common Stock of the Issuer is to profit from the appreciation in the market price of the shares of Common Stock through asserting shareholder rights. We do not believe the value of the Issuer's assets is adequately reflected in the current market price of the Issuer's Common Stock.\n\nTHIS SECOND AMENDMENT MAY BE DEEMED TO BE SOLICITATION MATERIAL IN RESPECT OF THE SOLICITATION OF PROXIES BY THE GROUP FROM THE ISSUER'S STOCKHOLDERS IN CONNECTION WITH THE ISSUER'S 2026 ANNUAL MEETING. SECURITY HOLDERS ARE ADVISED TO READ THE PROXY STATEMENT AND OTHER DOCUMENTS RELATING TO THE SOLICITATION BY THE GROUP AND OTHER PARTICIPANTS OF PROXIES FROM THE ISSUER'S STOCKHOLDERS FOR USE AT THE ISSUER'S 2026 ANNUAL MEETING OF STOCKHOLDERS WHEN THEY BECOME AVAILABLE BECAUSE THEY WILL CONTAIN IMPORTANT INFORMATION, INCLUDING INFORMATION RELATING TO THE PARTICIPANTS IN OUR PROXY SOLICITATION. INFORMATION RELATING TO THE PARTICIPANTS IN OUR PROXY SOLICITATION IS INCLUDED IN SCHEDULE A, ATTACHED HERETO AND INCORPORATED BY REFERENCE HEREIN.\n\nMembers of the Group may seek to make additional purchases or sales of shares of Common Stock. Except as described in this filing, no member of the Group has any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of Item 4 of Schedule 13D. Members of the Group may, at any time and from time to time, review or reconsider their positions and formulate plans or proposals with respect thereto.\n\nSince 2000, members or affiliates of the Group have taken an \"activist position\" in 79 other publicly-traded companies. In each instance, our purpose has been to profit from the appreciation in the market price of the shares we held by asserting shareholder rights. In addition, we believed that the values of the companies' assets were not adequately reflected in the market prices of their shares.\n\nOur actions with respect to such publicly-traded companies are described in Schedule B, attached hereto and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1979332/000092189526001453/0000921895-26-001453-index.html" }, { "accession_no": "0001999371-26-011098", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1868941, "issuer_name": "Fluence Energy, Inc.", "issuer_cusip": "34379V103", "securities_class_title": "Class A Common Stock, $0.00001 par value", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1868941/000199937126011098/0001999371-26-011098-index.html" }, { "accession_no": "0001753926-26-000912", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1266806, "issuer_name": "Vivani Medical, Inc.", "issuer_cusip": "92854B109", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "The Shares were acquired with the personal funds of the Reporting Persons.", "item4_transaction_purpose": "The Reporting Persons, directly or indirectly through certain affiliates, acquired the shares of the Issuer for investment purposes. Nevertheless, as a result of his appointment in March 2018 as the non-executive Chairman of the Board of Directors and his beneficial share ownership of approximately 47.1% of the Common Stock, Mr. Williams is deemed to control the Issuer. Mr. Williams has at all times from immediately prior to and since the initial public offering of the Common Stock in November 2014 been a principal shareholder and director of the Issuer and is a member of the family which co-founded the Issuer.\n\nThe Reporting Persons will continue to evaluate their ownership, investment and voting position in the Issuer and they currently expect to continue holding Issuer's securities for investment. Moreover, they may acquire additional securities of the Issuer, upon terms which they consider to be favorable, in open market and in privately-negotiated transactions.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1266806/000175392626000912/0001753926-26-000912-index.html" }, { "accession_no": "0001493152-26-024469", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1575858, "issuer_name": "PureBase Corp", "issuer_cusip": "74624L203", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-19", "item3_funds_source": "Item 3 of this Schedule 13D is hereby amended and supplemented as follows:\n\nThe Reporting Person's responses to Item 4 are incorporated by reference in their entirety into this Item 3.\n\nOn May 8, 2026, CoreTer, LLC (\"CoreTer\"), a Nevada limited liability company owned and managed by the Reporting Person, converted $1,013,870.97 of outstanding principal and interest under the Note (as defined in Item 4 below) into 50,311,184 shares of Common Stock at a conversion price of $0.020152 per share (the \"Conversion Price\"). The Issuer and CoreTer agreed to allow this early conversion of the Note and the Conversion Price was calculated pursuant to the terms of the Note. No cash consideration was paid or received in connection with the conversion. Following the conversion, $0 of principal remains outstanding under the Note and there is $0 accrued interest remaining under the Note.\n\nOn May 8, 2026, the board of directors of the Issuer also issued 22,526,655 shares of Common Stock to CoreTer as reimbursement for $453,957.14 worth of Issuer expenses that were paid by CoreTer. These shares of Common Stock were also issued at the Conversion Price.", "item4_transaction_purpose": "Item 4 of this Schedule 13D is hereby amended and supplemented as follows:\n\nOn February 27, 2026, the Issuer entered into a line of credit agreement (the \"Line of Credit Agreement\") with CorTer, under which CoreTer agreed to make an unsecured loan to the Issuer of up to $1,000,000 until February 27, 2027. Any loan amounts are prepayable by the Issuer without interest or penalty.\n\nOn February 27, 2026, the Issuer also issued an unsecured promissory note to CoreTer (the \"Note\"), in the principal amount of the lesser of (i) $1,000,000,00 and (ii) the aggregate unpaid principal amount of all loans made pursuant to the Line of Credit Agreement, together with all accrued interest thereon. The Note bears interest at the rate of 8% per annum and matures on February 27, 2027. After the maturity date, CoreTer has the right to convert any outstanding principal and interest under the Note into shares of Common Stock at a conversion price equal to the weighted average closing price of the Common Stock for the twenty trading days prior to the conversion of the Note. The number of shares of Common Stock to which CoreTer may be entitled is subject to adjustments as a result of stock dividends, divisions, splits, combinations, reclassifications or certain corporate actions, as described in the Note.\n\nAs a result of his ownership interest in and management of CoreTer, the Reporting Person may be deemed to be a member of a \"group\" (within the meaning of Rule 13d-5 under the Exchange Act) with CoreTer. As the Reporting Person is filing separately from CoreTer, the Reporting Person is responsible for the completeness and accuracy of the information concerning the Reporting Person contained herein but is not responsible for the completeness and accuracy of any information concerning other members of the group.\n\nThe Reporting Person indirectly acquired 72,837,839 shares of Common Stock in connection with CoreTer's conversion of the Note and the Issuer's reimbursement of expenses paid by CoreTer. The information contained in Item 3 of this Schedule 13D is incorporated herein by reference.\n\nDuring the period from November 1, 2016 to May 8, 2026, Mr. Dockter gifted a total of 8,119,502 shares of Common Stock he owned to other individuals.\n\nThe Reporting Person serves as the Chief Executive Officer, President and a director of the Issuer. Accordingly, the Reporting Person may have influence over the corporate activities of the Issuer, including activities that may relate to items described in clauses (a) through (j) of Item 4 of this Schedule 13D. The Reporting Person may, from time to time, purchase or sell securities of the Issuer as appropriate for his personal circumstances. Except as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in clauses (a) through (j) of Item 4 of this Schedule 13D. The Reporting Person reserves the right to formulate plans and/or proposals and to take such actions with respect to their investment in the Issuer, including any or all of the actions set forth in clauses (a) through (j) of Item 4 of this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1575858/000149315226024469/0001493152-26-024469-index.html" }, { "accession_no": "0001493152-26-024349", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 2068577, "issuer_name": "Black Rock Coffee Bar, Inc.", "issuer_cusip": "092244102", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-03-06", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nIn March 2026, the Jeffrey R. Hernandez 2021 Trust entered into a 10b5-1 plan with J.P. Morgan Securities LLC, which provides for the sale of 348,000 shares of Class A Common Stock.\n\nOn May 15, 2026, Viking Cake Fuel, LLC and Viking Cake Fuel II, LLC, a wholly owned subsidiary of the Jeffrey R. Hernandez 2021 Trust, entered into a Purchase and Assignment Agreement, as sellers, together with Vahalda Fuel, LLC, and Aureata Fuel, LLC, as additional sellers, Cynosure Partners III, LP (\"Cynosure\"), as buyer, the Issuer and Black Rock OpCo, pursuant to which (a) Viking Cake Fuel, LLC sold 5,809,391 LLC Units and an equal number of shares of Class C Common Stock to Cynosure, (b) Viking Cake Fuel II, LLC sold 2,023,931 LLC Units and an equal number of shares of Class C Common Stock to Cynosure, and (c) each of Viking Cake Fuel, LLC and Viking Cake Fuel II, LLC transferred to Cynosure certain rights under that certain Tax Receivable Agreement by and among the Issuer, Black Rock OpCo and the other parties thereto, dated as of September 11, 2025, for an aggregate purchase price of $41,698,806.43, representing the notional amount, accrued interest, including payment-in-kind interest, and a make-whole amount (collectively, the \"Margin Loan\") due under a Margin Loan Agreement with JPMorgan Chase Bank, N.A. (as amended, the \"Margin Loan Agreement\"). Following this sale, the Margin Loan was paid off in full and the securities previously pledged under the Margin Loan Agreement were released as collateral.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2068577/000149315226024349/0001493152-26-024349-index.html" }, { "accession_no": "0001493152-26-024317", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1650101, "issuer_name": "Addentax Group Corp.", "issuer_cusip": "00653L400", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-05-19", "filed_date": "2026-05-19", "item3_funds_source": "The securities reported herein were acquired by Or Shan Shan pursuant to a share exchange transaction with Addentax Group Corp. in connection with the acquisition of 100% of the equity interest in Time is Loan Ltd. The securities were issued as consideration for such acquisition and were not acquired with cash consideration. Accordingly, no funds were used by the reporting person in acquiring the securities.\nNo part of the consideration was borrowed or otherwise obtained for the purpose of acquiring the securities.", "item4_transaction_purpose": "The securities reported herein were acquired by Or Shan Shan in connection with the acquisition of 100% of the equity interest in Time is Loan Ltd, pursuant to a share exchange transaction with Addentax Group Corp.. The shares of common stock were issued as consideration for such acquisition.\nThe reporting person acquired the securities for investment purposes. Subject to applicable laws and regulations, the reporting person may, from time to time, evaluate his investment in the issuer and may engage in discussions with management regarding the issuer's business, operations, or strategic direction.\nExcept as set forth herein, the reporting person does not currently have any plans or proposals that relate to or would result in any of the actions described in Items 4(a) through 4(j) of Schedule 13D. However, the reporting person reserves the right to formulate plans or proposals in the future and may acquire additional securities of the issuer or dispose of some or all of the securities held, depending on market conditions and other factors.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1650101/000149315226024317/0001493152-26-024317-index.html" }, { "accession_no": "0001437749-26-017859", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1389545, "issuer_name": "Stablecoin Development Corp", "issuer_cusip": "66987P508", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-05-17", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1389545/000143774926017859/0001437749-26-017859-index.html" }, { "accession_no": "0001437749-26-017858", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1389545, "issuer_name": "Stablecoin Development Corp", "issuer_cusip": "66987P508", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-05-17", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1389545/000143774926017858/0001437749-26-017858-index.html" }, { "accession_no": "0001213900-26-059202", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 2034268, "issuer_name": "Cantor Equity Partners III, Inc.", "issuer_cusip": "G1828A108", "securities_class_title": "Class A Ordinary Shares, $0.0001 par value", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "Item 3 is hereby amended and supplemented with the information in Item 4 responsive hereto, which is incorporated by reference herein.", "item4_transaction_purpose": "The information set forth in Item 4 of the Schedule 13D is amended and supplemented as follows:\n\nIssuance of Class A Ordinary Shares\n\nOn May 15, 2026, the Issuer issued 102,009 Class A ordinary shares, par value $0.0001 per share, of the Issuer (\"Class A Ordinary Shares\") to the Sponsor in repayment of amounts outstanding under the promissory note, dated June 25, 2025, made by the Issuer in favor of the Sponsor at $10.00 per share in connection with the consummation of the Business Combination and the terms of the Sponsor Support Agreement.\n\nCancellation of Class B Ordinary Shares\n\nOn May 15, 2026, in connection with the consummation of the Business Combination, an aggregate of 3,400,000 Class B ordinary shares, par value $0.0001 per share, of the Issuer (\"Class B Ordinary Shares\" and, together with the \"Class A Ordinary Shares,\" the \"Ordinary Shares\") were surrendered for cancellation by the Sponsor to the Issuer for no consideration in accordance with the Sponsor Support Agreement (the \"Class B Cancellation\"). Following the Class B Cancellation, the Sponsor owned 3,500,000 Class B Ordinary Shares.\n\nConsummation of the Business Combination\n\nIn connection with the closing of the Business Combination on May 15, 2026, pursuant to the Business Combination Agreement, on May 15, 2026, among other things, Cayman Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving entity, and as a result of which the Issuer's shareholders received one ordinary share, par value $0.0001 per share, of Pubco (a \"Pubco Ordinary Share\") for each Ordinary Share held by such shareholder other than the Class B Ordinary Shares surrendered by the Sponsor as described above and any Class A Ordinary Shares that were validly redeemed (the \"Cayman Merger\").\n\nAs a result of the Cayman Merger, the Ordinary Shares held by the Sponsor in the Issuer were automatically cancelled and, in exchange, the Sponsor received an equal number of Pubco Ordinary Shares pursuant to the Business Combination Agreement. Therefore, as of the date hereof, the Reporting Persons no longer beneficially own any securities of the Issuer, including Ordinary Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2034268/000121390026059202/0001213900-26-059202-index.html" }, { "accession_no": "0001213900-26-058986", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1874315, "issuer_name": "Satellogic Inc.", "issuer_cusip": "G7823S101", "securities_class_title": "Class A Common Stock, $0.0001 par value", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1874315/000121390026058986/0001213900-26-058986-index.html" }, { "accession_no": "0001213900-26-058833", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1453015, "issuer_name": "Ballard Power Systems Inc.", "issuer_cusip": "058586108", "securities_class_title": "Common Shares", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1453015/000121390026058833/0001213900-26-058833-index.html" }, { "accession_no": "0001193805-26-000655", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1915380, "issuer_name": "dMY Squared Technology Group, Inc.", "issuer_cusip": "233276104", "securities_class_title": "Class A common stock, par value $0.0001 per share", "date_of_event": "2026-03-19", "filed_date": "2026-05-19", "item3_funds_source": "The information set forth in Item 4 of this Schedule 13D Amendment is hereby incorporated by reference into this Item 3.", "item4_transaction_purpose": "On March 19, 2026, Horizon Quantum Holdings Ltd., a Singapore public company limited by shares (\"Horizon\"), consummated the Transaction with dMY Squared Technology Group, Inc., a Massachusetts corporation (the \"Issuer\") and various other parties. As part of the Transaction, each outstanding share of Class A Common Stock of the Issuer (excluding any such shares which were redeemed as part of the Transaction) were automatically converted into the right to receive one Class A Share of Horizon (the \"Horizon Class A Shares\"). The Horizon Class A Shares were registered with the SEC on Form 8-A, effective March 19, 2025. Immediately following the Transaction, (i) there were 31,833,549 Horizon Class A Shares and 19,744,585 Horizon Class B Shares of Horizon issued and outstanding and (ii) the Reporting Person's entire holdings in Horizon securities consisted of 231,520 Horizon Class A Shares which shares it continues to hold as of the time of this Schedule 13D Amendment filing. The Reporting Person holds less than 5% of the Horizon Class A Shares and is not a Schedule 13D filer with regard to its holdings of Horizon Class A Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1915380/000119380526000655/0001193805-26-000655-index.html" }, { "accession_no": "0001193125-26-231493", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1065088, "issuer_name": "eBay Inc.", "issuer_cusip": "278642103", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "Item 3 of the Original 13D is hereby supplemented as follows:\n\n\"As further detailed on Exhibit 99.2 of Amendment No. 1, GameStop has entered into additional Put/Call Pairs providing economic exposure to a further 6,902,699 shares of Common Stock (i.e., a further approximately 1.55% of the Common Stock). Such Put/Call Pairs are only settleable in cash until the HSR Act Condition is satisfied. Following the satisfaction of the HSR Act Condition, the Put/Call Pairs are settleable either in cash or in shares of Common Stock at the option of the exercising party. The source of funds to be used by GameStop to settle such shares of Common Stock, to the extent GameStop elects physical settlement, is anticipated to be cash from its working capital. The total net premium paid by the Reporting Person for the 29,078,699 Put/Call Pairs reported on this Schedule 13D was $7,007,703.76 and was paid from the Reporting Person's working capital.\n\nUnless noted above, no portion of the purchase price for either of the shares of Common Stock beneficially owned directly by the Reporting Person or the shares of Common Stock underlying the Put/Call Pairs was or is currently expected to be borrowed by the Reporting Person for the purpose of acquiring, holding, trading or voting any securities discussed in this Item 3.\n\nTo the knowledge of the Reporting Person, as of the filing of this Amendment No. 1, none of the executive officers or directors of the Reporting Person listed on Exhibit 99.3 have anything to disclose with respect to themselves in response to this Item that is additional to what has been disclosed in response to this Item by the Reporting Person.\"", "item4_transaction_purpose": "Item 4 of the Original 13D is hereby supplemented as follows:\n\n\"The response to Item 3, Item 6 and Exhibit 99.2 of Amendment No. 1 are each incorporated herein by reference.\n\nTo the knowledge of the Reporting Person, as of the filing of this Amendment No. 1, none of the executive officers or directors of the Reporting Person listed on Exhibit 99.3 have anything to disclose with respect to themselves in response to this Item that is additional to what has been disclosed in response to this Item by the Reporting Person.\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1065088/000119312526231493/0001193125-26-231493-index.html" }, { "accession_no": "0001193125-26-231479", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1109116, "issuer_name": "Entravision Communications Corporation", "issuer_cusip": "29382R107", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to include the following:\n\nThe Reporting Persons sold an aggregate of 3,690,963 shares of Class A Common Stock as follows:\n\n1. On May 7, 2026, the Survivor's Trust sold an aggregate of 343,563 shares of Class A Common Stock in the open market at a weighted average price of $6.975 per share, for gross proceeds of approximately $2,396,352 (1);\n2. On May 7, 2026, the Ulloa Irrevocable Trust sold an aggregate of 333,585 shares of Class A Common Stock in the open market at a weighted average price of $6.968 per share, for gross proceeds of approximately $2,324,420 (2);\n3. On May 8, 2026, the Survivor's Trust sold an aggregate of 332,498 shares of Class A Common Stock in the open market at a weighted average price of $6.787 per share, for gross proceeds of approximately $2,256,663 (3);\n4. On May 8, 2026, the Ulloa Irrevocable Trust sold an aggregate of 166,415 shares of Class A Common Stock in the open market at a weighted average price of $6.604 per share, for gross proceeds of approximately $2,574,556 (4);\n5. On May 11, 2026, the Survivor's Trust sold an aggregate of 323,939 shares of Class A Common Stock in the open market at a weighted average price of $8.033 per share, for gross proceeds of approximately $2,602,202 (5);\n6. On May 12, 2026, the Survivor's Trust sold an aggregate of 160,282 shares of Class A Common Stock in the open market at a weighted average price of $8.326 per share, for gross proceeds of approximately $1,334,508 (6);\n7. On May 13, 2026, the Survivor's Trust sold an aggregate of 685,111 shares of Class A Common Stock in the open market at a weighted average price of $8.709 per share, for gross proceeds of approximately $5,966,631 (7);\n8. On May 14, 2026, the Survivor's Trust sold an aggregate of 338,976 shares of Class A Common Stock in the open market at a weighted average price of $9.025 per share, for gross proceeds of approximately $3,059,258 (8);\n9. On May 15, 2026, the Survivor's Trust sold an aggregate of 259,848 shares of Class A Common Stock in the open market at a weighted average price of $8.048 per share, for gross proceeds of approximately $2,091,256 (9);\n10. On May 18, 2026, the Survivor's Trust sold an aggregate of 468,583 shares of Class A Common Stock in the open market at a weighted average price of $7.9859 per share, for gross proceeds of approximately $3,742,057 (10);\n11. On May 19, 2026, the Survivor's Trust sold an aggregate of 278,163 shares of Class A Common Stock in the open market at a weighted average price of $7.798 per share, for gross proceeds of approximately $2,169,115 (11);\n\n(1) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.59 to $7.53, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(2) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.59 to $7.36, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(3) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.20 to $7.15, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(4) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.20 to $7.12, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(5) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $7.34 to $8.46, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(6) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $8.11 to $8.52, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(7) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $7.95 to $9.235, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(8) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $8.70 to $9.40, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(9) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $7.77 to $8.77, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(10) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $7.75 to $8.22, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(11) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $7.715 to $8.09, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented to include the following:\n\n(1) On May 18, 2026, the Issuer and the Reporting Persons (the \"Stockholders\") mutually agreed to terminate the Cooperation Agreement between the parties (the \"Cooperation Agreement\").\n\nThe Company and the Stockholders entered into the Cooperation Agreement on May 4, 2023. Under the agreement terms, the Company agreed to nominate the Stockholders' candidate to the Company board of directors, and the Stockholders agreed to specific commitments regarding their ownership of the Company's stock.\n\nAs a result of the termination, the Cooperation Agreement is of no further force or effect, and all rights and obligations of the Company and the Stockholders thereunder have been terminated.\n\nThe foregoing description of the Cooperation Agreement is qualified in its entirety by reference to the full text of the Cooperation Agreement, a copy of which is filed as Exhibit 99.1 hereto and incorporated herein by reference.\n\n(2) The Survivor's Trust under the Ulloa Seros Family Trust currently intends to sell, subject to market conditions and other factors, up to 809,037 additional shares in the open market from time to time, for asset diversification, tax and estate planning purposes. Each Reporting Person intends to continuously review its respective investment in the Issuer, and reserves the right to change its plans at any time, as it deems appropriate. Accordingly, the Reporting Persons may acquire additional shares of Class A Common Stock in private or open market transactions, in each case for investment purposes, and may dispose of shares of Class A Common Stock in private or open market transactions or otherwise.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1109116/000119312526231479/0001193125-26-231479-index.html" }, { "accession_no": "0001193125-26-231436", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1837240, "issuer_name": "Symbotic Inc.", "issuer_cusip": "87151X101", "securities_class_title": "Class A common stock, par value $0.0001 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "On May 15, 2026, pursuant to a letter of direction from the trustee of The 2014 QSST F/B/O Perry Cohen (the \"2014 QSST\"), the 2014 QSST distributed 10,853,484 shares and 10,853,484 common units in Symbotic Holdings LLC (\"OpCo\" and such units, \"OpCo Units\") of Class V-3 Common Stock to The Goose Pond Trust (the \"Distribution\").", "item4_transaction_purpose": "The Goose Pond Trust was formed for certain estate planning purposes for the benefit of the trust's beneficiaries. The settlor of The Goose Pond Trust does not retain any voting or dispositive power over shares held of record by The Goose Pond Trust.\n\nThe Reporting Persons may engage in discussions from time to time with members of the Issuer's management and/or Board of Directors and/or with other shareholders of the Issuer and/or other third parties. Such discussions may include, without limitation, discussions with respect to the governance, board composition, management, operations, business, assets, capitalization, financial condition, strategic plans and future of the Issuer, as well as other matters related to the Issuer. These discussions may also include a review of options for enhancing shareholder value through, among other things, various strategic alternatives (including acquisitions and divestitures) or operational or management initiatives.\n\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis and may take from time to time and at any time in the future, depending on various factors (including, without limitation, the outcome of any discussions referenced above), such actions as they deem appropriate in respect thereof, including proposing or considering, or changing their intention with respect to, one or more of the actions described above or otherwise referred to in subparagraphs (a)-(j), inclusive, of Item 4 of Schedule 13D. The Reporting Persons may also take steps to explore and prepare for various plans and actions, and propose transactions, regarding the foregoing matters, before forming an intention to engage in such plans or actions or proceed with such transactions.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1837240/000119312526231436/0001193125-26-231436-index.html" }, { "accession_no": "0001193125-26-231421", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1837240, "issuer_name": "Symbotic Inc.", "issuer_cusip": "87151X101", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of Schedule 13D is hereby amended to include the following:\n\nOn May 15, 2026, pursuant to the terms of The 2014 QSST F/B/O Perry Cohen (the \"2014 QSST\") and a letter of direction from the trustee of the 2014 QSST, the 2014 QSST distributed (a) 10,853,484 shares of V-3 Common Stock of Symbotic Inc. and 10,853,484 common units in Symbotic Holdings LLC (\"OpCo\" and such units, \"OpCo Units\") to The Goose Pond Trust and (b) 384,222 shares of Class V-1 Common Stock and 1,615,484 shares of V-3 Common Stock of Symbotic Inc. and 2,000,000 OpCo Units to the Diamond Trust (the \"Distribution\").", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1837240/000119312526231421/0001193125-26-231421-index.html" }, { "accession_no": "0001193125-26-230872", "submission_type": "SCHEDULE 13D/A", "amendment_no": 16, "issuer_cik": 1638290, "issuer_name": "MasterCraft Boat Holdings, Inc.", "issuer_cusip": "57637H103", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1638290/000119312526230872/0001193125-26-230872-index.html" }, { "accession_no": "0001193125-26-230372", "submission_type": "SCHEDULE 13D/A", "amendment_no": 18, "issuer_cik": 850429, "issuer_name": "TREDEGAR CORPORATION", "issuer_cusip": "894650100", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/850429/000119312526230372/0001193125-26-230372-index.html" }, { "accession_no": "0001104659-26-063923", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1835856, "issuer_name": "Better Home & Finance Holding Co", "issuer_cusip": "08774B102", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-09", "filed_date": "2026-05-19", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and supplemented as follows: The information set forth in Item 4 hereof is hereby incorporated by reference into this Item 3, as applicable.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented to include the following:\n\nPurchaser by Telco Holding Trust: Between May 7, 2026 and May 8, 2026, Telco Holding Trust purchased an aggregate of 298,756 shares of Class A Common Stock of the Issuer in open market purchases, as set forth in Annex A hereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1835856/000110465926063923/0001104659-26-063923-index.html" }, { "accession_no": "0001104659-26-063914", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 1129155, "issuer_name": "Marine Products Corporation", "issuer_cusip": "568427108", "securities_class_title": "Common Stock, $.10 Par Value", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "See the Schedule 13D, as amended, for historical information.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\nOn May 15, 2026, pursuant to the terms of the Merger Agreement, the Merger was consummated. Upon consummation of the Merger, each issued and outstanding share of Common Stock of the Company was converted into the right to receive 0.232 validly issued, fully paid and nonassessable shares of common stock, par value $0.01 per share, of MasterCraft and $2.43 in cash, without interest. As a result, the Reporting Persons no longer beneficially own any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1129155/000110465926063914/0001104659-26-063914-index.html" }, { "accession_no": "0001104659-26-063854", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1579877, "issuer_name": "OUTFRONT Media Inc.", "issuer_cusip": "69007J106", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby supplemented as follows:\n\nOn May 15, 2026, PEP VIII (Scotland) SPV, L.P., PEP VIII Co-Invest SPV, L.P., PEP VIII SPV, L.P., PEP VIII-A AIV SPV, L.P. and PEP VIII-A SPV, L.P. (collectively, the \"PEP SPVs\") sold 20,709 shares, 909,091 shares, 2,010,564 shares, 687,200 shares and 1,372,436 shares of Common Stock, respectively, for $32.46 per share in an unregistered block trade pursuant to Rule 144 under the Securities Act of 1933, as amended.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1579877/000110465926063854/0001104659-26-063854-index.html" }, { "accession_no": "0001104659-26-063766", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1649752, "issuer_name": "NOUVEAU MONDE GRAPHITE INC.", "issuer_cusip": "66979W842", "securities_class_title": "Common Shares, no par value", "date_of_event": "2024-12-20", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649752/000110465926063766/0001104659-26-063766-index.html" }, { "accession_no": "0001104659-26-063392", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1508475, "issuer_name": "VNET Group, Inc.", "issuer_cusip": "G91458102", "securities_class_title": "Class A Ordinary Shares, Par Value US$0.00001 Per Share", "date_of_event": "2026-05-13", "filed_date": "2026-05-19", "item3_funds_source": "There is no update or amendment to this Item 3.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is amended by adding the following paragraph at the end thereof:\n\nOn May 13, 2026, Success Flow and Choice Faith (together, the \"Sellers\"), entered into the Share Purchase Agreement (the \"Share Purchase Agreement\") with PJ Millennium I Limited and PJ Millennium II Limited (together, the \"Purchasers\"), the Issuer, and the Founder Shareholders Group (as defined below). Pursuant to the Share Purchase Agreement, Success Flow and Choice Faith have agreed to sell, and the Purchasers have agreed to acquire, 650,424,192 Class A Ordinary Shares (the \"Sale Shares\"), 455,296,932 of which is held by Success Flow (the \"Success Flow Sale Shares\") and 195,127,260 of which is held by Choice Faith (the \"Choice Faith Sale Shares\") at an aggregate consideration of US$942,182,804 (the \"Consideration\") (such sale and purchase, the \"Disposal\"), subject to the terms and conditions of the Share Purchase Agreement.\n\nThe Consideration shall be paid in cash by the Purchasers in the following manner: (i) a deposit amount equal to 30% of the Consideration (the \"Deposit Amount\") shall be paid by the Purchasers to the Sellers promptly upon the execution and delivery of the Share Purchase Agreement; and (ii) the balance of the Consideration, being the amount equal to the Consideration minus the Deposit Amount, shall be paid by the Purchasers to the Sellers at Closing (as defined below), except where the Purchasers elect to exercise their right to require the Choice Faith Closing (as defined below), in which case the Consideration shall be paid in the following manner: (i) the consideration of the Choice Faith Closing shall be 30% of the Consideration (the \"Choice Faith Closing Consideration\"), the payment of which shall be satisfied by (a) the Sellers retaining 30% of the Deposit Amount, and (b) the Purchasers paying the balance thereof, being an amount equal to the Choice Faith Closing Consideration minus such 30% of Deposit Amount, to Choice Faith at the Choice Faith Closing, and (ii) the consideration of the closing of the sale and purchase of the Sale Shares held by Success Flow (the \"Success Flow Closing\") shall be 70% of the Consideration (the \"Success Flow Closing Consideration\"), the payment of which shall be satisfied by (a) the Sellers retaining 70% of the Deposit Amount, and (b) the Purchasers paying the balance thereof, being an amount equal to the Success Flow Closing Consideration minus such 70% of Deposit Amount, to Success Flow at the Success Flow Closing.\n\nOther than the clauses in relation to the definitions, the payment of the Deposit Amount, certain of the Issuer's acknowledgement, consent and covenants for facilitation, certain indemnification obligations of the Issuer and the Founder Shareholders Group, effectiveness and termination mechanism, publicity and confidentiality, and general provisions and boilerplates, the Share Purchase Agreement shall only take effect upon (i) receipt by the Sellers of 29% of the Deposit Amount (the \"Initial Deposit Amount\"), and (ii) delivery by the Sellers to the Purchasers and the Issuer of a written notice confirming receipt of the Initial Deposit Amount (the \"Seller Confirmation\").\n\nThe obligations of the Sellers and the Purchasers to complete the sale and purchase of the Sale Shares are, in all respects, conditional on the transactions contemplated in the Share Purchase Agreement having been approved by the shareholders of SDHG (\"Shareholders\") at a special general meeting of SDHG (the \"SGM\") duly convened (or at any adjournment or postponement thereof) in accordance with applicable laws, the Rules Governing the Listing of Securities on the Stock Exchange (the \"Listing Rules\") and SDHG's bylaws, and such approval remaining in full force and effect as of the Closing Date (the \"Closing Condition\").\n\nThe closing of the sale and purchase of the Sale Shares (the \"Closing\") shall take place on a date that is the later of (a) the 3rd Business Day after the satisfaction or waiver of the Closing Condition and (b) October 30, 2026 (or such other date or time as the Purchasers and the Sellers may mutually agree upon in writing) (such date, the \"Closing Date\"). Neither the Sellers nor the Purchasers shall be obliged to complete the sale and purchase of any Sale Shares unless the sale and purchase of all of the Sale Shares is completed simultaneously.\n\nOn or before August 31, 2026, the Purchasers may provide a written notice (the \"Choice Faith Closing Notice\") to the Sellers to require a separate early closing (the \"Choice Faith Closing\") with respect to the sale and purchase of all of the Choice Faith Sale Shares, upon which and provided that the Closing Condition has been and remains satisfied as of the Choice Faith Closing Date (as defined below), the Share Purchase Agreement shall, subject to the actual consummation of the Choice Faith Closing on the Choice Faith Closing Date, be automatically amended in such manner as specified in the Share Purchase Agreement to accommodate the sale and purchase of the Sale Shares in 2 tranches on the same terms and conditions set forth in the Share Purchase Agreement, applied mutatis mutandis, such that: (i) the Choice Faith Closing will take place on the 10th Business Day following the delivery and receipt of the Choice Faith Closing Notice (or such earlier date as the Purchasers, the Sellers and the Issuer may agree in writing), which shall in any event be no later than September 15, 2026 (the \"Choice Faith Closing Date\"); while (ii) the Success Flow Closing will remain to take place on the Closing Date.\n\nExcept where the Choice Faith Closing has taken place as described above, from August 31, 2026 (or, if later, the Choice Faith Closing Date as set out in the Choice Faith Closing Notice delivered by the Purchasers on or before August 31, 2026) until 5 Business Days before the Closing, Choice Faith may, at its discretion, transfer or dispose of, from time to time, any or all of the Choice Faith Sale Shares, provided that Choice Faith shall deliver a written notice to the Purchasers, with a copy to the Issuer, within 3 Business Days after the completion of any transfer or disposal of any Choice Faith Sale Shares (provided that such notice shall in any event be delivered by no later than 5 Business Days before the Closing).\n\nWith effect from the Closing Date: (i) all agreements entered into by the Sellers with the Issuer and/or the Founder Shareholders Group, including the Investment Agreement, the Investor Rights Agreement and the Voting and Consortium Agreement (together, the \"Existing Agreements\"), shall be terminated; and (ii) (a) the Issuer and/or the Founder Shareholders Group (as applicable), on one hand, and (b) the Sellers, on the other hand, irrevocably waive and release any claim each of them has, has ever had or may thereafter have (whether in contract, tort or otherwise) against the other under the Existing Agreements.\n\nThe Sellers shall, as soon as reasonably practicable and in any event within 30 calendar days after the date of the Share Purchase Agreement (or such longer period as otherwise agreed with the relevant tax authority in the PRC), submit to the relevant PRC tax authority the relevant filings and supporting documents and information required under the State Taxation Administration's Bulletin on Several Issues of Enterprise Income Tax on Income Arising from Indirect Transfers of Property by Non-resident Enterprises (State Taxation Administration Bulletin [2015] No. 7) (\"Bulletin 7\") in respect of the Disposal (the \"Bulletin 7 Filing\"). The Sellers shall (i) inform and provide a copy of the Bulletin 7 Filing to the Purchasers within 3 Business Days after the Bulletin 7 Filing has been submitted, and (ii) provide the Purchasers with evidence of the relevant tax payment as required under Bulletin 7 in respect of the Disposal within 3 Business Days after such payment.\n\nThe termination events under the Share Purchase Agreement are as follows:\n\n(a) Automatic Termination: The Share Purchase Agreement shall be automatically terminated if the Initial Deposit Amount is not received in full by the Sellers by 8:00 p.m. (Hong Kong time) on the date of the Share Purchase Agreement.\n\n(b) Termination by the Sellers: The Sellers may terminate the Share Purchase Agreement by written notice to the Purchasers (with a copy to the Issuer) if: (i) there is a breach of the relevant publicity and confidentiality provisions of the Share Purchase Agreement by the Issuer or any member of the Founder Shareholders Group prior to delivery of the Seller Confirmation; (ii) the remaining Deposit Amount, being the Deposit Amount minus the Initial Deposit Amount (the \"Remaining Deposit Amount\"), is not received in full by the Sellers by 6:00 p.m. (Hong Kong time) on the 5th Business Day following the date of the Share Purchase Agreement (such date is extendable to the 10th Business Day following the date of the Share Purchase Agreement in certain circumstances specified in the Share Purchase Agreement); (iii) either Purchaser breaches its clean funds representation and warranty as of the Closing Date; or (iv) except where the Purchasers are entitled to terminate the Share Purchase Agreement in certain circumstances as specified in the Share Purchase Agreement, either Purchaser fails to provide its closing deliverables under the Share Purchase Agreement.\n\n(c) Termination by the Purchasers: The Purchasers may terminate the Share Purchase Agreement by written notice to the Sellers (with a copy to the Issuer) if: (i) either Seller breaches its clean title representation and warranty as of the Closing Date; or (ii) except where the Sellers are entitled to terminate the Share Purchase Agreement in certain circumstances as specified in the Share Purchase Agreement, either Seller fails to provide its closing deliverables under the Share Purchase Agreement.\n\n(d) Mutual Termination by either the Sellers or the Purchasers: Either the Sellers or the Purchasers may terminate the Share Purchase Agreement by written notice to the other parties (with a copy to the Issuer) if: (i) the Shareholders do not approve the Disposal at the SGM or the SGM has not been convened on or prior to October 31, 2026 (the \"Long Stop Date\"); (ii) the Stock Exchange or the Securities and Futures Commission of Hong Kong (the \"SFC\") prohibits the consummation of the transfer of the Sale Shares to the Purchasers pursuant to the Listing Rules or certain applicable laws, respectively; (iii) a governmental order that prohibits, or otherwise has the effect of rendering the consummation of the Disposal illegal or void has been imposed, provided that this termination right is not available to the party whose breach of the Share Purchase Agreement has caused the imposition of such governmental order; or (iv) clearance from the Stock Exchange in respect of the signing announcement, the closing announcement or the circular in relation to the Disposal has not been obtained by SDHG on or prior to the Long Stop Date, provided that this termination right is not available to the party whose breach of the Share Purchase Agreement has caused the failure to obtain such clearance.\n\nUpon occurrence of any of the above termination events, the Deposit Amount shall be dealt with as follows: (A) the Deposit Amount received shall be returned to the Purchasers if (i) the Initial Deposit Amount is not received in time (automatic termination), (ii) there is a breach of the relevant publicity and confidentiality provisions by the Issuer or any member of the Founder Shareholders Group prior to delivery of the Seller Confirmation, (iii) the requisite Shareholders' approval in relation to the Disposal is not obtained at the SGM or the SGM has not been convened by the Long Stop Date, (iv) certain clearance from the Stock Exchange is not obtained by the Long Stop Date, (v) the Stock Exchange or the SFC prohibits the Disposal pursuant to the Listing Rules or certain applicable laws, respectively, or (vi) a governmental order prohibits the Disposal or otherwise renders it illegal or void has been imposed, except that in certain circumstances where such governmental order is imposed by a governmental authority other than a national-level governmental authority in the PRC or a federal-level governmental authority in the United States and such imposition is attributable primarily to the Purchasers or their affiliates, the amount returned shall be reduced by 30% of the Deposit Amount, and such 30% of the Deposit Amount shall be deemed forfeited to the Sellers as liquidated damages (and vice versa where such governmental order is so imposed and such imposition is attributable primarily to the Sellers or SDHG, the Sellers shall, in addition to returning the Deposit Amount, pay an amount equal to 30% of the Deposit Amount to the Purchasers as liquidated damages); (B) the Initial Deposit Amount shall be deemed forfeited to the Sellers as liquidated damages if the Remaining Deposit Amount is not received by the Sellers by the prescribed time limit described above; (C) the Deposit Amount shall be deemed forfeited to the Sellers as liquidated damages if either Purchaser breaches its clean funds representation and warranty as of the Closing Date or fails to provide its closing deliverables; and (D) the Sellers shall return the Deposit Amount to the Purchasers and shall pay an additional amount equal to the Deposit Amount as liquidated damages to the Purchasers if either Seller breaches its clean title representation and warranty as of the Closing Date or fails to provide its closing deliverables.\n\nIn this Amendment No. 1, Founder Shareholders Group shall refer to Mr. Sheng Chen, GenTao Capital Limited, Fast Horse Technology Limited, Sunrise Corporate Holding Ltd. and Personal Group Limited.\n\nThe foregoing descriptions of the Share Purchase Agreement in this Item 4 do not purport to be complete and are qualified in their entirety by reference to Exhibit 99.6 filed as set forth below and which is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1508475/000110465926063392/0001104659-26-063392-index.html" }, { "accession_no": "0001104659-26-063388", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1867102, "issuer_name": "Vertical Aerospace Ltd.", "issuer_cusip": "G9471C107", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-04-20", "filed_date": "2026-05-19", "item3_funds_source": null, "item4_transaction_purpose": "This Item 4 of the Schedule 13D is amended and supplemented as follows:\n\nThe information disclosed in Item 6 of this Amendment No. 7 is incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1867102/000110465926063388/0001104659-26-063388-index.html" }, { "accession_no": "0001072613-26-000486", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1787400, "issuer_name": "Nkarta, Inc.", "issuer_cusip": "65487U108", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-19", "filed_date": "2026-05-19", "item3_funds_source": "Not applicable.", "item4_transaction_purpose": "NEA 15 acquired the NEA 15 Shares for investment purposes. Depending on market conditions, its continuing evaluation of the business and prospects of the Issuer and other factors, NEA 15 and other Reporting Persons may dispose of or acquire additional shares of the Issuer. Except as set forth above, none of the Reporting Persons has any present plans which relate to or would result in:\n\n(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;\n\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n\n(c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries;\n\n(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n\n(e) Any material change in the present capitalization or dividend policy of the Issuer;\n\n(f) Any other material change in the Issuer's business or corporate structure;\n\n(g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;\n\n(h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n\n(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934; or\n\n(j) Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1787400/000107261326000486/0001072613-26-000486-index.html" }, { "accession_no": "0000950142-26-001455", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 55135, "issuer_name": "KELLY SERVICES INC", "issuer_cusip": "488152307", "securities_class_title": "Class B Common Stock, $1.00 par value per share", "date_of_event": "2026-05-19", "filed_date": "2026-05-19", "item3_funds_source": "Item 3 remains unchanged from the Original Schedule 13D and is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe Reporting Persons have requested that the Board of Directors of the Issuer (the \"Board\") form a special committee of independent and disinterested directors (the \"Special Committee\"), fully empowered to retain its own independent legal and financial advisors, so that the Issuer is prepared to discuss and evaluate one or more possible transactions involving the Issuer and affiliate(s) of certain of the Reporting Persons (the \"Potential Transactions\"). In the course of such discussions, the Reporting Persons may share information or analyses with respect to, or discuss potential terms of, the Potential Transactions with representatives of the Issuer (including the Special Committee, when formed). A copy of the letter delivered by the Reporting Persons to the Board on May 19, 2026, is attached hereto as Exhibit 99.2 and incorporated herein by reference (the \"Letter\"). In connection with this request, the Reporting Persons confirmed that any Potential Transaction would be pursued only in accordance with the terms of the Letter Agreement, dated January 30, 2026, by and between the Issuer and Hunt Opportunities.\n\nAs of the date hereof, no Reporting Person has made a proposal with respect to any Potential Transaction. The Reporting Persons expect that there may be additional discussions between the Reporting Persons and representatives of the Issuer (including the Special Committee) regarding the Potential Transactions and related matters. There can be no assurance that (a) any proposal will be made or (b) if a proposal is made, (i) as to the terms of any such proposal, (ii) that any such proposal will be approved by the Special Committee, (iii) that any definitive agreement will be entered into or (iv) that any Potential Transaction will be consummated.\n\nA Potential Transaction, if consummated, may result in one or more of the transactions, events or actions specified in clauses (a) through (j) of Item 4 of Schedule 13D, including, without limitation, the acquisition of a business by the Issuer, the issuance of additional securities of the Issuer, and other material changes in the Issuer's business, corporate structure, or capitalization. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and may, depending on various factors, take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, engaging in discussions with the Board, the Special Committee (if formed), and their respective advisors; acquiring additional securities of the Issuer or disposing of securities of the Issuer; and otherwise changing their intention with respect to any and all matters referred to in Item 4 of Schedule 13D.\n\nThe Letter contains forward-looking statements that involve known and unknown risks, uncertainties, and other factors that may cause actual results, performance, or achievements to differ materially from those expressed or implied. Past performance is not indicative of future results, and there can be no assurance that any particular result, performance, or outcome will be achieved.\n\nExcept as set forth in this Amendment, the Reporting Persons do not currently have any plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. However, the Reporting Persons may at any time modify their plans, formulate other proposals, or take any other actions with respect to their investment in the Issuer, in each case subject to applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/55135/000095014226001455/0000950142-26-001455-index.html" }, { "accession_no": "0000921895-26-001441", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1315257, "issuer_name": "Koppers Holdings Inc.", "issuer_cusip": "50060P106", "securities_class_title": "Common Stock", "date_of_event": "2026-05-12", "filed_date": "2026-05-19", "item3_funds_source": "The shares of the Issuer's Common Stock (the \"Shares\") purchased by each of Simcoe Partners, Simcoe Select and SDR Partners were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases. The aggregate purchase price of the 1,226,375 Shares directly owned by Simcoe Partners is approximately $40,659,563, including brokerage commissions. The aggregate purchase price of the 86,845 Shares directly owned by Simcoe Select is approximately $3,681,670, including brokerage commissions. The aggregate purchase price of the 35,785 Shares directly owned by SDR Partners is approximately $1,213,593, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were substantially undervalued. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nThe Reporting Persons are supportive of management's current plan to increase the Issuer's profitability, the strong focus on free cash flow generation and the use of such funds to reduce debt and repurchase Shares.\n\nNo Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. Depending on various factors including, without limitation, the Issuer's financial position, results and strategic direction, actions taken by the Issuer's management and Board of Directors (the \"Board\"), other investment opportunities available to the Reporting Persons, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with the Issuer's management and Board, engaging in discussions with shareholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, making recommendations or proposals to the Issuer concerning changes to the Issuer's operations, governance or capitalization, potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, acquiring additional Shares, disposing of some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1315257/000092189526001441/0000921895-26-001441-index.html" }, { "accession_no": "0000921895-26-001440", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 102109, "issuer_name": "UNIVERSAL SAFETY PRODUCTS, INC.", "issuer_cusip": "913821302", "securities_class_title": "Common Stock", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "Item 3 is amended and restated as follows:\n\nThe aggregate purchase price of the 992 Shares beneficially owned by JLA were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $(785,916), including brokerage commissions.\n\nThe 4,727 Shares beneficially owned by SJC consist of Shares received upon conversion of that certain Convertible Promissory Note due August 12, 2026 in original principal amount of $1,100,000 (the \"August Convertible Note\") and that certain Convertible Promissory Note due September 25, 2026 in original principal amount $1,650,000 (the \"September Promissory Note\" and together with the August Convertible Note, the \"Convertible Notes\") The Convertible Notes were acquired by SJC pursuant to a Securities Purchase Agreement (the \"SPA\") with the Issuer dated August 13, 2025. The Convertible Notes were purchased by SJC under the SPA with working capital. The Convertible Notes convert into Shares at a price equal to the greater of (i) $1.00 per share (the \"Floor Price\"), which Floor Price shall not be adjusted for stock dividends, stock splits, stock combinations and other similar transactions and (ii) 20% discount to the Company's lowest VWAP (as defined in the Convertible Notes) on any Trading Day (as defined in the Convertible Notes) during the ten Trading Days immediately prior to the date of conversion into Shares, but not greater than $10.00 per share (the \"Maximum Price\"), which Maximum Price shall be adjusted for stock dividends, stock splits, stock combinations and other similar transactions", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/102109/000092189526001440/0000921895-26-001440-index.html" }, { "accession_no": "0000921895-26-001439", "submission_type": "SCHEDULE 13D/A", "amendment_no": 16, "issuer_cik": 102109, "issuer_name": "UNIVERSAL SAFETY PRODUCTS, INC.", "issuer_cusip": "913821302", "securities_class_title": "Common Stock", "date_of_event": "2026-05-15", "filed_date": "2026-05-19", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe aggregate purchase price of the 6,000 Shares beneficially owned by A&C that were purchased directly by A&C with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $18,032.80, including brokerage commissions.\n\nThe aggregate purchase price of the 20,000 Shares beneficially owned by Alpha Fund that were purchased directly by Alpha Fund with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $91,770.26, including brokerage commissions.\n\nThe aggregate purchase price of the 385,252 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $1,928,173.42, including brokerage commissions. The aggregate purchase price of the 300,000 Shares beneficially owned by Ault Lending that were purchased by Ault Lending pursuant to the Stock Purchase Agreement (the \"January Purchase Agreement\") with JLA Realty Associates LLC (\"JLA\") dated January 16, 2026, is $1,800,000. Pursuant to the January Purchase Agreement, in consideration of the purchase of such Shares, Ault Lending issued promissory notes in favor of JLA in an aggregate initial principal amount of $1,800,000. The aggregate purchase price of the 340,000 Shares beneficially owned by Ault Lending that were purchased by Ault Lending pursuant to the Stock Purchase Agreement (the \"Purchase Agreement\") with SJC Lending, LLC (\"SJC\") dated April 30, 2026, as amended on May 15, 2026, is $1,955,000. Pursuant to the Purchase Agreement, in consideration of the purchase of such Shares, Ault Lending issued promissory notes in favor of SJC in an aggregate principal amount of $1,955,000.\n\nMr. Ault has been awarded stock options to purchase 50,000 Shares in his capacity as a director of the Issuer, which have a strike price of $3.40 per share, expire on August 26, 2035, and all of which vested on October 20, 2025. The aggregate purchase price of the 2,200 Shares beneficially owned by Mr. Ault that were purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $11,456.09, including brokerage commissions.\n\nMr. Nisser has been awarded stock options to purchase 25,000 Shares in his capacity as a director of the Issuer, which have a strike price of $3.40 per share, expire on August 26, 2035, and all of which vested on October 20, 2025.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/102109/000092189526001439/0000921895-26-001439-index.html" }, { "accession_no": "0002060757-26-000032", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 708821, "issuer_name": "PAR TECHNOLOGY CORP", "issuer_cusip": "698884103", "securities_class_title": "Common Stock, $0.02 par value", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares purchased by each of Voss Value Master Fund, Voss Value-Oriented Special Situations Fund and the Voss Managed Accounts were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions.\n\nThe aggregate purchase price of the 925,000 Shares beneficially owned directly by Voss Value Master Fund is approximately $35,253,892, including brokerage commissions.\n\nThe aggregate purchase price of the 150,000 Shares beneficially owned by Voss Value-Oriented Special Situations Fund is approximately $5,912,755, including brokerage commissions.\n\nThe aggregate purchase price of the 4,775,000 Shares held in the Voss Managed Accounts is approximately $183,083,040, including brokerage commissions. The aggregate purchase price of the call options exercisable into 46,400 Shares which are held in the Voss Managed Accounts is approximately $162,400, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/708821/000206075726000032/0002060757-26-000032-index.html" }, { "accession_no": "0001999371-26-011002", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1882782, "issuer_name": "Odyssey Therapeutics, Inc.", "issuer_cusip": "67613T104", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-18", "item3_funds_source": "The information set forth in or incorporated by reference in Items 2, 4, 5 and 6 of this Schedule 13D is incorporated by reference in its entirety into this Item 3.", "item4_transaction_purpose": "The information set forth in or incorporated by reference in Items 2, 3, 5 and 6 of this Schedule 13D is incorporated by reference in its entirety into this Item 4.\n\nShare Purchase Agreement\n\nTPG Orazio II entered into a Share Purchase Agreement (the \"Share Purchase Agreement\") with the Issuer, dated as of May 7, 2026, pursuant to which it agreed to purchase, and the Issuer agreed to sell, $25,000,002 in shares of Common Stock at the $18.00 price per share of Common Stock at which shares were sold to the public in the Issuer's initial public offering (the \"Concurrent Private Placement\"). On May 11, 2026, the Concurrent Private Placement closed (the \"Closing\"), with the Issuer issuing to TPG Orazio II 1,388,889 shares of Common Stock. The aggregate purchase price of $25,000,002 paid by TPG Orazio II for the shares of Common Stock was funded by equity contributions of the limited partners of TPG Orazio II.\n\nInvestors' Rights Agreement\n\nThe TPG Funds entered into an Amended and Restated Investors' Rights Agreement (the \"Investors' Rights Agreement\") with the Issuer, dated as of June 16, 2025, providing for the registration under the Securities Act of 1933, as amended, for resale of the shares of Common Stock issued at Closing.\n\nOther than as described above, none of the Reporting Persons nor, to the best knowledge of each of the Reporting Persons, without independent verification, any of the TPG GP A Officers, currently has any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although the Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto. As a result of these activities, one or more of the Reporting Persons may suggest or take a position with respect to potential changes in the operations, management or capital structure of the Issuer as a means of enhancing shareholder value. Such suggestions or positions may include one or more plans or proposals that relate to or would result in any of the actions required to be reported herein, including, without limitation, such matters as acquiring additional securities of the Issuer or disposing of securities of the Issuer(greek question mark) entering into an extraordinary corporate transaction such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries(greek question mark) selling or transferring a material amount of assets of the Issuer or any of its subsidiaries(greek question mark) changing the present board of directors or management of the Issuer, including changing the number or term of directors or filling any existing vacancies on the board of directors of the Issuer(greek question mark) materially changing the present capitalization or dividend policy of the Issuer(greek question mark) materially changing the Issuer's business or corporate structure(greek question mark) changing the Issuer's certificate of incorporation, bylaws or instruments corresponding thereto or taking other actions which may impede the acquisition of control of the Issuer by any person(greek question mark) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association(greek question mark) causing a class of equity securities of the Issuer to become eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Act of 1933, as amended(greek question mark) and taking any action similar to any of those enumerated above.\n\nReference to and description of the Share Purchase Agreement and Investors' Rights Agreement set forth above in this Item 4 do not purport to be complete and are qualified in their entirety by reference to the full text of the Share Purchase Agreement and Investors' Rights Agreement, which have been filed as Exhibits 2 and 3 and are incorporated herein by this reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1882782/000199937126011002/0001999371-26-011002-index.html" }, { "accession_no": "0001819848-26-000334", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1819848, "issuer_name": "Joby Aviation, Inc.", "issuer_cusip": "G65163100", "securities_class_title": "Common Stock", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\n10b5-1 Trading Plan\n\nOn May 14, 2026, the Reporting Person entered into a trading plan (the \"2026 Trading Plan\") pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, pursuant to which, a broker dealer has agreed to make periodic sales of up to an aggregate of 1,875,000 shares of Common Stock on behalf of the Reporting Person.\n\nThis description of the 2026 Trading Plan does not purport to be complete and is qualified in its entirety by the text of the 2026 Trading Plan, the form of which is attached as an exhibit to this Schedule 13D and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819848/000181984826000334/0001819848-26-000334-index.html" }, { "accession_no": "0001654954-26-005086", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1720592, "issuer_name": "Repay Holdings Corp", "issuer_cusip": "76029L100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-18", "filed_date": "2026-05-18", "item3_funds_source": null, "item4_transaction_purpose": "On May 18, 2026, the Reporting Person issued a public letter to stockholders of the Issuer regarding the Issuer Board of Directors' response to the Reporting Person's non-binding proposal to acquire all outstanding shares of the Issuer for $4.80 per share in cash. The Reporting Person continues to believe that a transaction involving the Issuer may be in the best interests of stockholders and remains willing to engage in discussions regarding a potential transaction. A copy of the letter is filed as Exhibit 99.3 hereto and incorporated herein by reference. \r \r There can be no assurance that any discussions that may occur between the Reporting Persons and the Issuer with respect to the proposal will result in the entry into a definitive agreement concerning a transaction or, if such a definitive agreement is reached, will result in the consummation of a transaction provided for in such definitive agreement. Discussions concerning a transaction may be terminated at any time and without prior notice. Entry into a definitive agreement concerning a transaction and the consummation of any such transaction will be subject to a number of contingencies that are beyond the control of the Reporting Persons, including the approval of the Board of Directors of the Issuer, and the satisfaction of any conditions to the consummation of a transaction set forth in any such definitive agreement.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1720592/000165495426005086/0001654954-26-005086-index.html" }, { "accession_no": "0001493152-26-024308", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2090646, "issuer_name": "BOOST RUN INC.", "issuer_cusip": "09940T100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-18", "item3_funds_source": "The shares of Class A common stock reported herein as being beneficially owned by the Reporting Person were issued following the completion of the business combination on May 8, 2026 (the \"Closing Date\"), pursuant to that certain Business Combination Agreement dated as of September 15, 2025, as amended by Amendment No. 1 to the Business Combination Agreement, dated January 13, 2026 (the \"Business Combination Agreement\" and together with the other agreements and transaction contemplated by the Business Combination Agreement, the \"Business Combination\"), between Boost Run Inc., a Delaware corporation (the \"Company\"), Willow Lane Acquisition Corp., a Cayman Islands exempted company (\"SPAC\"), Benchmark Merger Sub I Inc., a Delaware corporation and wholly-owned subsidiary of the Company (\"SPAC Merger Sub\"), Boost Run Holdings, LLC, a Delaware limited liability company (\"Legacy Boost Run\"), Benchmark Merger Sub II LLC, a Delaware limited liability company and wholly-owned subsidiary of the Company (\"Company Merger Sub\"), Andrew Karos, solely in his capacity as the representative of the holders of Legacy Boost Run's issued and outstanding membership interests, and George Peng, solely in his capacity as the representative of SPAC shareholders.\n\nOn the Closing Date, SPAC Merger Sub merged with and into SPAC, with SPAC surviving as a wholly-owned subsidiary of the Company (the \"SPAC Merger\"). Simultaneously with the SPAC Merger, Company Merger Sub merged with and into Legay Boost Run, with, pursuant to the Certificate of Merger, the surviving entity continuing as Boost Run Services, LLC and a wholly-owned subsidiary of the Company. As a result of the Business Combination, SPAC and Boost Run became wholly-owned subsidiaries of the Company and the Company became a publicly traded company.\n\nAt the effective time of the Business Combination, stock consideration was issued to the then current holders of stock in Legacy Boost Run in the form of common stock of the Company.\n\nAmended and Restated Transfer Agreement\n\nSean Goodrich is the managing member of Goodrich ILMJS LLC.\n\nOn September 15, 2025, Willow Lane Sponsor, LLC (the \"Sponsor\") and Goodrich ILMJS LLC (the \"Reporting Person\") entered into a Transfer Agreement (the \"Original Transfer Agreement\") providing that the Reporting Person has agreed to purchase from the Sponsor, immediately prior to the Closing Date, 27.5% of the 4,628,674 Class B ordinary shares of Willow Lane (the \"Founder Shares\") held by the Sponsor and 27.5% of the 4,007,222 warrants to purchase Willow Lane ordinary shares held by the Sponsor, at a purchase price for all such securities (the \"Transfer Securities\") equal to $1.75 per Founder Share purchased.\n\nOn April 24, 2026, the Sponsor and the Reporting Person entered into an Amended and Restated Transfer Agreement (the \"Amended and Restated Transfer Agreement\") to amend and restate the original transfer agreement to provide that, among other things, such purchase shall be completed on or before the six (6) month anniversary of the Closing Date. Specifically, the purchase shall be effected on or before the earlier of: (i) the six (6) month anniversary of Closing; and (ii) the fifteenth (15th) calendar day after the effective date of post-Closing registration statement registering the resale of the Transfer Securities, provided that the applicable lock-up period for such Transfer Securities has also expired. Prior to the consummation of such purchase, the Transfer Securities will be placed in an escrow account administered by Continental Stock Transfer & Trust Company.", "item4_transaction_purpose": "The information regarding the Business Combination set forth in Item 3 above is incorporated into this Item 4 by reference.\n\nSean Goodrich is the managing member of Goodrich ILMJS LLC. Mr. Goodrich serves as a member of the Board of Directors of the Issuer, and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Person, at any time, and from time to time, may review, reconsider and change its position and/or change its purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer, or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2090646/000149315226024308/0001493152-26-024308-index.html" }, { "accession_no": "0001441449-26-000009", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1868941, "issuer_name": "Fluence Energy, Inc.", "issuer_cusip": "34379V103", "securities_class_title": "Class A Common Stock, $0.00001 par value", "date_of_event": "2026-05-15", "filed_date": "2026-05-18", "item3_funds_source": "On May 15, 2026, the Qatar Holding LLC sold 2,867,172 shares of Class A Common Stock in an aggregate amount equal to $60,210,612 at $21 per share.", "item4_transaction_purpose": "Item 4 is supplemented by reference to Item 3.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1868941/000144144926000009/0001441449-26-000009-index.html" }, { "accession_no": "0001213900-26-058684", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1866226, "issuer_name": "Evolution Metals & Technologies Corp.", "issuer_cusip": "30054B107", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": "Good Earth 1000, LLC previously acquired the 63,421,535 shares of Common Stock reported herein as merger consideration in connection with the business combination previously disclosed in the Issuer's Current Report on Form 8-K/A filed with the Securities and Exchange Commission on January 9, 2026.\n\nOn May 14, 2026, Good Earth 1000, LLC entered into a financing arrangement with Axos Bank, as lender, providing for a senior secured credit facility. In connection with that transaction, Good Earth 1000, LLC pledged 15,840,000 shares of Common Stock as collateral pursuant to the Pledge Agreement described in Item 6 below.\n\nThe shares reported herein were not acquired with borrowed funds under the financing arrangement.", "item4_transaction_purpose": "The Reporting Persons continue to hold the Common Stock for investment purposes.\n\nOn May 14, 2026, Good Earth 1000, LLC entered into the financing arrangement described in Item 6 below. In connection with those arrangements, Good Earth 1000, LLC pledged 15,840,000 shares of Common Stock to Axos Bank as collateral. The pledge was made for financing purposes.\n\nSubject to applicable law, the financing and pledge arrangements described in Item 6 below, the Issuer's organizational documents and any applicable Issuer policies, the Reporting Persons may from time to time review their investment in the Issuer and may acquire additional securities of the Issuer, retain securities of the Issuer, or sell, pledge or otherwise dispose of all or a portion of the securities of the Issuer held by them, in the open market, in privately negotiated transactions or otherwise.\n\nThe Reporting Persons may also from time to time engage in discussions with management, the Board of Directors, other security holders of the Issuer or other relevant parties regarding the Issuer, including its business, operations, governance, management, capitalization, strategic alternatives, financing, or other matters. Any action the Reporting Persons may take will depend upon, among other things, the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, market conditions, the market price of the Common Stock, other investment opportunities, and other factors the Reporting Persons may deem relevant.\n\nExcept as set forth in this Schedule 13D, including this Amendment No. 1, the Reporting Persons do not currently have any plans or proposals that relate to or would result in any of the matters described in clauses (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons reserve the right to formulate such plans or proposals in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1866226/000121390026058684/0001213900-26-058684-index.html" }, { "accession_no": "0001213900-26-058524", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1992818, "issuer_name": "ZOOZ Strategy Ltd.", "issuer_cusip": "M2573A106", "securities_class_title": "Ordinary Shares, par value NIS 0.00025", "date_of_event": "2025-09-26", "filed_date": "2026-05-18", "item3_funds_source": "Item 3 is hereby amended and supplemented with the following:\n\nOn September 26, 2025, Keywise acquired an aggregate of 8,000,000 Ordinary Shares upon the closing of a private placement transaction pursuant to that certain Securities Purchase Agreement dated July 29, 2025 (the \"Private Placement\"). Mr. Fang Zheng has sole voting and dispositive power over the shares held by Keywise.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nThe information set forth in Item 3 is hereby incorporated by reference in its entirety. The Reporting Persons acquired the 8,000,000 Ordinary Shares in connection with the Private Placement for investment purposes. The Reporting Persons have no plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) and (c) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to formulate plans and/or proposals and to take such actions with respect to his investments in the Issuer, including any or all of the actions set forth in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1992818/000121390026058524/0001213900-26-058524-index.html" }, { "accession_no": "0001213900-26-058455", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2081690, "issuer_name": "Vernal Capital Acquisition Corp.", "issuer_cusip": "G93Y7F106", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-05-07", "filed_date": "2026-05-18", "item3_funds_source": "On July 31, 2025, the sponsor and the Issuer entered into a securities subscription agreement, as amended on March 9, 2026 (the \"subscription agreement\"). Under the subscription agreement, the sponsor purchased an aggregate of 1,466,250 ordinary shares for an aggregate of $21,250. In March 2026, the Issuer issued 2,443,750 ordinary shares to the sponsor for $21,250, and immediately repurchased the 1,466,250 initial shares from the sponsor for $21,250, being the proceeds from the above issuance. Following this transaction, 2,443,750 ordinary shares (the \"founder shares\") remained outstanding, of which up to 318,750 shares are subject to forfeiture if the over-allotment option is not exercised in full or in part by the underwriter. The source of the funds is investment income. On May 7, 2026, in connection with the closing of the Issuer's initial public offering, the sponsor acquired 213,562 units (the \"private units\") of the Issuer, each private unit consisting of one ordinary share (the \"private shares\") and one right to receive one-fourth (1/4) of one ordinary share upon consummation of the Issuer's initial business combination. The private units were purchased at $10.00 per unit for an aggregate purchase price of $2,135,620. The sponsor agreed, but is not obligated, to provide the Issuer up to $3,000,000 in working capital loans and it may elect to convert such loans into private units, at the price of $10.00 per unit.", "item4_transaction_purpose": "The information set forth in Item 3 above is incorporated into this Item 4 by reference. The Reporting Persons may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. Except as described in this Statement, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons acquired the shares reported herein for investment purposes. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the ordinary shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the board of directors of the Issuer, engaging in discussions with shareholders of the Issuer or other third parties about the Issuer and the Reporting Persons investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional ordinary shares and/or other securities, selling some or all of its ordinary shares and/or other securities, or changing its intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2081690/000121390026058455/0001213900-26-058455-index.html" }, { "accession_no": "0001193125-26-229103", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2055592, "issuer_name": "Gemini Space Station, Inc.", "issuer_cusip": "36866J105", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": "Acquisitions of Class B Common Stock at Issuer's IPO\nOn September 15, 2025, immediately prior to the consummation of the Issuer's initial public offering (\"IPO\"), Tyler Winklevoss and Cameron Winklevoss received an aggregate of 75,085,013 shares of Class B common stock of the Issuer (\"Class B Shares\") in exchange for their interests in units of Gemini Space Station, LLC, a Nevada limited liability company, which is considered the predecessor of the Issuer for accounting purposes, including the units automatically converted from (i) approximately $228.0 million in aggregate principal (plus accrued and unpaid interest thereon) in the Issuer's certain convertible notes previously issued to WCF and (ii) approximately $467.6 million in aggregate principal (plus accrued and unpaid interest thereon) in the Issuer's certain convertible term loans with WCF, each outstanding as of the closing date of the IPO.\n\nIn connection with the Issuer's IPO and related reorganizational transactions, WCF also received 41,771 Class B Shares in exchange for its corresponding incentive profits interest units in Gemini Astronaut Corps, LLC.\n\nPrivate Placement\nOn May 14, 2026, the Issuer entered into a securities purchase agreement (the \"Securities Purchase Agreement\") with WCF, pursuant to which the Issuer agreed to issue and sell to WCF, in a private placement, 7,142,857 Class A Shares, at a price of $14 per share for aggregate proceeds to the Issuer of $100 million (the \"Private Placement\"). WCF delivered to the Issuer approximately 1,258 Bitcoin as payment-in-kind for the Class A Shares pursuant to the terms of the Securities Purchase Agreement. The Private Placement closed on May 14, 2026.\n\nThe foregoing description of the Securities Purchase Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Securities Purchase Agreement, a copy of which is filed as Exhibit 99.2 hereto and incorporated by reference herein.", "item4_transaction_purpose": "The information set forth in Items 3 and 6 of this Schedule 13D is incorporated by reference in its entirety into this Item 4.\n\nThe Reporting Persons initially acquired beneficial ownership of the Class A Shares for investment purposes. The Reporting Persons intend to continue to review their investment in the Issuer on an ongoing basis and, in the course of their review, may take actions (including through their affiliates) with respect to their investment or the Issuer, including communicating with the board of directors of the Issuer (the \"Board\"), members of management or other securityholders of the Issuer, or other third parties, including potential acquirers, from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical, industry and/or other advisors, to assist in any review, and evaluating strategic alternatives as they may become available. Such discussions and other actions may relate to various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including a merger, demerger, reorganization, business combination, acquisition or liquidation) involving the Issuer or any of its subsidiaries, including any public offer for all or part of the Issuer's securities; business combinations involving the Issuer or any of its subsidiaries, a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; material asset purchases, contributions or similar transactions; the formation of joint ventures or other commercial partnerships or arrangements with the Issuer or any of its subsidiaries or the entry into other material projects; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the Board (including Board composition) or management of the Issuer; acting as a participant in debt financings of the Issuer or any of its subsidiaries, changes to the capitalization, ownership structure, dividend policy, business, governance or corporate structure or governance documents of the Issuer; de-listing or de-registration of the Issuer's securities, or any action similar to those enumerated above. Such discussions and actions may be preliminary and exploratory in nature, and not rise to the level of a plan or proposal. Additionally, the Reporting Persons may from time to time increase or decrease their investment in the Issuer depending upon the price and availability of the Issuer's securities, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations and other factors.\nOther than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or may result in, any of the matters listed in subparagraphs (a) through (j) of Item 4 of Schedule 13D. However, as part of their ongoing evaluation of this investment and investment alternatives, the Reporting Persons may consider such matters and, subject to applicable law, may formulate a plan or proposal with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the Board, other stockholders of the Issuer or other third parties regarding such matters.\n\nTyler Winklevoss and Cameron Winklevoss serve as Chief Executive Officer and director and President and director of the Issuer, respectively. Accordingly, each of Tyler Winklevoss and Cameron Winklevoss may have influence over the corporate activities of the Issuer, including activities that may relate to items described in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2055592/000119312526229103/0001193125-26-229103-index.html" }, { "accession_no": "0001193125-26-229005", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1776661, "issuer_name": "Advantage Solutions Inc.", "issuer_cusip": "00791N201", "securities_class_title": "Class A Common Stock, par value $0.0001", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\nDistribution\n\nOn May 14, 2026, the Reporting Person distributed 190,324 shares of Common Stock to certain of the Reporting Person's limited partners in exchange for cancelling such limited partners interests held in the Reporting Person.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1776661/000119312526229005/0001193125-26-229005-index.html" }, { "accession_no": "0001193125-26-228280", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 2054992, "issuer_name": "Lincoln Bain Capital Total Credit Fund", "issuer_cusip": "53287N300", "securities_class_title": "Class I, Class A, Class D and Class IS shares of beneficial interest, no par value per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": "Item 3 of the Initial 13D is hereby amended and supplemented as follows:\n\nOn May 07, 2026, the following series of the Trust, for which LFI acts as investment adviser, acquired Class I Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $10.18 in the amounts and for the aggregate purchase price as set forth below:\n\n Shares acquired Aggregate purchase price\n\n1: LVIP Global Growth Allocation Managed Risk Fund: 47,611.23 $484,682.33\n2: LVIP Global Moderate Allocation Managed Risk Fund: 39,684.41 $403,987.33\n3: LVIP U.S. Growth Allocation Managed Risk Fund: 16,786.78 $170,889.39\n4: LVIP Global Conservative Allocation Managed Risk Fund: 7,258.56 $73,892.12\n5: LVIP Global Aggressive Growth Allocation Managed Risk Fund: 2,600.24 $26,470.44\n6: LVIP U.S. Aggressive Growth Allocation Managed Risk Fund: 1,874.27 $19,080.04\n\nOn May 07, 2026, LNL acquired Class A Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.79 and for the aggregate purchase price of $62.93.\n\nOn May 07, 2026, LNL acquired Class D Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.80 and for the aggregate purchase price of $66.09.\n\nOn May 07, 2026, LNL acquired Class I Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $10.18 and for the aggregate purchase price of $352,511.01.\n\nOn May 07, 2026, LNL acquired Class IS Shares of the Issuer automatically, and without investment discretion, pursuant to the Issuer's dividend reinvestment plan at a price per share of $9.80 and for the aggregate purchase price of $68.34.\n\nOn May 14, 2026, the following series of the Trust, for which LFI acts as investment adviser, acquired Class I Shares from the working capital of the Issuer at the purchase price per share of $10.21 in the amounts and at the aggregate purchase price as set forth below:\n\n Shares acquired Aggregate purchase price\n\n1: LVIP Global Growth Allocation Managed Risk Fund: 933,112.78 $9,527,081.43\n2: LVIP Global Moderate Allocation Managed Risk Fund: 928,813.35 $9,483,184.25\n3: LVIP U.S. Growth Allocation Managed Risk Fund: 327,421.03 $3,342,968.75\n4: LVIP Global Conservative Allocation Managed Risk Fund: 259,232.67 $2,646,765.57", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2054992/000119312526228280/0001193125-26-228280-index.html" }, { "accession_no": "0001193125-26-227857", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1824893, "issuer_name": "Surrozen, Inc.", "issuer_cusip": "86889P208", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-03-31", "filed_date": "2026-05-18", "item3_funds_source": "The information set forth in Item 3 of the Original Schedule 13D is incorporated herein by reference.", "item4_transaction_purpose": "The information set forth in Item 4 of the Original Schedule 13D is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1824893/000119312526227857/0001193125-26-227857-index.html" }, { "accession_no": "0001185185-26-001894", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 706863, "issuer_name": "UNION BANKSHARES INC", "issuer_cusip": "905400107", "securities_class_title": "Common Stock, $2.00 Par Value", "date_of_event": "2026-05-12", "filed_date": "2026-05-18", "item3_funds_source": "The 347,994 shares of common stock of Union Bank (the \"Shares\") reported in this Schedule 13D were purchased by the Zucker Entities for $8,176,999.89 using available funds.", "item4_transaction_purpose": "The Zucker Entities have acquired the Shares for investment purposes and continually reviews the performance of this investment and their investment alternatives. As part of the ongoing review of their investment in the Shares, the Zucker Entities may explore from time to time a variety of alternatives, including the acquisition of additional securities of Union Bank, or the disposition of securities of Union Bank in the open market or in privately negotiated transactions. The Zucker Entities may explore, support, sponsor or promote other alternatives with respect to its investment in the Shares, including but not limited to an extraordinary corporate transaction involving Union Bank, other changes in the present board of directors or management of Union Bank, changes in management's compensation, or changes in Union Bank's business or corporate structure. As substantial shareholders, the Zucker Entities Mrs. Zucker expect to communicate from time to time in the future to management and the board of directors their views as to matters that they believe will benefit Union Bank and its shareholders.\n\nAlthough the prior paragraph reflects activities presently contemplated by the Zucker Entities with respect to Union Bank, the Zucker Entities' plans may change at any time, and they may not take any of the actions referred to above.\n\nExcept as set forth above, as of the date of this Schedule 13D, the Zucker Entities do not have any plan or proposal that relates to or would result in:\n\n(a) The acquisition by any person of additional securities of Union Bank, or the disposition of securities of Union Bank;\n\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving Union Bank or any of its subsidiaries;\n\n(c) A sale or transfer of a material amount of assets of Union Bank or any of its subsidiaries;\n\n(d) Any change in the present board of directors or management of Union Bank, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n\n(e) Any material change in the present capitalization or dividend policy of Union Bank;\n\n(f) Any other material change in Union Bank's business or corporate structure;\n\n(g) Changes in Union Bank's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of Union Bank by any person;\n\n(h) Causing a class of securities of Union Bank to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n\n(i) A class of equity securities of Union Bank becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act; or\n\n(j) Any action similar to any of those enumerated above.\n\nNotwithstanding the foregoing, The Zucker Entities reserve the right to effect any such actions as they may deem necessary or appropriate in the future.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/706863/000118518526001894/0001185185-26-001894-index.html" }, { "accession_no": "0001171843-26-003512", "submission_type": "SCHEDULE 13D/A", "amendment_no": 42, "issuer_cik": 1296484, "issuer_name": "TOP SHIPS INC.", "issuer_cusip": "Y8897Y230", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-18", "filed_date": "2026-05-18", "item3_funds_source": "This Amendment No. 42 is being filed to reflect a decrease in beneficial ownership of Common Shares by the Reporting Persons as a result of the issuance of 47,274 Common Shares by the Issuer from May 6, 2026, through May 12, 2026, pursuant to sales completed under the ATM and the issuance of 1,887,803 Common Shares by the Issuer on May 18, 2026, pursuant to sales completed under the ELOC.\n\nExcept as set forth herein, there are no material changes to this Item 3 from the Schedule 13D/A filed by the Reporting Persons with the Commission on May 5, 2026.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1296484/000117184326003512/0001171843-26-003512-index.html" }, { "accession_no": "0001161697-26-000118", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1369290, "issuer_name": "Myomo, Inc.", "issuer_cusip": "62857J102", "securities_class_title": "Common Stock, Par Value $0.0001 Per Share", "date_of_event": "2026-05-09", "filed_date": "2026-05-18", "item3_funds_source": "The Shares purchased by HCPF were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases.\n\nThe aggregate purchase price of the 2,309,775 Shares beneficially owned by HCPF was approximately $3,602,602 including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nThe Reporting Persons and their representatives have, from time to time, engaged in, and expect to continue to engage in, discussions with members of management of the Issuer and the board of directors of the Issuer (the \"Board\"), other current or prospective shareholders, industry analysts, and other third parties regarding a variety of matters relating to the Issuer, which may include, among other things, the Issuer's business, management, capital structure and allocation, corporate governance, Board composition and strategic direction, and may take other steps seeking to bring about changes to increase shareholder value as well as pursue other plans or proposals that relate to or could result in any of the matters set forth in clauses (a)-(j) of Item 4 of Schedule 13D. Relatedly, HCPF submitted a shareholder proposal (the \"Proposal\") and supporting statement for inclusion in the Issuer's 2026 proxy statement and for consideration at the Issuer's 2026 Annual Meeting of Stockholders. The Proposal requests that the Board take all necessary steps (including any amendments to the certificate of incorporation and/or bylaws), in compliance with applicable law and subject to shareholder approval, to eliminate the classification of the Board so that all directors are elected at or after the 2026 Annual Meeting of Shareholders be elected annually. Copies of the Proposal and supporting statement may be found on the SEC's website at: https://www.sec.gov/Archives/edgar/data/1369290/000119312526223981/myo-20260514.htm#proposal_seven.\n\nNo Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D, except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board of Directors of the Issuer, becoming a member of the Board of Directors of the Issuer, engaging in discussions with shareholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations or dispositions involving the Issuer or certain of its businesses, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, board structure (including board composition), corporate governance, potential business combinations or dispositions involving the Issuer or certain of its businesses, or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative instruments, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1369290/000116169726000118/0001161697-26-000118-index.html" }, { "accession_no": "0001140361-26-021966", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 885307, "issuer_name": "JEWETT CAMERON TRADING CO LTD", "issuer_cusip": "47733C207", "securities_class_title": "Common Stock", "date_of_event": "2026-05-11", "filed_date": "2026-05-18", "item3_funds_source": "The Shares beneficially owned by each of AJB Fund II and AJB Capital were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases. The aggregate purchase price of the 244,073 Shares beneficially owned by AJB Fund II and AJB Capital is approximately of $477,174, including brokerage commissions.\n\nThe Shares beneficially owned by Mr. Bradley are held in an individual retirement account and in accounts of the children of Mr. Bradley and Ms. Bradley (the ?Bradley Children?), and were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The aggregate purchase price of the 23,595 Shares beneficially owned by Mr. Bradley is approximately $46,452, including brokerage commissions.\n\nThe Shares beneficially owned by Ms. Bradley are held in an individual retirement account and were purchased with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions. The aggregate purchase price of the 19.093 Shares beneficially owned by Ms. Bradley is approximately $37,751, including brokerage commissions.", "item4_transaction_purpose": "The Reporting Persons purchased the Shares based on the Reporting Persons' belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.\n\nThe Reporting Persons do not have any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon or in connection with completion of, or following, any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position, results and strategic direction, actions taken by the Issuer's management team and the Issuer?s board of directors (the ?Board?), price levels of the Shares, conditions in the securities markets, general economic and industry conditions, and other investment opportunities available to the Reporting Persons, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, engaging in communications with management and the Board, engaging in discussions with the Issuer, stockholders of the Issuer or other third parties about the Issuer and the Reporting Persons' investment, including potential business combinations, dispositions or financing transactions involving the Issuer or certain of its businesses or assets, including transactions in which the Reporting Persons may seek to participate and potentially engage in, making recommendations or proposals to the Issuer concerning changes to the capitalization, ownership structure, Board structure (including Board composition), or suggestions for improving the Issuer's financial and/or operational performance, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, including swaps and other derivative transactions, or changing their intention with respect to any and all matters referred to in Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/885307/000114036126021966/0001140361-26-021966-index.html" }, { "accession_no": "0001123292-26-000680", "submission_type": "SCHEDULE 13D/A", "amendment_no": 22, "issuer_cik": 1819989, "issuer_name": "Cipher Digital Inc.", "issuer_cusip": "17253J106", "securities_class_title": "Common Stock", "date_of_event": "2026-05-13", "filed_date": "2026-05-18", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following: \r\n\r\nThis Amendment No. 22 is being filed for purposes of disclosing the Additional V3 Forward Contract and the Top HoldCo Forward Contract described in this Amendment No. 22. The information contained in Item 5(c) of this Amendment No. 22 with respect thereto is incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819989/000112329226000680/0001123292-26-000680-index.html" }, { "accession_no": "0001104659-26-063248", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1987240, "issuer_name": "SCHMID Group N.V.", "issuer_cusip": "N68722102", "securities_class_title": "Class A Ordinary Shares, nominal value EUR0.01 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": "Business Combination\n\nAll of the Class A Ordinary Shares (\"Ordinary Shares\") reported herein as being beneficially owned by the Reporting Persons were originally issued to Anette Schmid, Christian Schmid, and the Erbengemeinschaft in connection with the exchange of interests in Gebr. Schmid GmbH, into shares of the Issuer (the \"Exchange\") upon the completion of the business combination (the \"Business Combination\") on April 30, 2024 (the \"Closing Date\") as contemplated by that certain Business Combination Agreement, dated May 31, 2023, by and among Pegasus Digital Mobility Acquisition Corp., a Cayman Islands exempted company (\"Pegasus\"), Gebr. Schmid GmbH, the Issuer, and Pegasus MergerSub Corp., a Cayman Islands limited liability company (as amended, the \"Business Combination Agreement\").\n\nOf the securities originally outstanding, Anette Schmid and Christian Schmid were also contractually entitled to receive an aggregate of 4,000,000 Private Warrants (convertible on a 1:1 basis into Ordinary Shares) from Pegasus Digital Mobility Sponsor LLC (the \"Sponsor\"), as additional compensation in connection with the Business Combination transaction.\n\nAs previously disclosed, an additional 5,000,000 Earn-Out Shares were issued to Anette Schmid and Christian Schmid by the Issuer on the Closing Date. Per the terms of the Earn-Out Agreement, the voting and dispositive power for these shares has not yet vested in the Reporting Persons. Consequently, the 5,000,000 Earn-Out Shares are not included in, and are not counted toward, the aggregate number of Ordinary Shares reported in Rows 7 through 11 of the cover pages of this Schedule 13D/A.\n\nDissolution of the Erbengemeinschaft and Contributions to HoldCos\n\nNo individual or corporate funds were utilized by Anette Schmid, Schmid Aequitas GmbH & Co. KG, Christian Schmid, or C. Schmid Beteiligung GmbH & Co. KG to execute the restructuring transactions reported herein. Rather, all securities were transferred and reallocated pursuant to internal asset distributions and corporate restructuring agreements as follows:\n\nOn May 14, 2026, the Erbengemeinschaft formally distributed all of its 14,937,000 Ordinary Shares of the Issuer, resulting in 10,341,000 Ordinary Shares being transferred to Christian Schmid and 4,596,000 Ordinary Shares being transferred to Anette Schmid.\n\nOn the same date, in connection with capital increases and related transfer arrangements Anette Schmid and Christian Schmid contributed their combined holdings to German limited partnerships (GmbH & Co. KG) (each, a \"HoldCo\" and collectively, the \"HoldCos\") in exchange for equity interests in such partnerships:\n\n1. Anette Schmid's HoldCo: Anette Schmid contributed (i) 6,894,000 Ordinary Shares previously held by her and (ii) the 4,596,000 Ordinary Shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, resulting in an aggregate direct holding of 11,490,000 Ordinary Shares by such partnership.\n\n2. Christian Schmid's HoldCo: Christian Schmid contributed (i) 4,979,000 Ordinary Shares previously held by him and (ii) the 10,341,000 Ordinary Shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG, resulting in an aggregate direct holding of 15,320,000 Ordinary Shares by such partnership.\n\nIn addition, and under the same agreements executed on May 14, 2026, each HoldCo received the economic ownership of (i) 2,500,000 Earn-Out Shares (totaling 5,000,000 Earn-Out Shares) and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants contractually owed to be delivered by the Sponsor (totaling 4,000,000 warrants aggregate for the HoldCos). These transfers were executed through trustee and nominee arrangements in instances where direct legal title or technical transfer mechanics were contractually restricted, pursuant to which legal title to such warrants (and, where applicable, related rights) remains with the respective individual holders, who hold such interests on behalf of the applicable HoldCo. The HoldCos maintain economic interests in such securities and, through such trustee arrangements, may direct the exercise or disposition of such securities, subject to the terms of the applicable agreements and any legal or contractual limitations thereunder.\n\nAs a result of the Joint Voting Agreement described in Item 6, the Reporting Persons may be deemed to form a \"group\" within the meaning of Section 13(d)(3) of the Act. Accordingly, the source of consideration for the shared beneficial ownership of the collective block of 30,810,000 Ordinary Shares (consisting of 26,810,000 outstanding Ordinary Shares held directly by the HoldCos and 4,000,000 Ordinary Shares issuable upon exercise of the warrants held through the arrangements described above) is the internal contribution and reorganization of assets described above.\n\nThe foregoing description of the Business Combination Agreement, as amended, the Earn-Out Agreement, and the internal asset transfers does not purport to be a complete description of the terms thereof and is qualified in its entirety by reference to the full text of such agreements, copies of which are incorporated by reference or filed as exhibits hereto.", "item4_transaction_purpose": "The information set forth in Item 3 of this Schedule 13D/A is incorporated herein by reference.\n\nAll of the Ordinary Shares reported herein as beneficially owned by the Reporting Persons were acquired in connection with the Exchange and the Business Combination described in Item 3, as well as subsequent internal restructuring transactions, including the allocation and contribution of such Ordinary Shares to HoldCos controlled by the Reporting Persons.\n\nOn May 14, 2026, the Reporting Persons effected an internal reorganization pursuant to which Ordinary Shares held by Anette Schmid and Christian Schmid, including shares distributed from the Erbengemeinschaft, were contributed to and are now directly held by Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG, respectively. In addition, the economic interests in certain Earn-Out Shares and warrants were allocated to such entities through arrangements intended to transfer the economic benefits of such securities, including through trustee or nominee structures where direct legal ownership could not be transferred. These transactions were undertaken for estate planning, organizational and tax structuring purposes and did not involve the payment of cash consideration.\n\nOn May 18, 2026, the Reporting Persons entered into a Joint Voting Agreement pursuant to which they agreed to vote or cause to be voted all Ordinary Shares beneficially owned by them in accordance with a joint determination. As a result of such agreement, the Reporting Persons may be deemed to constitute a \"group\" within the meaning of Section 13(d)(3) of the Act, and, accordingly, may be deemed to beneficially own the securities beneficially owned by each other Reporting Person.\n\nAnette Schmid and Christian Schmid currently serve on the board of directors of the Issuer, and Christian Schmid also serves as Chief Executive Officer of the Issuer. As a result of their direct and indirect ownership of Ordinary Shares and their positions with the Issuer, the Reporting Persons have the ability to influence the management and policies of the Issuer.\n\nThe Reporting Persons intend to hold their respective interests in the Issuer for investment purposes and to support the ongoing management and operation of the Issuer. Except as described herein, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the transactions or other matters described in clauses (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons may, from time to time, review their investment in the Issuer and, subject to applicable law, may determine to increase or decrease their ownership position or to pursue or consider other plans or proposals relating to the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1987240/000110465926063248/0001104659-26-063248-index.html" }, { "accession_no": "0001104659-26-063233", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 1962738, "issuer_name": "CASI Pharmaceuticals, Inc.", "issuer_cusip": "G1933S101", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-05-18", "filed_date": "2026-05-18", "item3_funds_source": "As described in Item 4 below, on April 17, 2026, ETP Global III Fund L.P. purchased a convertible note with a principal amount of US$5 million using its working capital pursuant to certain Note Purchase Agreement between ETP Global III Fund L.P. and the Issuer dated December 11, 2025.", "item4_transaction_purpose": "On April 17, 2026, ETP Global III Fund L.P. purchased a convertible note with the principal amount of US$5 million as the fourth tranche of the Issuer's US$20 million convertible note financing pursuant to certain convertible note purchase agreement (the \"Purchase Agreement\") between ETP Global III Fund L.P. and the Issuer dated December 11, 2025. A convertible note with a principal amount of US$5 million has been issued to the Purchaser on the same date (the \"Convertible Note\"). The Purchaser has the right to convert such note into the Company's ordinary shares, par value US$0.0001 per share (the \"Ordinary Shares\") at any time from and including the 91st day after the issuance thereof to and including the maturity date at a conversion price of the volume weighted average closing price of the Company's Ordinary Shares during the five consecutive trading days immediately preceding the date of conversion notice by ETP Global III Fund L.P. In no event shall the conversion price be higher than US $2 per Ordinary Share or lower than US $1 per Ordinary Share. The descriptions of the Convertible Note are qualified in their entirety by reference to the Convertible Note itself, a copy of which is attached hereto as Exhibit B and incorporated hereby by reference in its entirety.\n\nThe beneficial ownership reported hereof included Ordinary Shares that the reporting person has the right to acquire within 60 days, through the conversion of such Convertible Note, with an assumed conversion price of US $1, given consideration of the average volume-weighted closing price of the Company's Ordinary Shares of US$0.15 for the last five trading days.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1962738/000110465926063233/0001104659-26-063233-index.html" }, { "accession_no": "0001104659-26-063172", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1649752, "issuer_name": "Nouveau Monde Graphite Inc.", "issuer_cusip": "66979W842", "securities_class_title": "Common Shares", "date_of_event": "2026-05-13", "filed_date": "2026-05-18", "item3_funds_source": "The purchase price for the Common Shares is approximately US$70 million in cash, and the source of funds was the working capital of Eni International.", "item4_transaction_purpose": "Eni International entered into a subscription agreement, dated April 9, 2026 (the \"Subscription Agreement\"), with the Issuer, pursuant to which Eni International, on May 15, 2026 purchased, on a private placement basis, 38,043,478 Common Shares of the Issuer (the \"Purchased Shares\") for an aggregate subscription price of US$69,999,999.52. This represents approximately 11.6% of the Issuer's outstanding Common Shares, calculated on the basis of (i) the 160,826,539 Common Shares outstanding as of April 13, 2026, as reported in the Prospectus Supplement filed by the Issuer with the Commission on April 13, 2026, (ii) the 115,847,791 Common Shares issued in the private placement to Eni International and other investors on May 15, 2026 (the \"Private Placement\") and (iii) the 52,440,000 Common Shares issued pursuant to subscription receipts issued pursuant to the Prospectus Supplement on May 15, 2026.\n\nThe Purchased Shares were acquired by the Reporting Persons for investment purposes in the ordinary course of business and in consistency with Eni's strategy to diversify its supply chains. The investment in NMG enables Eni to enter the critical minerals value chain through a partnership with a leading company in the sector, while leveraging its distinctive technological know-how. In addition, through this transaction, Eni will have the opportunity to negotiate exclusive supply agreements for graphite and active anode material.\n\nThe Reporting Persons will evaluate their investment in the Issuer from time to time and may at any time, based on such evaluation, market conditions and other circumstances, increase or decrease their security holdings in the Issuer or may change their investment strategy as regards to the Issuer.\n\nThe Reporting Persons intend to monitor and evaluate the investment on an ongoing basis and expect regularly to review and consider alternative ways of maximizing its return on such investment, depending on prevailing market conditions, other investment opportunities, liquidity requirements or other investment considerations the Reporting Persons deem relevant. The Reporting Persons may engage in discussions with management, the board of directors of the Issuer (the \"board\"), other shareholders of the Issuer and other relevant parties concerning the business, operations, board composition, management, strategy and future plans of the Issuer. The Reporting Persons may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements and in compliance with applicable securities laws. The Reporting Persons may from time to time in the future seek to acquire, alone or in conjunction with others, additional Common Shares or other securities issued by the Issuer through open market purchases, block trades, privately negotiated transactions, tender offer, merger, amalgamation, reorganization or otherwise. The Reporting Persons may also dispose of all or a portion of the securities of the Issuer, in registered offerings or in open market or privately negotiated transactions, and/or enter into derivative transactions with institutional counterparties with respect to the Common Shares, in each case, subject to limitations under applicable law and any other required approvals.\n\nUnder the terms of the Investor Rights Agreement (as defined below), Eni International will have certain information and access rights to books and records. Eni International also currently has the right to designate one board nominee or one board observer as provided in the relevant agreements.\n\nExcept as described in this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change its purpose and/or develop such plans and may seek to influence management or the board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649752/000110465926063172/0001104659-26-063172-index.html" }, { "accession_no": "0001104659-26-063048", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 319654, "issuer_name": "PERMIAN BASIN ROYALTY TRUST", "issuer_cusip": "714236106", "securities_class_title": "Units of Beneficial Interest", "date_of_event": "2026-05-17", "filed_date": "2026-05-18", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented by adding the following:\n\nSoftVest, L.P. (\"SoftVest\") and Blackbeard Holdings, LLC (\"Blackbeard\") have agreed to a preliminary non-binding term sheet (the \"Term Sheet\") that sets forth the proposed high-level material terms and conditions governing a potential business combination of the Trust and certain Blackbeard assets (the \"Transaction\"). The Term Sheet is attached as Exhibit 5 hereto and incorporated by reference herein.\n\nThe Term Sheet contemplates the formation of a new corporation organized under the laws of Texas that will be listed on the NYSE and NYSE Texas (\"New PubCo\"). New PubCo would acquire and own (i) all of the assets and operations of the Trust, and (ii) US Land Guild, LLC (\"USLG\"), a wholly owned subsidiary of Blackbeard that will own approximately 66,500 acres of surface estate and a 15% royalty interest associated with certain acreage and certain mineral interests currently owned by Blackbeard or one of its affiliates.\n\nIn exchange for the assets and entities contributed to New PubCo, (i) Blackbeard and the unitholders of the Trust would each receive shares of common stock of New PubCo and (ii) Blackbeard or its affiliates would receive certain working interests owned by the Trust following the conversion of net profits interests into a cost free 15% royalty interest, including those associated with the \"West Ranch\" and \"East Ranch\" properties.\n\nImmediately following the Transaction the former unitholders of the Trust would own approximately 58% of New PubCo; and Blackbeard and its affiliates would own approximately 42% of New PubCo.\n\nSoftVest has engaged Stephens Inc. as financial advisor who provided assistance in negotiating the financial terms of the deal.\n\nSoftVest is engaging in discussions with Blackbeard and its affiliates solely in its capacity as a minority unitholder of the Trust, and neither SoftVest nor any of its affiliates, nor their respective directors, officers or other representatives is acting on behalf of the Trust, its trustee or any other Trust unitholder.\n\nThe Term Sheet is non-binding and no definitive agreement has been executed by SoftVest, Blackbeard or any of their respective affiliates. It is possible that no definitive agreement may be executed among the parties on the terms described in the Term Sheet or at all. Completion of the Transaction is subject to, among other things, the negotiation and execution of definitive agreements, satisfaction of closing conditions, receipt of required regulatory approvals, and approval by a majority in interest of Trust unitholders constituting a quorum at a meeting of unitholders where a quorum is present.\n\nIf the Transaction is pursued, New PubCo may file with the Securities and Exchange Commission (the \"SEC\") a registration statement on Form S-4, which will include a proxy statement of the Trust and a prospectus of New PubCo. INVESTORS AND SECURITY HOLDERS ARE URGED TO READ THE REGISTRATION STATEMENT, PROXY STATEMENT/PROSPECTUS AND ANY OTHER RELEVANT DOCUMENTS FILED WITH THE SEC WHEN THEY BECOME AVAILABLE BECAUSE THEY WILL CONTAIN IMPORTANT INFORMATION ABOUT THE PROPOSED TRANSACTION. These documents will be available through the website maintained by the SEC at www.sec.gov.\n\nSoftVest Advisors, LLC, together with certain of its affiliates and representatives, may be deemed to be participants in the solicitation of proxies from unitholders of the Trust in connection with the proposed Transaction . To the extent required, information regarding the identity of such persons and their direct or indirect interests in the proposed transaction, by security holdings or otherwise, will be included in the proxy statement/prospectus and other relevant materials filed with the SEC when they become available. In addition, information regarding the beneficial ownership of SoftVest Advisors, LLC and certain of its affiliates in the Trust is included in this Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/319654/000110465926063048/0001104659-26-063048-index.html" }, { "accession_no": "0001104659-26-063028", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1674862, "issuer_name": "Ashland Inc.", "issuer_cusip": "044186104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-18", "item3_funds_source": "Item 3 is amended and supplemented by adding the following:\n\nThe Shares reported in this Amendment were purchased by Standard Latitude Master in open market purchases using its working capital. The total purchase price for the Shares reported herein was $212,895,232.49, including brokerage commissions. All or part of the Shares owned by the Reporting Persons may from time to time be pledged with one or more banking institutions or brokerage firms as collateral for loans made by such bank(s) or brokerage firm(s) to the Reporting Persons. Such indebtedness may be refinanced with other banks or broker dealers.", "item4_transaction_purpose": "Item 4 is amended and supplemented by adding the following:\n\nThe Reporting Persons acquired additional Shares as disclosed in Item 5(c) below because they believe the Shares represent an attractive investment opportunity.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1674862/000110465926063028/0001104659-26-063028-index.html" }, { "accession_no": "0001072613-26-000468", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1882782, "issuer_name": "Odyssey Therapeutics, Inc.", "issuer_cusip": "67613T104", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-18", "item3_funds_source": "On May 7, 2026, the Registration Statement on Form S-1 filed with the Securities and Exchange Commission (the \"SEC\") by the Issuer (File No. 333-295141) in connection with its initial public offering of 15,500,000 shares of Common Stock of the Issuer (exclusive of the 2,325,000 shares of Common Stock that the underwriters may purchase upon exercise of their option to purchase additional shares in full) (the \"IPO\") was declared effective. The closing of the IPO took place on May 11, 2026 (the \"Closing\"), and in connection with the Closing, SR One Fund I Aggregator purchased 222,222 shares of Common Stock, SR One Co-Invest IV-A purchased 133,333 shares of Common Stock and AMZL purchased 200,000 shares of Common Stock, each at the IPO price of $18.00 per share.\n\nPrior to the Closing, SR One Fund I Aggregator purchased from the Issuer in a series of private transactions 4,606,320 shares of Series A Convertible Preferred Stock (the \"SR One Fund I Aggregator Series A Preferred Stock\") for an aggregate purchase price of $19,999,996.56; 1,299,842 shares of Series A-2 Convertible Preferred Stock (the \"SR One Fund I Aggregator Series A-2 Preferred Stock\") for an aggregate purchase price of $7,999,994.57; 544,162 shares of Series B Convertible Preferred Stock (the \"SR One Fund I Aggregator Series B Preferred Stock\") for an aggregate purchase price of $3,499,998.53; 600,142 shares of Series C Convertible Preferred Stock (the \"SR One Fund I Aggregator Series C Preferred Stock\") for an aggregate purchase price of $3,000,710.00; and 6,644,650 shares of Series D Convertible Preferred Stock (the \"SR One Fund I Aggregator Series D Preferred Stock\"), along with 1,861,211 warrants to purchase shares of Common Stock (the \"SR One Fund I Aggregator Series D Warrants\"), for an aggregate purchase price of $9,999,998.92. Immediately prior to the Closing, the SR One Fund I Aggregator Series A Preferred Stock automatically converted into 474,048 shares of Common Stock on a 1-for-9.7170 basis; the SR One Fund I Aggregator Series A-2 Preferred Stock automatically converted into 139,366 shares of Common Stock on a 1-for-9.3268 basis; the SR One Fund I Aggregator Series B Preferred Stock automatically converted into 59,692 shares of Common Stock on a 1-for-9.2837 basis; the SR One Fund I Aggregator Series C Preferred Stock automatically converted into 61,762 shares of Common Stock on a 1-for-9.7170 basis; the SR One Fund I Aggregator Series D Preferred Stock automatically converted into 683,817 shares of Common Stock on a 1-for-9.7170 basis; and the SR One Fund I Aggregator Series D Warrants were automatically exercised for 191,541 shares of Common Stock by their terms (as adjusted for the 1-for-9.7170 reverse stock split effected in connection with the IPO). Pursuant to the terms of the warrants, the Issuer withheld 1,065 shares of Common Stock from such shares to pay the exercise price in connection with the automatic net exercise of the SR One Fund I Aggregator Series D Warrants. SR One Fund I Aggregator now holds a total of 1,831,383 shares of Common Stock (the \"SR One Fund I Aggregator Shares\").\n\nThe working capital of SR One Fund I Aggregator is the source of the funds for the purchase of the SR One Fund I Aggregator Shares. No part of the purchase price of the SR One Fund I Aggregator Shares is represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the SR One Fund I Aggregator Shares.\n\nPrior to the Closing, SR One Co-Invest IV purchased from the Issuer in a series of private transactions 1,151,580 shares of Series A Convertible Preferred Stock (the \"SR One Co-Invest IV Series A Preferred Stock\") for an aggregate purchase price of $4,999,999.14; and 2,374,981 shares of Series B Convertible Preferred Stock (the \"SR One Co-Invest IV Series B Preferred Stock\") for an aggregate purchase price of $15,000,000.00. Immediately prior to the Closing, the SR One Co-Invest IV Series A Preferred Stock automatically converted into 118,512 shares of Common Stock on a 1-for-9.7170 basis; and the SR One Co-Invest IV Series B Preferred Stock automatically converted into 255,823 shares of Common Stock on a 1-for-9.2837 basis. SR One Co-Invest IV now holds a total of 374,335 shares of Common Stock (the \"SR One Co-Invest IV Shares\").\n\nThe working capital of SR One Co-Invest IV is the source of the funds for the purchase of the SR One Co-Invest IV Shares. No part of the purchase price of the SR One Co-Invest IV Shares is represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the SR One Co-Invest IV Shares.\n\nPrior to the Closing, SR One Co-Invest IV-A purchased from the Issuer in a series of private transactions 1,899,984 shares of Series B Convertible Preferred Stock (the \"SR One Co-Invest IV-A Series B Preferred Stock\") for an aggregate purchase price of $11,999,994.95; 200,000 shares of Series C Convertible Preferred Stock (the \"SR One Co-Invest IV-A Series C Preferred Stock\") for an aggregate purchase price of $1,000,000; and 1,614,650 shares of Series D Convertible Preferred Stock (the \"SR One Co-Invest IV-A Series D Preferred Stock\"), along with 484,395 warrants to purchase shares of Common Stock (the \"SR One Co-Invest IV-A Series D Warrants\"), for an aggregate purchase price of $2,429,999.82. Immediately prior to the Closing, the SR One Co-Invest IV-A Series B Preferred Stock automatically converted into 204,658 shares of Common Stock on a 1-for-9.2837 basis; the SR One Co-Invest IV-A Series C Preferred Stock automatically converted into 20,582 shares of Common Stock on a 1-for-9.7170 basis; the SR One Co-Invest IV-A Series D Preferred Stock automatically converted into 166,168 shares of Common Stock on a 1-for-9.7170 basis; and the SR One Co-Invest IV-A Series D Warrants were automatically exercised for 49,850 shares of Common Stock by their terms (as adjusted for the 1-for-9.7170 reverse stock split effected in connection with the IPO). Pursuant to the terms of the warrants, the Issuer withheld 277 shares of Common Stock from such shares to pay the exercise price in connection with the automatic net exercise of the SR One Co-Invest IV-A Series D Warrants. SR One Co-Invest IV-A now holds a total of 574,314 shares of Common Stock (the \"SR One Co-Invest IV-A Shares\").\n\nThe working capital of SR One Co-Invest IV-A is the source of the funds for the purchase of the SR One Co-Invest IV-A Shares. No part of the purchase price of the SR One Co-Invest IV-A Shares is represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the SR One Co-Invest IV-A Shares.\n\nPrior to the Closing, AMZL purchased from the Issuer in a series of private transactions 4,500,000 shares of Series C Convertible Preferred Stock (the \"AMZL Series C Preferred Stock\") for an aggregate purchase price of $22,500,000.00; and 2,657,860 shares of Series D Convertible Preferred Stock (the \"AMZL Series D Preferred Stock\"), along with 764,312 warrants to purchase shares of Common Stock (the \"AMZL Series D Warrants\"), for an aggregate purchase price of $3,999,999.58. Immediately prior to the Closing, the AMZL Series C Preferred Stock automatically converted into 463,106 shares of Common Stock on a 1-for-9.7170 basis; the AMZL Series D Preferred Stock automatically converted into 273,527 shares of Common Stock on a 1-for-9.7170 basis, and the AMZL Series D Warrants were automatically exercised for 78,656 shares of Common Stock by their terms (as adjusted for the 1-for-9.7170 reverse stock split effected in connection with the IPO). Pursuant to the terms of the warrants, the Issuer withheld 438 shares of Common Stock from such shares to pay the exercise price in connection with the automatic net exercise of the AMZL Series D Warrants. AMZL now holds a total of 1,014,851 shares of Common Stock (the \"AMZL Shares\").\n\nThe working capital of AMZL is the source of the funds for the purchase of the AMZL Shares. No part of the purchase price of the AMZL Shares is represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the AMZL Shares.\n\nCollectively, the Funds now hold a total of 3,794,883 shares of the Issuer's Common Stock (the \"Fund Shares\").", "item4_transaction_purpose": "The Funds acquired their respective shares for investment purposes. Depending on market conditions, its continuing evaluation of the business and prospects of the Issuer and other factors, the Funds and other Reporting Persons may dispose of or acquire additional shares of the Issuer. Except as set forth above, none of the Reporting Persons has any present plans which relate to or would result in:\n\n(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;\n\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n\n(c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries;\n\n(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n\n(e) Any material change in the present capitalization or dividend policy of the Issuer;\n\n(f) Any other material change in the Issuer's business or corporate structure;\n\n(g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;\n\n(h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n\n(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934; or\n\n(j) Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1882782/000107261326000468/0001072613-26-000468-index.html" }, { "accession_no": "0000947871-26-000557", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1880661, "issuer_name": "TPG Inc.", "issuer_cusip": "872657101", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": null, "item4_transaction_purpose": "This Amendment amends and supplements Item 4 of the Original Schedule 13D by inserting the following before the penultimate paragraph:\n\n\"November 2025 Charitable Donation\n\nOn November 19, 2025, Mr. Winkelried made a bona fide gift of 238,984 shares of Class A Common Stock to a charitable organization for which no payment or consideration was received.\n\nQ2 2026 Exchange\n\nPursuant to the Exchange Agreement, on May 14, 2026, 6,042,619 Common Units were ultimately distributed to certain partners of TPG Partner Holdings, L.P. and the API Entities in connection with the exchange by such partners of those Common Units for an equal number of shares of Class A Common Stock and the cancellation of an equal number of shares of Class B Common Stock (the \"Q2 2026 Exchange\").\"", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1880661/000094787126000557/0000947871-26-000557-index.html" }, { "accession_no": "0000935836-26-000289", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1422142, "issuer_name": "Whitehawk Therapeutics, Inc.", "issuer_cusip": "00032Q104", "securities_class_title": "Common Stock", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": "The Funds used $59,388,056.89 of their working capital to purchase Common Stock, including $32,746,667.74 paid by the Partnership.\n\nFor his services as a director, Mr. Dalal has received 1,130 shares of the Issuer's Common Stock and options to acquire 156,733 shares of the Issuer's Common Stock under the Issuer's equity incentive plans.", "item4_transaction_purpose": "The reporting persons are filing this Schedule 13D because Mr. Dalal is on the Issuer's board of directors. The reporting persons acquired the Stock for investment purposes based on their belief that the Common Stock, when purchased, was undervalued and represented an attractive investment opportunity. The reporting persons will routinely monitor the Issuer regarding a wide variety of factors that affect their investment considerations, including, current and anticipated future trading prices of the Stock and other securities, the Issuer's operations, assets, prospects, financial position, and business development, Issuer's management, Issuer-related competitive and strategic matters, general economic, financial market and industry conditions, and other investment considerations. Depending on their evaluation of various factors, the reporting persons may take such actions regarding their holdings of the Issuer's securities as they deem appropriate in light of circumstances existing from time to time. Such actions may include purchasing additional Common Stock in the open market, through privately negotiated transactions with third parties or otherwise, and selling at any time, in the open market, through privately negotiated transactions with third parties or otherwise, all or part of the Common Stock that they now own or hereafter acquire. The reporting persons also may from time to time enter into or unwind hedging or other derivative transactions with respect to the Common Stock or pledge their interests in the Common Stock to obtain liquidity. In addition, from time to time the reporting persons and their representatives and advisers may communicate with other stockholders, industry participants and other interested parties about the Issuer.\n\nThe reporting persons have no present plan or proposal that relates to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. However, the reporting persons may recommend action to the Issuer's management, board of directors and stockholders. Any such actions could involve one or more of the events referred to in clauses (a) through (j) of Item 4 of Schedule 13D, including, potentially, one or more mergers, consolidations, sales or acquisitions of assets, changes in control, issuances, purchases, dispositions or pledges of securities or other changes in capitalization.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1422142/000093583626000289/0000935836-26-000289-index.html" }, { "accession_no": "0000930413-26-001660", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1434754, "issuer_name": "SAFE BULKERS, INC.", "issuer_cusip": "Y7388L103", "securities_class_title": "Common Stock", "date_of_event": "2026-05-18", "filed_date": "2026-05-18", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the following:\n\nPrior to the date hereof, as the result of restructuring of control among members of the family, Nicolaos Hadjioannou is no longer deemed to have the power to vote or direct the vote of (or the power to dispose or direct the disposition of) the shares of Common Stock owned directly by Vorini. Vorini is currently controlled by Polys Hajioannou.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1434754/000093041326001660/0000930413-26-001660-index.html" }, { "accession_no": "0000921895-26-001434", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 791908, "issuer_name": "XOMA Royalty Corp", "issuer_cusip": "98419J206", "securities_class_title": "Common Stock, $0.0075 par value", "date_of_event": "2026-05-14", "filed_date": "2026-05-18", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares purchased by the Reporting Persons and the Partners Managed Accounts were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market transactions, except as otherwise noted. The aggregate purchase price of the 3,635,758 Shares owned directly by BVF, of which 2,313,000 Shares were acquired pursuant to the Series X Conversion (as defined below), is approximately $20,473,088, including brokerage commissions. The aggregate purchase price of the 2,773,545 Shares owned directly by BVF2, of which 1,506,000 Shares were acquired pursuant to the Series X Conversion, is approximately $18,880,985, including brokerage commissions. The aggregate purchase price of the 412,000 Shares owned directly by Trading Fund OS, all of which were acquired pursuant to the Series X Conversion, is approximately $1,660,360. The aggregate purchase price of the 772,000 Shares held in the Partners Managed Accounts, all of which were acquired pursuant to the Series X Conversion, is approximately $3,111,160.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn May 14, 2026, pursuant to and in connection with the entry into the Support Agreements (as defined and described in Amendment No. 13 to the Schedule 13D), the Issuer waived the 61 day notice requirement to increase the Series X Beneficial Ownership Limitation (as defined and described in Amendment No. 13 to the Schedule 13D), the Reporting Persons delivered a notice to increase the Series X Beneficial Ownership Limitation to 45% of the Issuer's outstanding Shares, and the Reporting Persons delivered conversion notices to convert all the Series X Preferred Stock held by them and the Partners Managed Accounts for Shares at a conversion price of $4.03 per Share (the \"Series X Conversion\"). Pursuant to the Series X Conversion, BVF converted 2,313 Series X Preferred Stock for 2,313,000 Shares, BVF2 converted 1,506 Series X Preferred Stock for 1,506,000 Shares, Trading Fund OS converted 412 Series X Preferred Stock for 412,000 Shares and the Partners Managed Accounts converted 772 Series X Preferred Stock for 772,000 Shares.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/791908/000092189526001434/0000921895-26-001434-index.html" }, { "accession_no": "0002123470-26-000002", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2071778, "issuer_name": "Fermi Inc.", "issuer_cusip": "314911108", "securities_class_title": "Common Stock, $0.001 par value", "date_of_event": "2026-05-11", "filed_date": "2026-05-15", "item3_funds_source": "The Common Stock reported herein as being beneficially owned by the Reporting Persons was purchased prior to the initial public offering of the Issuer using investment capital of Caddis for approximately $126,382.19.", "item4_transaction_purpose": "The Reporting Persons originally acquired the Common Stock reported herein as a Co-Founder of the Issuer prior to the initial public offering of the Issuer. The Reporting Persons believed and continue to believe in the strategic importance of the Issuer and its long-term prospects. The Reporting Persons have had and anticipate having further communications with officers and directors of the Issuer in connection with the Reporting Persons' investment in the Issuer. Specifically, the Reporting Person issued a press release May 11, 2026 attached hereto as Exhibit 99.2 (the \"Press Release\") reaffirming the Reporting Persons' support for Fermi's Board of Directors (the \"Board\"), the Issuer's management team, and its long-term strategic plan. The Reporting Persons are actively and constructively engaged with the Board and management team to help the Issuer reach its full potential, including through ongoing discussions with strategic partners, advocating for rigorous capital allocation and best-in-class governance practices, and working collaboratively to maximize long-term value for our fellow shareholders, employees, customers, and other stakeholders.\n\nThe Reporting Persons may also have similar conversations with other stockholders or other third parties, such as industry analysts, existing or potential strategic partners or competitors, investment professionals and other investors and may exchange information with any such persons or the Issuer pursuant to appropriate confidentiality or similar agreements (which may contain customary standstill provisions). The Reporting Persons may at any time reconsider and change their intentions relating to the foregoing. The Reporting Persons may also take one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D and may discuss or propose such actions with the Issuer's management and the Board, other stockholders of the Issuer and other third parties, such as those set out above. The Reporting Persons may also take steps to explore and prepare for various plans and actions, and propose transactions, before forming an intention to engage in such plans or actions or proceed with such transactions.\n\nThe Reporting Persons intend to review their investments in the Issuer on a continuing basis. Depending on various factors, including, without limitation, the Issuer's financial position and strategic direction, the outcome of the discussions and matters referenced above, actions taken by the Issuer's management or Board, price levels of the Common Stock, liquidity requirements and other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, the Reporting Persons may in the future take actions with respect to their investment position in the Issuer as they deem appropriate, including, without limitation, purchasing additional shares of Common Stock or other instruments that are based upon or relate to the value of the Common Stock or the Issuer in the open market or otherwise, selling some or all of the securities reported herein, and/or engaging in hedging or similar transactions with respect to the shares of Common Stock.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2071778/000212347026000002/0002123470-26-000002-index.html" }, { "accession_no": "0002049820-26-000009", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1649752, "issuer_name": "Nouveau Monde Graphite Inc.", "issuer_cusip": "66979W842", "securities_class_title": "Common shares", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and restated in its entirety as follows:\n\nCGF entered into a subscription agreement (the Subscription Agreement), dated December 16, 2024, with NMG pursuant to which, on December 20, 2024, CGF purchased, on a private placement basis, 19,841,269 Common Shares of NMG and an additional 19,841,269 Common Shares on exercise of the Warrants, for an aggregate of 39,682,538 Common Shares, for an aggregate subscription price of US$25,000,000 (collectively, the Purchased Shares).\n\nThe Purchased Shares and Warrant Shares (as defined in the Subscription Agreement) were acquired by CGF for investment purposes in the ordinary course of its business.\n\nCGF entered into a subscription agreement, dated April 9, 2026 (the April 2026 Subscription Agreement), with NMG, pursuant to which CGF agreed to purchase, on a private placement basis and subject to NMG shareholder approval, 44,452,460 Common Shares of NMG for an aggregate subscription price of US$81,792,526.40 (the 2026 Private Placement Common Shares). Following shareholder approval at NMG's 2026 annual general meeting of shareholders held on May 13, 2026, the 2026 Private Placement Common Shares were issued. This investment represents approximately 27.6% of the then-outstanding Common Shares, calculated based on 160,826,539 Common Shares issued and outstanding as of March 31, 2026, as reported by NMG in its Form 6-K filed with the SEC on May 12, 2026.\n\nThe Reporting Persons will evaluate their investment in NMG from time to time and may at any time, based on such evaluation, market conditions and other circumstances, increase or decrease their security holdings in NMG or may change their investment strategy as regards to NMG. The Common Shares are listed on the TSX Venture Exchange and the New York Stock Exchange.\n\nThe Reporting Persons intend to monitor and evaluate the investment on an ongoing basis and expect regularly to review and consider alternative ways of maximizing its return on such investment, depending on prevailing market conditions, other investment opportunities, liquidity requirements or other investment considerations the Reporting Persons deem relevant. The Reporting Persons may engage in discussions with management, the board of directors of NMG (the Board), other shareholders of NMG and other relevant parties concerning the business, operations, Board composition, management, strategy and future plans of NMG only to the extent such discussions do not create a \"group\" within the meaning of Section 13(d)(3) of the Exchange Act. The Reporting Persons may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements and in compliance with applicable securities laws. The Reporting Persons may from time to time in the future seek to acquire, alone or in conjunction with others, additional Common Shares or other securities issued by NMG through open market purchases, block trades, privately negotiated transactions, tender offer, merger, reorganization or otherwise. The Reporting Persons may also dispose of all or a portion of the securities of NMG, in open market or privately negotiated transactions, and/or enter into derivative transactions with institutional counterparties with respect to the Common Shares, in each case, subject to limitations under applicable law and any other required approvals.\n\nUnder the terms of the Investor Rights Agreement, CGF will have certain information and access rights to books and records. CGF has the right to appoint one member of the Board and one Board observer. CGF has appointed one Board observer and nominated Hubert T. Lacroix as its designee to the Board. Mr. Lacroix was elected as a director of NMG at NMG's 2026 annual general meeting of shareholders held on May 13, 2026. Except as described in this Amendment No. 5, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Persons, at any time and from time to time, may review, reconsider and change its position and/or change its purpose and/or develop such plans and may seek to influence management or the Board with respect to the business and affairs of NMG and may from time to time consider pursuing or proposing such matters with advisors, NMG or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649752/000204982026000009/0002049820-26-000009-index.html" }, { "accession_no": "0002005138-26-000005", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1532619, "issuer_name": "Power REIT", "issuer_cusip": "73933H200", "securities_class_title": "Series A Cumulative Redeemable Perpetual Preferred Stock Liquidation Preference $25 per Share", "date_of_event": "2026-05-15", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1532619/000200513826000005/0002005138-26-000005-index.html" }, { "accession_no": "0001829126-26-005261", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1557376, "issuer_name": "Zeo Scientifix, Inc.", "issuer_cusip": "68621D206", "securities_class_title": "Shares of Common Stock $0.001 Par Value and Series C Preferred Stock $.001 Par Value", "date_of_event": "2026-01-14", "filed_date": "2026-05-15", "item3_funds_source": "The additional shares of the Issuer's common stock held by the Reporting Person as reported in Item 5(c) of and elsewhere in this Amendment No. 3 represent (i) options to purchase 55,000 shares of common stock granted to the Reporting Person on May 8, 2025 under the Issuer's 2021 Equity Incentive Plan (the \"Plan\"); and (ii) 87,500 restricted shares of common stock issued to the Reporting Person on January 14, 2026 under the Plan which vest on July 14, 2026.", "item4_transaction_purpose": "The additional shares of the Issuer's common stock acquired by the Reporting Person as reported in Item 5(c) of and elsewhere in this Amendment No. 3, were issued to the Reporting Person as described in Item 3, above. The Reporting Person has no definite plan to acquire or dispose of additional shares of the Issuer's common stock in open market or private transactions, but may do so in the future, subject to compliance with the Exchange Act and the rules and regulations thereunder. In addition, while there is no definite plan to issue additional shares of the Issuer's common stock to the Reporting Person under one or more of the Issuer's equity incentive plans, the board of directors or a committee thereof may determine to issue awards of shares of common stock under such plans to the Reporting Person from time to time in the future.\n\nExcept as set forth in the preceding paragraph, the Reporting Person has no plans or proposals which relate to or would result in:\n\n(a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer;\n\n(b) Any additional extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries;\n\n(c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries;\n\n(d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;\n\n(e) Any material change in the present capitalization or dividend policy of the issuer;\n\n(f) Any other material change in the issuer's business or corporate structure including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940;\n\n(g) Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person;\n\n(h) Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n\n(i) A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n\n(j) Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1557376/000182912626005261/0001829126-26-005261-index.html" }, { "accession_no": "0001813314-26-000008", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1763950, "issuer_name": "Lantern Pharma Inc.", "issuer_cusip": "51654W101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-15", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1763950/000181331426000008/0001813314-26-000008-index.html" }, { "accession_no": "0001683168-26-003980", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1759186, "issuer_name": "Z Squared Inc.", "issuer_cusip": "19207A207", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-04-30", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Statement is hereby amended and restated in its entirety as follows: On April 30, 2026 (the \"Distribution Date\"), the Reporting Person completed a pro rata distribution of all 41,521,276 shares of Common Stock then held by it (the \"Distributed Shares\") to its members, (the \"Members\"), in accordance with their respective percentage membership interests in the Reporting Person (the \"Distribution\"). No consideration was paid or received by the Reporting Person or its Members in connection with the Distribution. Following the Distribution, the Reporting Person has no further investment intent with respect to the Common Stock and does not beneficially own any shares of Common Stock of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1759186/000168316826003980/0001683168-26-003980-index.html" }, { "accession_no": "0001493152-26-024022", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2090646, "issuer_name": "BOOST RUN INC.", "issuer_cusip": "09940T100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-15", "item3_funds_source": "The shares of Class A common stock reported herein as being beneficially owned by the Reporting Person were issued following the completion of the business combination on May 8, 2026 (the \"Closing Date\"), pursuant to that certain Business Combination Agreement dated as of September 15, 2025, as amended by Amendment No. 1 to the Business Combination Agreement, dated January 13, 2026 (the \"Business Combination Agreement\" and together with the other agreements and transaction contemplated by the Business Combination Agreement, the \"Business Combination\"), between Boost Run Inc., a Delaware corporation (the \"Company\"), Willow Lane Acquisition Corp., a Cayman Islands exempted company (\"SPAC\"), Benchmark Merger Sub I Inc., a Delaware corporation and wholly-owned subsidiary of the Company (\"SPAC Merger Sub\"), Boost Run Holdings, LLC, a Delaware limited liability company (\"Legacy Boost Run\"), Benchmark Merger Sub II LLC, a Delaware limited liability company and wholly-owned subsidiary of the Company (\"Company Merger Sub\"), Andrew Karos, solely in his capacity as the representative of the holders of Legacy Boost Run's issued and outstanding membership interests, and George Peng, solely in his capacity as the representative of SPAC shareholders.\n\nOn the Closing Date, SPAC Merger Sub merged with and into SPAC, with SPAC surviving as a wholly-owned subsidiary of the Company (the \"SPAC Merger\"). Simultaneously with the SPAC Merger, Company Merger Sub merged with and into Legay Boost Run, with, pursuant to the Certificate of Merger, the surviving entity continuing as Boost Run Services, LLC and a wholly-owned subsidiary of the Company. As a result of the Business Combination, SPAC and Boost Run became wholly-owned subsidiaries of the Company and the Company became a publicly traded company.\n\nAt the effective time of the Business Combination, stock consideration was issued to the then current holders of stock in Legacy Boost Run in the form of common stock of the Company.\n\nAmended and Restated Transfer Agreement\n\nThe Reporting Person is the managing member of Goodrich ILMJS LLC (the \"SPV\").\n\nOn September 15, 2025, Willow Lane Sponsor, LLC (the \"Sponsor\") and Goodrich ILMJS LLC (the \"SPV\") entered into a Transfer Agreement (the \"Original Transfer Agreement\") providing that the SPV has agreed to purchase from the Sponsor, immediately prior to the Closing Date, 27.5% of the 4,628,674 Class B ordinary shares of Willow Lane (the \"Founder Shares\") held by the Sponsor and 27.5% of the 4,007,222 warrants to purchase Willow Lane ordinary shares held by the Sponsor, at a purchase price for all such securities (the \"Transfer Securities\") equal to $1.75 per Founder Share purchased.\n\nOn April 24, 2026, the Sponsor and the SPV entered into an Amended and Restated Transfer Agreement (the \"Amended and Restated Transfer Agreement\") to amend and restate the original transfer agreement to provide that, among other things, such purchase shall be completed on or before the six (6) month anniversary of the Closing Date. Specifically, the purchase shall be effected on or before the earlier of: (i) the six (6) month anniversary of Closing; and (ii) the fifteenth (15th) calendar day after the effective date of post-Closing registration statement registering the resale of the Transfer Securities, provided that the applicable lock-up period for such Transfer Securities has also expired. Prior to the consummation of such purchase, the Transfer Securities will be placed in an escrow account administered by Continental Stock Transfer & Trust Company.", "item4_transaction_purpose": "The information regarding the Business Combination set forth in Item 3 above is incorporated into this Item 4 by reference.\n\nReporting Person serves a member of the Board of Directors of the Issuer, and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Person, at any time, and from time to time, may review, reconsider and change his position and/or change his purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer, or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2090646/000149315226024022/0001493152-26-024022-index.html" }, { "accession_no": "0001493152-26-024014", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2090646, "issuer_name": "Boost Run Inc.", "issuer_cusip": "09940T100", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-08", "filed_date": "2026-05-15", "item3_funds_source": "To the extent required by Item 3, the information contained in Item 4 is incorporated herein by reference.", "item4_transaction_purpose": "On September 15, 2025, Willow Lane entered into a Business Combination Agreement (as amended on January 13, 2026, the \"Business Combination Agreement\") with (i) the Issuer, (ii) Benchmark Merger Sub I Inc., a Delaware corporation and a wholly-owned subsidiary of the Issuer (\"SPAC Merger Sub\"), (iii) Benchmark Merger Sub II LLC, a Delaware limited liability company and a wholly-owned subsidiary of the Issuer (\"Company Merger Sub\"), (iv) Boost Run Holdings, LLC, a Delaware limited liability company (\"Boost Run\"), (v) George Peng, solely in the capacity as the representative from and after the Effective Time (as defined in the Business Combination Agreement) for Willow Lane shareholders as of immediately prior to the Effective Time and their successors and assigns (other than the holders of Boost Run's issued and outstanding membership interests (the \"Sellers\") in accordance with the terms and conditions of the Business Combination Agreement, and (vi) Andrew Karos, solely in the capacity as the representative from and after the Effective Time for the Sellers as of immediately prior to the Effective Time (and their successors and assigns) in accordance with the terms and conditions of the Business Combination Agreement for a proposed business combination (the \"Business Combination\").\n\nSimultaneously with the execution of the Business Combination Agreement, Willow Lane, the Issuer, Boost Run and the underwriter of the Willow Lane's initial public offering (the \"Willow Lane IPO\"), on the one hand, and Willow Lane Sponsor and Willow Lane's directors and officers, on the other hand, entered into an amendment (each an \"Insider Letter Amendment\") to the letter agreement (the \"Insider Letter\") that was entered into in connection with the Willow Lane IPO to, among other things, (i) amend the terms of the lock-up set forth in the Insider Letter to conform with the lock-up terms in the Lock-Up Agreements (as defined below), and (iv) release from lock-up restrictions 10% of the 4,628,674 shares of Issuer's Class A Common Stock to be issued upon conversion of the Willow Lane Class B ordinary shares pursuant to the Business Combination, subject to and contingent upon the closing of the Business Combiantion (the \"Closing\") and upon shareholder approval.\n\nOn May 8, 2026 (the \"Closing Date\"), among other things, Willow Lane caused the continuation and the domestication of Willow Lane as a corporation incorporated under the laws of the State of Delaware (the \"Conversion\"), immediately followed by the deregistration of Willow Lane as an exempted company in the Cayman Islands. The Conversion occurred in accordance with the Delaware General Corporation Law (the \"DGCL\") and Part XII of the Companies Act (As Revised) of the Cayman Islands (the \"Act\"). Upon the Conversion, each issued and outstanding Willow Lane security remained outstanding and became a substantially identical security of Willow Lane as a Delaware corporation.\n\nFollowing the Conversion, and on the Closing Date, SPAC Merger Sub merged with and into Willow Lane, with Willow Lane surviving as a wholly-owned subsidiary of the Issuer (the \"Willow Lane Merger\"). Simultaneously with the Willow Lane Merger, Company Merger Sub merged with and into Boost Run, with, pursuant to the Certificate of Merger, the surviving entity continuing as Boost Run Services, LLC and a wholly-owned subsidiary of the Issuer (the \"Company Merger\", and together with the Willow Lane Merger, the \"Mergers\"). As a result of the Business Combination, Willow Lane and Boost Run became wholly-owned subsidiaries of the Issuer and the Issuer became a publicly traded company.\n\nIn addition, pursuant to that certain Earnout Agreement, dated as of September 15, 2025 and amended on January 13, 2026, by and among the Issuer, the Sponsor and the SPV (the \"Earnout Agreement\"), Willow Lane Sponsor may earn up to 1,125,000 newly issued shares of Class A Common Stock and the SPV may earn up to 1,968,750 newly issued shares of Class A Common Stock, for a total of 3,093,750 shares, based on the performance of the Class A Common Stock during the three-year period following the Closing, with certain VWAP thresholds of $12.50, $15.00 and $17.50 per share.\n\nIn connection with the Business Combination, on the Closing Date, the Issuer entered into an Amended and Restated Registration Rights Agreement (the \"Registration Rights Agreement\") pursuant to which it agreed to register for resale shares of common stock of the Issuer and other securities held by the Sellers, the Sponsor, and certain other stockholders, subject to the terms and conditions described therein.\n\nIn connection with the Business Combination, on the Closing Date, the Issuer entered into Lock-Up Agreements (the \"Lock-Up Agreements\") with certain stockholders of Boost Run, pursuant to which each of the parties to the Lock-Up Agreements agreed not to effect any sale or distribution of any equity securities of the Issuer held by any of them during the lock-up period set forth therein.\n\nOn January 13, 2026, the Issuer entered into a consulting services agreement (the \"Weil Consulting Agreement\") with Mr. Weil, pursuant to which Mr. Weil will provide advice as needed with respect to business strategy and corporate governance and use his reasonable efforts to introduce the Issuer to clients and investors, commencing on the first business day following the Closing. In consideration for such future services, the Issuer has agreed to grant up to 336,000 shares of Class A Common Stock to Mr. Weil or his assignees, subject to price-based vesting conditions.\n\nAs of the Closing of the Business Combination, Mr. Weil beneficially owned 8,635,896 Class A Common Stock, which includes (i) 4,628,674 shares of Class A Common Stock of the Issuer held by Willow Lane Sponsor, a limited liability company of which Mr. Weil is the sole managing member, which include 1,272,885 shares of Class A Common Stock that may be purchased by the SPV within six (6) months after May 8, 2026, and (ii) 4,007,222 shares of Class A Common Stock issuable upon the exercise of warrants of the Issuer that are held by Willow Lane Sponsor, which warrants become exercisable beginning 30 days after May 8, 2026, which include 1,101,986 shares of Class A Common Stock issuable upon the exercise of warrants that may be purchased by the SPV within six (6) months after May 8, 2026.\n\nOn May 12, 2026, Willow Lane Sponsor transferred (i) 3,355,786 shares of Class A Common Stock (including 913,632 shares to Mr. Weil) and (ii) 2,905,231 warrants of the Issuer to certain individuals and entities who were members of Willow Lane Sponsor. Following the Sponsor Distribution, Willow Lane Sponsor owns 2,374,879 shares of Class A Common Stock, which include (a) 1,272,888 shares of Class A Common Stock, which include 1,272,885 shares of Class A Common Stock that may be purchased by the SPV within six (6) months after May 8, 2026 and (b) 1,101,991 shares of Class A Common Stock issuable upon the exercise of warrants of the Issuer, which warrants become exercisable beginning 30 days after May 8, 2026, which include 1,101,986 shares of Class A Common Stock issuable upon the exercise of warrants that may be purchased by the SPV within six (6) months after May 8, 2026. Following the Sponsor Distribution, Mr. Weil beneficially owns 3,288,511 shares of Class A Common Stock, which include (x) 2,374,879 shares of Class A Common Stock (including shares underlying the warrants held by Willow Lane Sponsor) that are held by Willow Lane Sponsor and (y) 913,632 shares of Class A Common Stock that are held by him directly.\n\nThe foregoing descriptions of the Business Combination Agreement, Insider Letter Amendment, Lock-Up Agreement, and Registration Rights Agreement, Earnout Agreement, and Weil Consulting Agreement are qualified in their entirety by reference to such agreements, which are filed as exhibits to this Schedule 13D.\n\nPlans or Proposals\n\nMr. Weil is member of the board of directors (\"Board\") of the Issuer. In this capacity, he may communicate with other members of management, other members of the Board, and/or other stockholders from time to time with respect to operational, strategic, financial or governance matters or otherwise work with management and the Board with a view to maximizing stockholder value. Such discussions and actions may be preliminary and exploratory in nature, and may not rise to the level of a plan or proposal.\n\nThe Reporting Persons have acquired the shares and warrants reported herein for investment purposes. The Reporting Persons review and intend to continue to review, on an ongoing and continued basis, their investments in the Issuer. The Reporting Persons may seek to acquire additional securities of the Issuer (which may include rights or securities exercisable or convertible into securities of the Issuer) from time to time, and/or may seek to sell or otherwise dispose of some or all of the Issuer's securities from time to time, in each case, in open market or private transactions, block sales or otherwise, including in connection with extraordinary corporate transactions, such as a tender offer, merger or consolidation that would result in the de-listing of the Issuer's securities, or through in-kind distributions. The Reporting Persons expect to continue to actively evaluate such transactions, and to take other actions intended to position the Reporting Persons to opportunistically engage in one or more of such transactions in the future. Any transactions that the Reporting Persons may pursue may be made at any time and from time to time without prior notice and will depend upon a variety of factors, including, without limitation, current and anticipated future trading prices of the securities of the Issuer, the financial condition, results of operations and prospects of the Issuer, general economic, financial market and industry conditions, other investment and business opportunities available to the Reporting Persons, tax considerations and other factors considered relevant by the Reporting Persons.\n\nExcept as described in this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in Item 4 of Schedule 13D, although the Reporting Persons, at any time and from time to time, may review, reconsider and change such position and/or change their purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2090646/000149315226024014/0001493152-26-024014-index.html" }, { "accession_no": "0001493152-26-024004", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2090646, "issuer_name": "Boost Run Inc.", "issuer_cusip": "09940T100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-15", "item3_funds_source": "The shares of Class A common stock reported herein as being beneficially owned by the Reporting Persons were issued following the completion of the business combination on May 8, 2026 (the \"Closing Date\"), pursuant to that certain Business Combination Agreement dated as of September 15, 2025, as amended by Amendment No. 1 to the Business Combination Agreement, dated January 13, 2026 (the \"Business Combination Agreement\" and together with the other agreements and transaction contemplated by the Business Combination Agreement, the \"Business Combination\"), between Boost Run Inc., a Delaware corporation (the \"Company\"), Willow Lane Acquisition Corp., a Cayman Islands exempted company (\"SPAC\"), Benchmark Merger Sub I Inc., a Delaware corporation and wholly-owned subsidiary of the Company (\"SPAC Merger Sub\"), Boost Run Holdings, LLC, a Delaware limited liability company (\"Legacy Boost Run\"), Benchmark Merger Sub II LLC, a Delaware limited liability company and wholly-owned subsidiary of the Company (\"Company Merger Sub\"), Andrew Karos, solely in his capacity as the representative of the holders of Legacy Boost Run's issued and outstanding membership interests, and George Peng, solely in his capacity as the representative of SPAC shareholders. On the Closing Date, SPAC Merger Sub merged with and into SPAC, with SPAC surviving as a wholly-owned subsidiary of the Company (the \"SPAC Merger\"). Simultaneously with the SPAC Merger, Company Merger Sub merged with and into Legay Boost Run, with, pursuant to the Certificate of Merger, the surviving entity continuing as Boost Run Services, LLC and a wholly-owned subsidiary of the Company. As a result of the Business Combination, SPAC and Boost Run became wholly-owned subsidiaries of the Company and the Company became a publicly traded company. At the effective time of the Business Combination, stock consideration was issued to the then current holders of stock in Legacy Boost Run in the form of common stock of the Company.", "item4_transaction_purpose": "The information regarding the Business Combination set forth in Item 3 above is incorporated into this Item 4 by reference. Harilaos Georgakopoulos serves a member of the Board of Directors and as the Chief Operating Officer of the Issuer, and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Except as described in this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Persons, at any time, and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer, or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2090646/000149315226024004/0001493152-26-024004-index.html" }, { "accession_no": "0001493152-26-023999", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2090646, "issuer_name": "BOOST RUN INC.", "issuer_cusip": "09940T100", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-15", "item3_funds_source": "The shares of common stock reported herein as being beneficially owned by the Reporting Person were issued following the completion of the business combination on May 8, 2026 (the \"Closing Date\"), pursuant to that certain Business Combination Agreement dated as of September 15, 2025, as amended by Amendment No. 1 to the Business Combination Agreement, dated January 13, 2026 (the \"Business Combination Agreement\" and together with the other agreements and transaction contemplated by the Business Combination Agreement, the \"Business Combination\"), between Boost Run Inc., a Delaware corporation (the \"Company\"), Willow Lane Acquisition Corp., a Cayman Islands exempted company (\"SPAC\"), Benchmark Merger Sub I Inc., a Delaware corporation and wholly-owned subsidiary of the Company (\"SPAC Merger Sub\"), Boost Run Holdings, LLC, a Delaware limited liability company (\"Legacy Boost Run\"), Benchmark Merger Sub II LLC, a Delaware limited liability company and wholly-owned subsidiary of the Company (\"Company Merger Sub\"), Andrew Karos, solely in his capacity as the representative of the holders of Legacy Boost Run's issued and outstanding membership interests, and George Peng, solely in his capacity as the representative of SPAC shareholders.\n\nOn the Closing Date, SPAC Merger Sub merged with and into SPAC, with SPAC surviving as a wholly-owned subsidiary of the Company (the \"SPAC Merger\"). Simultaneously with the SPAC Merger, Company Merger Sub merged with and into Legay Boost Run, with, pursuant to the Certificate of Merger, the surviving entity continuing as Boost Run Services, LLC and a wholly-owned subsidiary of the Company. As a result of the Business Combination, SPAC and Boost Run became wholly-owned subsidiaries of the Company and the Company became a publicly traded company.\n\nAt the effective time of the Business Combination, stock consideration was issued to the then current holders of stock in Legacy Boost Run in the form of common stock of the Company.", "item4_transaction_purpose": "The information regarding the Business Combination set forth in Item 3 above is incorporated into this Item 4 by reference.\n\nReporting Person serves a member of the Board of Directors and as the Chief Executive Officer of the Issuer, and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Person, at any time, and from time to time, may review, reconsider and change his position and/or change his purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer, or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2090646/000149315226023999/0001493152-26-023999-index.html" }, { "accession_no": "0001493152-26-023402", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 1729173, "issuer_name": "Uxin Ltd", "issuer_cusip": "91818X108", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": "Item 3 of the Initial Statements is hereby amended and supplemented by adding the following two paragraphs to the end:\n\nOn May 14, 2026, Abundant Grace Investment Limited distributed 558,725,100 Class A Ordinary Shares held by it to one of its shareholders Joy III for nil consideration. The funds used by Joy III to acquire the equity interest of Abundant Grace Investment Limited (as a result of which, Joy III acquired indirect equity interest of the Issuer) were from the investment capital contributed to Joy III by its investors.\n\nOn May 14, 2026, Abundant Grace Investment Limited distributed 349,203,000 Class A Ordinary Shares held by it to one of its shareholders Brightest for nil consideration. The funds used by Brightest to acquire the equity interest of Abundant Grace Investment Limited (as a result of which, Brightest acquired indirect equity interest of the Issuer) were from the investment capital contributed to Brightest by Joy IV.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1729173/000149315226023402/0001493152-26-023402-index.html" }, { "accession_no": "0001493152-26-023390", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1603793, "issuer_name": "Norris Industries, Inc.", "issuer_cusip": "656357100", "securities_class_title": "Common Stock", "date_of_event": "2026-02-26", "filed_date": "2026-05-15", "item3_funds_source": "N/A", "item4_transaction_purpose": "This Amendment No.2 to the Schedule 13D for Patrick Norris is to remove the reference to 1,000,000 shares of preferred stock previously owned by Mr. Norris. The shares of preferred stock were contributed to the capital of Norris Industries, Inc. for no consideration.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1603793/000149315226023390/0001493152-26-023390-index.html" }, { "accession_no": "0001493152-26-023386", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1729173, "issuer_name": "Uxin Limited", "issuer_cusip": "91818X108", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1729173/000149315226023386/0001493152-26-023386-index.html" }, { "accession_no": "0001493152-26-023385", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1729173, "issuer_name": "Uxin Ltd", "issuer_cusip": "91818X108", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1729173/000149315226023385/0001493152-26-023385-index.html" }, { "accession_no": "0001398344-26-009210", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1000694, "issuer_name": "NOVAVAX, INC.", "issuer_cusip": "670002401", "securities_class_title": "Common Stock, Par Value $0.01 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nOn May 14, 2026, the Reporting Persons sent a presentation (the \"Elevating Novavax Presentation\") to the board of directors of the Issuer (the \"Board\") outlining what they believe to be the failures of the current leadership, specifically noting the following: (i) marketing failure since 2023; (ii) underwhelming Sanofi partnership; (iii) capital market mismanagement; and (iv) leadership enriching itself instead of building value. The foregoing description of the Elevating Novavax Presentation does not purport to be complete and is qualified in its entirety to the Elevating Novavax Presentation, which is attached hereto as Exhibit 99.1 and is incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1000694/000139834426009210/0001398344-26-009210-index.html" }, { "accession_no": "0001361570-26-000011", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1773383, "issuer_name": "Dynatrace, Inc.", "issuer_cusip": "268150109", "securities_class_title": "COMMON STOCK", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": "The Reporting Person acquired the shares of common stock of Dynatrace Inc on behalf of its institutional clients who are managed on a discretionary basis. The purchase cost is approximately USD 656'487'212.00 . The source of the funds comes from our institutional clients' assets\n\nThe funds used for the acquisition did not involve any financing or borrowing.", "item4_transaction_purpose": "The Reporting Person acquired shares of Dynatrace Inc as part of its investment strategy, which includes considering the clarity and robustness of the issuer's long-term strategy; the functioning and calibre of governance structures and effective leadership; the financial strength and performance of issuers and the fair valuation of underlying securities; and financially-material sustainability risks & opportunities. The Reporting Person is therefore actively engaging with the Issuer to discuss and promote initiatives that align with these business practices.\n\nThis engagement is part of the Reporting Person's broader strategy to support companies in enhancing their approach, thereby potentially improving long-term shareholder value. As such, the Reporting Person may seek to influence the Issuer's policies and practices through discussions with the Boards and management of the companies in which we invest.\n\nThe Reporting Person does not currently have any plans or proposals that would result in a change in control of the Issuer, nor does it intend to acquire additional shares for the purpose of gaining control. However, the Reporting Person reserves the right to change its intentions and take any actions that it deems appropriate in light of its ongoing engagement and evaluation of the Issuer's policies and practices.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1773383/000136157026000011/0001361570-26-000011-index.html" }, { "accession_no": "0001213900-26-057989", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1529113, "issuer_name": "XTI Aerospace, Inc.", "issuer_cusip": "98423K405", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2025-12-30", "filed_date": "2026-05-15", "item3_funds_source": "The Reporting Person beneficially owns 2,407,199 shares of common stock of the Issuer, which consists of (i) 1,429 shares of common stock and (ii) 2,405,770 shares of common stock issuable upon exercise of certain stock options that are exercisable within sixty days from the date of this Schedule 13D (the \"Vested Options\"). The stock options were granted as part of the Reporting Person's compensation as Chief Executive Officer of the Issuer and did not require the payment of additional consideration at the time of grant.", "item4_transaction_purpose": "The Reporting Person is filing this Schedule 13D to report that he has acquired securities of the Issuer in connection with his service as Chief Executive Officer of the Issuer, which are further described below.\n\nOn June 12, 2024, the Issuer, as approved by the Issuer's board of directors (the \"Board\"), issued stock options to the Reporting Person exercisable for up to 11,251 shares of common stock, which were issued pursuant to the Issuer's Amended and Restated 2018 Employee Stock Incentive Plan (the \"Plan\"). These stock options vest in three (3) equal annual installments, with the first installment vesting on the first anniversary of the grant date.\n\nOn September 4, 2025, the Issuer, as approved by the compensation committee of the Board (the \"Compensation Committee\"), issued stock options to the Reporting Person exercisable for up to 2,621,100 shares of common stock, which were issued pursuant to the Plan. One-third (1/3) of these stock options vested on the grant date, and the remainder vest in equal quarterly installments over a two (2) year period.\n\nOn December 30, 2025, the Issuer, as approved by the Compensation Committee, issued stock options to the Reporting Person exercisable for up to 2,621,100 shares of common stock, which were issued pursuant to the Plan. One-third (1/3) of these stock options vested on the grant date, and the remainder vest in equal quarterly installments over a two (2) year period.\n\nAs of the date of this Schedule 13D, 2,405,770 shares of common stock are issuable upon the exercise of the Vested Options.\n\nExcept as set forth herein, the Reporting Person has no present plans or proposals that relate to or would result in any of the actions required to be described in subsections (a) through (j) of Item 4 of Schedule 13D. The Reporting Person may, at any time, review or reconsider his positions with respect to the Issuer and formulate plans or proposals with respect to any of such matters, but except as described herein, he has no present intention of doing so.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1529113/000121390026057989/0001213900-26-057989-index.html" }, { "accession_no": "0001213900-26-057897", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2014982, "issuer_name": "SIM Acquisition Corp. I", "issuer_cusip": "G8431T101", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-15", "item3_funds_source": "On January 29, 2024, pursuant to a securities subscription agreement dated January 29, 2024, the Sponsor paid $25,000, or approximately $0.004 per share in exchange for 5,750,000 Class B Ordinary Shares. In May 2024, the Issuer effected a share dividend of 0.33 shares for each Class B Ordinary Share outstanding, resulting in the Sponsor holding an aggregate of 7,666,669 Class B Ordinary Shares. Following transfers to certain persons, the Sponsor held an aggregate of 7,646,669 Class B Ordinary Shares. The consideration for these securities was the working capital of the Sponsor.\n\nOn May 13, 2026, the Reporting Persons converted 3,000,000 Class B Ordinary Shares held directly by the Sponsor into 3,000,000 Class A Ordinary Shares, for no additional consideration.", "item4_transaction_purpose": "The responses to Items 3 and 6 of this Schedule 13D are incorporated by reference herein.\n\nThe Reporting Persons hold their securities of the Issuer for investment purposes. The Reporting Persons continuously assess the Issuer's business, financial condition, results of operations and prospects, general economic conditions, other developments and additional investment opportunities. Depending on such assessments, and subject to any restrictions described herein (such as the transfer restrictions in the Letter Agreement dated July 9, 2024, which was entered into between the Issuer, the Sponsor and certain other parties (the \"Letter Agreement\")), the Reporting Persons may: (i) acquire beneficial ownership of additional securities of the Issuer in the open market, in privately negotiated transactions or otherwise; (ii) dispose of all or part of their holdings of securities of the Issuer; or (iii) take other actions which could involve one or more of the types of transactions or have one or more of the results described in Item 4 of Schedule 13D. Such actions will depend upon a variety of factors, including, without limitation, current and anticipated future trading prices, the financial condition, results of operations and prospects of the Issuer, alternative investment opportunities, general economic, financial market and industry conditions and other factors that the Reporting Persons may deem material to their investment decision.\n\nExcept as set forth herein, the Reporting Persons do not have any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2014982/000121390026057897/0001213900-26-057897-index.html" }, { "accession_no": "0001213900-26-057832", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1799191, "issuer_name": "Oncology Institute, Inc.", "issuer_cusip": "23343Q100", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": "Between May 8, 2026 and May 14, 2026, M33 LP sold an aggregate of 1,800,000 shares in open market transactions on Nasdaq.", "item4_transaction_purpose": "Item 4 is hereby supplemented as follows: The information set forth in Item 3 of this Schedule 13D, as amended therein, is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1799191/000121390026057832/0001213900-26-057832-index.html" }, { "accession_no": "0001213900-26-057369", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1453015, "issuer_name": "Ballard Power Systems Inc.", "issuer_cusip": "058586108", "securities_class_title": "Common Shares", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended in its entirety as follows:\n\nThe information contained in Item 3 above is herein incorporated by reference.\n\nThe Reporting Persons acquired securities of the Issuer for investment purposes.\n\nInvestor Rights Agreement\n\nPursuant to the Investor Rights Agreement, for so long as Weichai Hong Kong beneficially owns a number of Common Shares that is equal to at least 15% of the total outstanding Common Shares of the Issuer, Weichai Hong Kong will be entitled to designate two (2) individuals for appointment or election to the Issuer's board of directors (the \"Board\"). Such directors appointed by Weichai Hong Kong must resign within 10 business days after Weichai Hong Kong ceases to beneficially own at least 15% of the total outstanding Common Shares of the Issuer. As of May 8, 2026, Weichai Hong Kong beneficially owned less than 15% of the total outstanding Common Shares of the Issuer. As a result, Michael Chen and Huajie Wang, two directors appointed by Weichai Hong Kong, have resigned from the Board, effective as of May 13, 2026, as disclosed on the Issuer's Form 6-K filed with the SEC on May 15, 2026. As of the date hereof, no director of the Issuer is appointed by Weichai Hong Kong.\n\nThe Investor Rights Agreement also contains restrictions on dispositions which prohibit Weichai Hong Kong from selling or transferring the Subscription Shares for a period of two (2) years following the Closing Date, subject to customary exceptions for transfers to affiliates and participation in material transactions involving the Issuer. Such restrictions on disposition have expired as of November 12, 2020.\n\nThe Investor Rights Agreement also contains customary standstill restrictions which prohibit Weichai Hong Kong from acquiring beneficial ownership of additional Common Shares or taking other specified actions with respect to the Issuer for two (2) years following the Closing Date. Such standstill restrictions have expired as of November 12, 2020.\n\nThe Investor Rights Agreement also provides Weichai Hong Kong with anti-dilution rights to maintain its ownership position in the Issuer, pursuant to which Weichai Hong Kong has a right to purchase a pro rata portion of any new issue of securities, or at-the-market offering of securities, issued by the Issuer, including Common Share and convertible share (excluding certain excepted issuances). Such anti-dilution rights are effective as long as Weichai Hong Kong owns 10% or more of Ballard's Common Shares, but will expire when Weichai Hong Kong's shareholding falls below 10%.\n\nThe Investor Rights Agreement also provides a superior proposal right pursuant to which the Issuer must notify Weichai Hong Kong if it receives an acquisition proposal from a third party which will constitute a change of control transaction and determines it could constitute a transaction that it recommends to its shareholders. Within 20 business days upon notice, Weichai Hong Kong has a right to submit a superior proposal to compete against the third-party offer, or it will choose to support the proposed transaction.\n\nThe foregoing descriptions of the Weichai Subscription Agreement, the Investor Rights Agreement, and the transactions contemplated thereby, are not intended to be complete and are qualified in their entirety by reference to the Weichai Subscription Agreement, the original Investor Rights Agreement, and the amended and restated Investor Rights Agreement, copies of which are filed as Exhibit B, C, F hereto, respectively, and which are incorporated herein by reference.\n\nIn their capacity as a significant shareholder of the Issuer, the Reporting Persons review and intend to continue to review, on an ongoing and continuing basis, their investment in the Issuer. Depending upon the factors discussed below and subject to applicable law and the terms of the Weichai Subscription Agreement and the Investor Rights Agreement, the Reporting Persons may from time to time acquire additional securities of the Issuer or sell or otherwise dispose of some or all of their securities of the Issuer. Subject to applicable law and the terms of the Weichai Subscription Agreement and Investor Rights Agreement, any transactions that the Reporting Persons may pursue may be made at any time and from time to time, with or without prior notice, and will depend upon a variety of factors, including, without limitation, current and anticipated future trading prices of the securities of the Issuer, the financial condition, results of operations and prospects of the Issuer, general economic, financial market and industry conditions, other investment and business opportunities available to the Reporting Persons, tax considerations and other factors.\n\nSpecifically, on May 8, 2026, Weichai Hong Kong filed a Form 144 with the SEC, which relates to its proposed sale of up to 15,028,886 Common Shares in accordance with Rule 144. Weichai Hong Kong has sold and intends to continue to sell Common Shares in open market transactions pursuant to Rule 144.\n\nOther than as described in this Schedule 13D, none of the Reporting Persons currently has any plans or proposals that relate to, or may result in, any of the actions specified in clauses 4(a) - (j) of Item 4 of Schedule 13D (although the Reporting Persons reserve the right to develop such plans).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1453015/000121390026057369/0001213900-26-057369-index.html" }, { "accession_no": "0001213900-26-057120", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1843588, "issuer_name": "REE Automotive Ltd. (the \"Company\" or \"Issuer\")", "issuer_cusip": "M8287R103", "securities_class_title": "Class A Ordinary Shares, without par value (\"Class A Ordinary Shares\")", "date_of_event": "2026-05-01", "filed_date": "2026-05-15", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows: The information set forth in Item 4, as amended, is incorporated by reference into this Item 3.", "item4_transaction_purpose": "In connection with the Reporting Person's Equity Awards, and the quarterly vesting thereof, an additional total of 430,107 RSUs have vested and/or will vest within 60 days of May 1, 2026.\n\nExcept as set forth in this Item 4 or Item 6 below, the Reporting Person has no present plans or proposals that relate to, or that would result in, any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Act. The Reporting Person reserves the right to change his plans and intentions at any time and to take any actions he may deem appropriate with respect to his investment in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1843588/000121390026057120/0001213900-26-057120-index.html" }, { "accession_no": "0001213900-26-057118", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1843588, "issuer_name": "REE Automotive Ltd. (the \"Company\" or \"Issuer\")", "issuer_cusip": "M8287R103", "securities_class_title": "Class A Ordinary Shares, without par value (\"Class A Ordinary Shares\")", "date_of_event": "2026-05-15", "filed_date": "2026-05-15", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows: The information set forth in Item 4, as amended, is incorporated by reference into this Item 3.", "item4_transaction_purpose": "In connection with the Reporting Person's Equity Awards, and the quarterly vesting thereof, an additional total of 258,064 RSUs have vested and/or will vest within 60 days of May 15, 2026.\n\nExcept as set forth in this Item 4 or Item 6 below, the Reporting Person has no present plans or proposals that relate to, or that would result in, any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Act. The Reporting Person reserves the right to change his plans and intentions at any time and to take any actions he may deem appropriate with respect to his investment in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1843588/000121390026057118/0001213900-26-057118-index.html" }, { "accession_no": "0001193125-26-227575", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2066799, "issuer_name": "StepStone Private Equity Strategies Fund", "issuer_cusip": "858929102", "securities_class_title": "Class S shares, par value $0.001; Class D shares, par value $0.001", "date_of_event": "2025-09-08", "filed_date": "2026-05-15", "item3_funds_source": "The information set forth in Items 4, 5 and 6 hereof is hereby incorporated by reference into this Item 3.\n\nOn July 24, 2025, solely for purposes of satisfying the requirements of Section 14(a) of the Investment Company Act of 1940, as amended, the Issuer issued 10,000 Class I shares, par value $0.001 per share (the \"Class I Shares\"), to the Reporting Person for an aggregate purchase price of $100,000, or $10.00 per Class I Share. The Class I Shares were purchased using working capital of the Reporting Person. The Issuer's Registration Statement on Form N-2 (File No. 333-286960) was declared effective by the Securities and Exchange Commission on August 18, 2025. On September 8, 2025, the Issuer exchanged 2,000 Class I Shares for 1,000 Class D Shares and 1,000 Class S Shares for no consideration in connection with the seeding of each respective share class. Beneficial ownership of the Class I Shares does not exceed 5%.", "item4_transaction_purpose": "The information set forth in Items 3, 5 and 6 of this Schedule 13D is incorporated herein by reference.\n\nAll of the securities that are held directly by the Reporting Person were acquired for investment purposes. Depending on market conditions and other factors (including evaluation of the Issuer's businesses and prospects, availability of funds, alternative uses of funds and general economic conditions), the Reporting Person may from time to time acquire additional securities of the Issuer or dispose of all or a portion of its investment in the Issuer.\n\nWhen permitted by applicable law, the Reporting Person may dispose of some or all of its Common Shares, from time to time, by tendering such Common Shares for repurchase by the Issuer, depending on price, market liquidity, developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Person, general stock market and economic conditions, tax considerations and other factors deemed relevant. The Reporting Person intends to review its investment in the Issuer on an ongoing basis and, in the course of its review, may take actions (including through its affiliates) with respect to its investment or the Issuer, including communicating with the board of trustees of the Issuer (the \"Board\"), members of management or other security-holders of the Issuer, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available.\n\nStepStone Group Private Wealth LLC (\"Adviser\"), an investment adviser registered under the Investment Advisers Act of 1940, as amended, and a wholly-owned subsidiary of the Reporting Person, serves as the Issuer's investment adviser and is responsible for, among other things, making investment decisions for the Issuer's portfolio, subject to oversight by the Issuer's board of trustees (the \"Board\"). The Adviser oversees the management of the Issuer's day-to-day activities including structuring, governance, distribution, reporting and oversight. The Reporting Person, the parent entity of the Adviser, serves as the Issuer's investment sub-adviser and is responsible for the day-to-day management of the Issuer's assets. All of the Issuer's officers and trustees, other than the Issuer's independent trustees, are employees of the Adviser or its affiliates. In such capacities, these individuals may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.\n\nOn June 5, 2025, the Reporting Person entered into a Sub-Advisory Agreement (the \"Sub-Advisory Agreement\") with the Adviser and the Issuer, pursuant to which the Reporting Person agreed to provide investment sub-advisory services to the Issuer. Under the Sub-Advisory Agreement, the Adviser employs the Reporting Person to assist the Adviser in identifying investment opportunities and will make investment recommendations for approval by the Adviser, according to guidelines set by the Adviser. The Reporting Person, in its capacity as investment sub-adviser, may have direct or indirect influence over such corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of this Schedule 13D.\nThe Sub-Advisory Agreement provides that the Adviser will pay the Reporting Person 50% of the management fee received by the Adviser under the Investment Advisory Agreement between the Adviser and the Issuer each month. The management fee payable to the Adviser under the Investment Advisory Agreement with the Issuer is calculated and payable quarterly in arrears at the annual rate of 1.60% of the Issuer's average daily net assets.\n\nThe Sub-Advisory Agreement may be terminated at any time, without the payment of any penalty, upon 120 days' written notice by the Reporting Person to the Fund or, upon 60 days' notice if either the Board of the Issuer or the holders of a majority of the Issuer's outstanding voting securities determine that the Sub-Advisory Agreement with the Reporting Person should be terminated. The Sub-Advisory Agreement will automatically and immediately terminate in the event of its \"assignment,\" as such term is defined under the 1940 Act.\n\nThe foregoing description of the Sub-Advisory Agreement does not purport to be complete and is qualified in its entirety by reference to the Sub-Advisory Agreement, a copy of which is attached as Exhibit A hereto and is incorporated herein by reference.\n\nExcept as described herein, or as would occur upon completion of any of the matters discussed herein, the Reporting Person has no present plans, proposals or intentions which would result in or relate to any of the matters described in Items 4(a)-(j) of the Instructions to Schedule 13D. However, as part of the ongoing evaluation of investment and investment alternatives, the Reporting Person may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the board of trustees of the Issuer or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2066799/000119312526227575/0001193125-26-227575-index.html" }, { "accession_no": "0001193125-26-227569", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1855747, "issuer_name": "Blend Labs, Inc.", "issuer_cusip": "09352U108", "securities_class_title": "Class A common stock, par value $0.00001 per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1855747/000119312526227569/0001193125-26-227569-index.html" }, { "accession_no": "0001193125-26-227565", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1582961, "issuer_name": "DigitalOcean Holdings, Inc.", "issuer_cusip": "25402D102", "securities_class_title": "Common Stock, $0.000025 par value", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1582961/000119312526227565/0001193125-26-227565-index.html" }, { "accession_no": "0001193125-26-227285", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1493318, "issuer_name": "eToro Group Ltd.", "issuer_cusip": "G32089107", "securities_class_title": "Class A Common Shares, no par value per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": "The information set forth in Item 3 of the Original 13D is incorporated herein by reference.", "item4_transaction_purpose": "The information set forth in Item 4 of the Original 13D is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1493318/000119312526227285/0001193125-26-227285-index.html" }, { "accession_no": "0001193125-26-226819", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1489993, "issuer_name": "Mobia Medical, Inc.", "issuer_cusip": "000000000", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-15", "item3_funds_source": "In June 2022, OUP III purchased 1,572,141 shares of the Issuer's Series E-2 Redeemable Convertible Preferred Stock for a purchase price of $2.5443 per share and an aggregate purchase price of approximately $3,999,998.00.\n\nIn August 2022, OUP III purchased 393,035 shares of the Issuer's Series E-2 Redeemable Convertible Preferred Stock for a purchase price of $2.5443 per share and an aggregate purchase price of approximately $999,999.00.\n\nIn December 2023, OUP III purchased 982,588 shares of the Issuer's Series E-2 Redeemable Convertible Preferred Stock for a purchase price of $2.5443 per share and an aggregate purchase price of approximately $2,499,999.00.\n\nIn October 2024, OUP III purchased 982,588 shares of the Issuer's Series E-2 Redeemable Convertible Preferred Stock for a purchase price of $2.5443 per share and an aggregate purchase price of approximately $2,499,999.00.\n\nIn March 2025, OUP III purchased 569,973 shares of the Issuer's Series F Redeemable Convertible Preferred Stock for a purchase price of $2.6317 per share and an aggregate purchase price of approximately $1,499,997.94.\n\nIn March 2025, OUP IV purchased 1,519,930 shares of the Issuer's Series F Redeemable Convertible Preferred Stock for a purchase price of $2.6317 per share and an aggregate purchase price of approximately $3,999,999.66.\n\nIn October 2025, OUP III purchased 569,973 shares of the Issuer's Series F Redeemable Convertible Preferred Stock for a purchase price of $2.6317 per share and an aggregate purchase price of approximately $1,499,997.94.\n\nIn October 2025, OUP IV purchased 1,519,930 shares of the Issuer's Series F Redeemable Convertible Preferred Stock for a purchase price of $2.6317 per share and an aggregate purchase price of approximately $3,999,999.66.\n\nIn January 2026, OUP III and OUP IV entered into a Note Purchase Agreement, pursuant to which OUP III acquired from the Issuer convertible promissory notes in the aggregate principal amount of $3,411,892.25 and OUP IV acquired from the Issuer convertible promissory notes in the aggregate principal amount of $3,176,955.03.\n\nOn May 1, 2026, the Issuer effected a reverse stock split of its outstanding Common Stock on a one-for-3.483 basis without payment or additional consideration.\n\nOn May 11, 2026, OUP III purchased 266,666 shares of Common Stock, in connection with the Issuer's initial public offering (the \"Offering,\") for a purchase price of $15 per share and an aggregate purchase price of $3,999,990.00, and OUP IV purchased 266,667 shares of Common Stock, in connection with the Offering, for a purchase price of $15 per share and an aggregate purchase price of $4,000,005.00 (together, the \"Purchase\"). Upon the closing of the Offering, (i) each share of Series E-2 Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock automatically converted to Common Stock on a one-for-3.483 basis and without payment or additional consideration (the \"Preferred Stock Conversion\"), and (ii) the principal amount of the convertible promissory notes automatically converted into shares of Common Stock at a conversion price equal to the lower of (a) 80% of the initial public offering price and (b) the valuation of the Issuer immediately prior to the closing of the Offering divided by the number of fully diluted shares of capital stock (on an as-converted basis) outstanding immediately prior to the Offering, excluding the convertible promissory notes (the \"Note Conversion\" and together with the Preferred Stock Conversion, the \"Conversion\").\n\nFollowing the Conversion and the Purchase, each of OUP III and OUP IV directly held such number of shares of Common Stock set forth in Item 11 of their respective Cover Pages.\n\nAll shares of the capital stock of the Issuer covered by this Statement were originally acquired by OUP III and OUP IV using investment funds provided to each of OUP III and OUP IV by their respective limited and general partner investors. Unless noted above, no part of the purchase price was borrowed by any Reporting Person for the purpose of acquiring any securities discussed in this Item 3.", "item4_transaction_purpose": "The information set forth in Item 3 of this Statement is incorporated herein by reference. The Reporting Persons hold the securities of the Issuer for general investment purposes. The Reporting Persons may, from time to time, depending on prevailing market, economic and other conditions, acquire additional shares of Common Stock or other securities of the Issuer, dispose of any such securities, or engage in discussions with the Issuer concerning such acquisitions or dispositions or further investments in the Issuer. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price and availability of shares of Common Stock or other securities of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations and other factors considered relevant, may decide at any time to increase or to decrease the size of their investment in the Issuer in the open market, in privately negotiated transactions, pursuant to 10b5-1 trading plans or otherwise.\n\nWilliam Harrington is a member of the Issuer's board of directors. In addition, William Harrington, in his capacity as a director, may be entitled to receive cash compensation and equity compensation, including stock option or other equity awards, pursuant to the Issuer's non-employee director compensation policy, which became effective upon the effective date of the Registration Statement (as defined below).\n\nExcept as set forth above, the Reporting Persons have no present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1489993/000119312526226819/0001193125-26-226819-index.html" }, { "accession_no": "0001193125-26-226695", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1882782, "issuer_name": "Odyssey Therapeutics, Inc.", "issuer_cusip": "67613T104", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-15", "item3_funds_source": "Prior to the Issuer's initial public offering (the \"IPO\"), Dimension Capital II acquired (i) 512,862 shares of Common Stock for an aggregate purchase price of $49,835 through the exercise of warrants held by Dimension Capital II (such number giving effect to the Issuer's 1-for-9.7170 reverse stock split effected prior to the closing of the IPO) and (ii) shares of Series D Convertible Preferred Stock (the \"Preferred Stock\") that automatically converted into 1,709,543 shares of Common Stock at the closing of the Issuer's IPO for an aggregate purchase price of $24,999,999. Dimension Capital II acquired 1,111,111 shares of Common Stock for an aggregate purchase price of $19,999,998 in the Issuer's IPO. The source of funds for the acquisitions of Common Stock and Preferred Stock reported on this Schedule 13D was the working capital of Dimension Capital II.", "item4_transaction_purpose": "The Reporting Persons acquired the Common Stock set forth in this Schedule 13D and hold their shares of Common Stock for investment purposes. Nan Li currently serves as a member of the Issuer's Board of Directors.\n\nEach Reporting Person expects to continuously review such person's investment in the Issuer and, depending on various factors including but not limited to, the price of the Common Stock, the terms and conditions of the transaction, prevailing market conditions and such other considerations as such Reporting Person deems relevant, may at any time or from time to time, and subject to any required regulatory approvals, acquire additional Common Stock, preferred stock or other securities convertible into or exercisable or exchangeable for Common Stock from time to time on the open market, in privately negotiated transactions, directly from the Issuer, or upon the exercise or conversion of securities convertible into or exercisable or exchangeable for Common Stock.\n\nEach Reporting Person also may, at any time, subject to compliance with applicable securities laws and regulatory requirements dispose of or distribute some or all of its Common Stock or such other securities as it owns or may subsequently acquire depending on various factors, including but not limited to, the price of the shares, the terms and conditions of the transaction and prevailing market conditions, as well as the liquidity and diversification objectives.\n\nConsistent with their investment intent, each Reporting Person may from time to time discuss with the Issuer's management, directors, other shareholders and others, the Issuer's performance, business, strategic direction, capital structure, product development program, prospects and management, as well as various ways of maximizing stockholder value, which may or may not include extraordinary transactions.\n\nExcept as indicated herein, no Reporting Person, as a stockholder of the Issuer, has any plan or proposal that relates or would result in any of the transactions or other matters specified in clauses (a) through (j) of Item 4 of Schedule 13D. Each Reporting Person may, at any time and from time to time, review or reconsider its or his position and/or change its or his purpose and/or formulate plans or proposals with respect thereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1882782/000119312526226695/0001193125-26-226695-index.html" }, { "accession_no": "0001193125-26-226626", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1668717, "issuer_name": "Anheuser-Busch InBev SA/NV", "issuer_cusip": "03524A108", "securities_class_title": "Ordinary Shares, without nominal value and American Depositary Shares, each of which represents one (1) Ordinary Share, without nominal value", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1668717/000119312526226626/0001193125-26-226626-index.html" }, { "accession_no": "0001140361-26-021673", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1282648, "issuer_name": "Battalion Oil Corporation", "issuer_cusip": "40537Q803", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1282648/000114036126021673/0001140361-26-021673-index.html" }, { "accession_no": "0001104659-26-062583", "submission_type": "SCHEDULE 13D/A", "amendment_no": 64, "issuer_cik": 1415404, "issuer_name": "EchoStar CORP", "issuer_cusip": "278768106", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows: As described in Item 4 below, on May 13, 2026, the 2024 May GRAT contributed 2,925,750 shares of Class B Common Stock to Telluray Holdings in exchange for membership units in Telluray Holdings. Mr. Ergen and Mrs. Ergen are the managers of Telluray Holdings. As a manager of Telluray Holdings, Mrs. Ergen has sole voting power over the shares of Class B Common Stock held by Telluray Holdings. As managers of Telluray Holdings, Mr. Ergen and Mrs. Ergen share dispositive power over the shares of Class B Common Stock held by Telluray Holdings.\n\nThe Reporting Persons may from time to time acquire shares of Class A Common Stock for investment purposes. Such Class A Common Stock may be acquired with personal funds or funds borrowed by the Reporting Persons.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nDuring the second quarter of each year, Mr. Ergen receives an annuity amount from the 2024 May GRAT, assuming that the 2024 May GRAT has not expired. The number of shares of Class B Common Stock to be distributed as an annuity payment is based in part on the price of the Class A Common Stock on the distribution date and therefore cannot be calculated until the date of distribution. In addition to shares of Class B Common Stock, the annuity payments (and their associated timing) may include, and be based upon, amounts generated from the holdings of the 2024 May GRAT including, among other things, stock recapitalizations or dividends paid or payable with respect to the shares of Class B Common Stock held by the 2024 May GRAT. On May 13, 2026, the 2024 May GRAT: (i) distributed 381,135 shares of Class B Common Stock held by the 2024 May GRAT to Mr. Ergen as an annuity payment; and (ii) contributed the remaining 2,925,750 shares of Class B Common Stock held by the 2024 May GRAT to Telluray Holdings, and the 2024 May GRAT expired in accordance with its terms.\n\nDuring the second quarter of each year, Mr. Ergen receives an annuity amount from the 2025 May GRAT, assuming that the 2025 May GRAT has not expired. The number of shares of Class B Common Stock to be distributed as an annuity payment is based in part on the price of the Class A Common Stock on the distribution date and therefore cannot be calculated until the date of distribution. In addition to shares of Class B Common Stock, the annuity payments (and their associated timing) may include, and be based upon, amounts generated from the holdings of the 2025 May GRAT including, among other things, stock recapitalizations or dividends paid or payable with respect to the shares of Class B Common Stock held by the 2025 May GRAT. On May 13, 2026, the 2025 May GRAT distributed 1,902,790 shares of Class B Common Stock held by the 2025 May GRAT to Mr. Ergen as an annuity payment. Therefore, the 2025 May GRAT has beneficial ownership of 23,097,210 shares of Class B Common Stock. The 2025 May GRAT is scheduled to expire in accordance with its terms on May 13, 2027.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1415404/000110465926062583/0001104659-26-062583-index.html" }, { "accession_no": "0001104659-26-062459", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1508475, "issuer_name": "VNET Group, Inc.", "issuer_cusip": "G91458102", "securities_class_title": "Class A Ordinary Shares, Par Value US$0.00001 Per Share", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is further supplemented by the following.\n\nOn May 13, 2026, a share purchase agreement was entered into by non-controlled and non-consolidated affiliates of Contemporary Amperex Technology Co., Limited (the \"Buyers\") and Investor A and Investor B as sellers, for the Buyers to purchase from the sellers in aggregate up to 650,424,192 Class A ordinary shares in the Issuer (the \"Proposed Transaction\"). The closing of the Proposed Transaction is expected to take place in the fourth quarter of 2026. Concurrently, the Buyers entered into a voting and consortium agreement with Mr. Sheng Chen, among others, effective immediately upon the closing of the Proposed Transaction, a copy of which is attached hereto as Exhibit 99.34. Pursuant to these agreements, immediately upon the closing of the Proposed Transaction, Mr. Sheng Chen will no longer have the power to give Investor A voting instructions on certain matters with respect to the 455,296,932 Class A Ordinary Shares held by it, and will have the power to give the Buyers voting instructions on certain matters with respect to up to 325,212,096 Class A Ordinary Shares held by them, the exact number of which is subject to changes pursuant to the share purchase agreement and the voting and consortium agreement.\n\nThe Reporting Persons reserve their right to change their plans and intentions in connection with any of the actions discussed in this Item 4. Any action taken by the Reporting Persons may be effected at any time or from time to time, subject to any applicable limitations imposed thereon by any applicable laws.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1508475/000110465926062459/0001104659-26-062459-index.html" }, { "accession_no": "0001104659-26-062078", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1859919, "issuer_name": "Barings Private Credit Corporation", "issuer_cusip": "06763A101", "securities_class_title": "Common Stock", "date_of_event": "2026-01-23", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1859919/000110465926062078/0001104659-26-062078-index.html" }, { "accession_no": "0001099910-26-000186", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 718332, "issuer_name": "RAVE RESTAURANT GROUP, INC.", "issuer_cusip": "754198109", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": "The source of funds is The Limited partnership own funds.", "item4_transaction_purpose": "The purchases of shares of Common Stock by the Reporting Person were for investment purposes. The Reporting Person may purchase additional shares from time to time depending upon price, market conditions, availability of funds, evaluation of other investment opportunities, and other factors. Although the Reporting Person has no present intention to sell any shares, he could determine from time to time to sell some or all of the shares held The Reporting Person does not have any plan or proposal which relates to any of the following matters (a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) A sale or transfer of a material amount of assets of the Issuer or of any of its subsidiaries; (d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board other than by invitation of members of the Board. Mr. Bares has resigned from the Board of Directors effective 1-6-2021. (e) Any material change in the present capitalization or dividend policy of the Issuer; (f) Any other material change in the Issuer's business or corporate structure; (g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person; (h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934; or (j) Any action similar to any of those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/718332/000109991026000186/0001099910-26-000186-index.html" }, { "accession_no": "0001099910-26-000185", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1962481, "issuer_name": "BranchOut Food Inc.", "issuer_cusip": "105230106", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-15", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nAdditional Stock Sales. On May 12, 2026, Kaufman Kapital sold 213,830 shares of Common Stock in open-market transactions at a weighted average sale price of $3.26 per share (price range: $3.25-$3.45), for aggregate gross proceeds of approximately $697,086. These shares were sold pursuant to the Issuer's Registration Statement on Form S-3 (Reg. No. 333-288512). Full information regarding the number of shares sold at each separate price within this range will be provided upon request.\n\nAdditional Loan -- April 17, 2026. On April 17, 2026, Kaufman Kapital made an additional advance of $750,000 to the Issuer, and the Issuer issued an Amended and Restated Senior Secured Promissory Note in the principal amount of $2,250,000 (the \"April Note\"), which amended and restated the $1,500,000 Senior Secured Promissory Note issued on January 28, 2026. The April Note bore interest at 8% per annum and was secured under the Security Agreement.\n\nAdditional Loan -- May 15, 2026. On May 15, 2026, Kaufman Kapital made a further advance of $750,000 to the Issuer, and the Issuer issued a Second Amended and Restated Senior Secured Promissory Note in the principal amount of $3,000,000 (the \"Current Secured Note\"), which amends and restates the April Note. The Current Secured Note bears interest at 8% per annum, matures on January 28, 2027, and is not convertible into Common Stock. The Issuer's obligations under the Current Secured Note are secured by a lien on substantially all of the Issuer's assets pursuant to the Security Agreement. The source of funds for both the April 17 and May 15 advances was working capital of Kaufman Kapital, derived from the personal funds of Kaufman.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nMay 2026 Stock Sales. On May 12, 2026, Kaufman Kapital sold 213,830 shares of Common Stock in open-market transactions. Together with the 255,951 shares sold on May 5, 2026 (as reported in Amendment No. 3), the Reporting Persons have sold a total of 469,781 shares since the filing of Amendment No. 2.\n\nBeneficial Ownership Limitation (Blocker). On May 14, 2026, Kaufman Kapital and the Issuer entered into Amendment No. 3 to the Convertible Note (the \"Blocker Amendment\"), pursuant to which a 9.99% beneficial ownership limitation was added to the Convertible Note. Under the Blocker Amendment, Kaufman Kapital may not convert any portion of the Convertible Note (whether principal or accrued interest) to the extent that, after giving effect to such conversion, Kaufman Kapital (together with its affiliates) would beneficially own in excess of 9.99% of the outstanding shares of Common Stock. The Maximum Percentage may be increased or decreased by Kaufman Kapital upon not less than sixty-one (61) days' prior written notice to the Issuer. As a result of the Blocker Amendment, shares of Common Stock underlying the Convertible Note are not currently convertible within 60 days and are excluded from the Reporting Persons' beneficial ownership calculation. See Item 5 below.\n\nAdditional Working Capital Loans. On April 17, 2026 and May 15, 2026, Kaufman Kapital made additional advances to the Issuer totaling $1,500,000, bringing the total outstanding principal under the non-convertible secured note to $3,000,000. The proceeds were used by the Issuer for working capital purposes, including production and inventory build to support customer deliveries.\n\nCurrent Plans and Purposes. The Reporting Persons currently hold the securities of the Issuer for investment purposes. The Reporting Persons continuously evaluate their investment in the Issuer based on a variety of factors, including the Issuer's financial condition, results of operations, business prospects, general market and economic conditions, and other factors. Depending on such evaluation, the Reporting Persons may from time to time acquire additional securities of the Issuer (including through conversion of outstanding Convertible Note principal and accrued interest, subject to the Beneficial Ownership Limitation), dispose of some or all of the securities of the Issuer (including through open-market sales, privately negotiated transactions, block trades, registered offerings, or otherwise), or take any other action with respect to their investment in the Issuer as they may deem appropriate. Any such transactions may be effected at any time and from time to time, without prior notice, and will depend upon a variety of factors, including those described above.\n\nExcept as otherwise described in this Amendment, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1962481/000109991026000185/0001099910-26-000185-index.html" }, { "accession_no": "0001011438-26-000355", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1620459, "issuer_name": "James River Group Holdings, Inc.", "issuer_cusip": "46990A102", "securities_class_title": "Common Stock, par value $0.0002 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": "The Reporting Persons used the working capital of the Zimmer Accounts to purchase the 4,623,685 shares of common stock, par value $0.0002 (the \"Common Stock\") of James River Group Holdings, Inc. (the \"Issuer\") reported herein. The total purchase price for such shares of Common Stock reported herein was approximately $22,405,043.83.\r\n\r\nThe Reporting Persons have effected, and may in the future effect, purchases of securities through margin accounts maintained for the Zimmer Accounts with brokers, which extend margin credit as and when required to open or carry positions in their margin accounts, subject to applicable margin regulations, stock exchange rules and such firms' credit policies. Positions in shares of Common Stock may be held in margin accounts and may be pledged as collateral security for the repayment of debit balances in such accounts.", "item4_transaction_purpose": "The Reporting Persons originally acquired the position in the shares of Common Stock of the Issuer for the account of the Zimmer Accounts in the belief that the shares of Common Stock were undervalued and represented an attractive investment opportunity. The Reporting Persons have begun to discuss or may in the future discuss with management of the Issuer, members of the Issuer's Board of Directors (the \"Board\") and other stockholders of the Issuer, among other things, strategic changes with respect to the Issuer or its subsidiaries, elimination of the common dividend and suspension of the preferred dividend, use of excess cash to pay down debt, a potential private placement of equity securities, other changes to the Issuer's operations and reduction of expenses, offerings of securities and proposing or responding to a potential strategic transaction.\r\n\r\nThe Reporting Persons intend to review their investment in the Issuer on a continuing basis and may from time to time and at any time in the future depending on various factors, including, without limitation, the Issuer's financial position and strategic direction, actions taken by the Issuer's Board or management, price levels of the shares of Common Stock, other investment opportunities available to the Reporting Persons, conditions in the securities market and general economic and industry conditions, take such actions with respect to their investments in the Issuer as they deem appropriate, including changing its intent with respect to the above. The Reporting Persons may, subject to regulatory approvals: (i) acquire additional shares of Common Stock and/or other equity, debt, notes, other securities, or derivative or other instruments that are convertible into shares of Common Stock, or are based upon or relate to the value of the shares of Common Stock or the Issuer (collectively, \"Securities\") in the open market, in a private placement, or otherwise; (ii) dispose of any or all of their Securities in the open market or otherwise; (iii) engage in any hedging or similar transactions with respect to the Securities; or (iv) propose or consider one or more of the actions described in subsections (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1620459/000101143826000355/0001011438-26-000355-index.html" }, { "accession_no": "0001011438-26-000350", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1818331, "issuer_name": "GeneDx Holdings Corp.", "issuer_cusip": "81663L200", "securities_class_title": "Class A common stock, par value $0.0001 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-15", "item3_funds_source": "The information set forth in Item 5(c) is hereby incorporated by reference into this Item 3. Such Shares reported as purchased in Item 5(c) were purchased with the working capital of investment funds advised by Corvex Management LP.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1818331/000101143826000350/0001011438-26-000350-index.html" }, { "accession_no": "0000950142-26-001426", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1529274, "issuer_name": "ALKAMI TECHNOLOGY, INC.", "issuer_cusip": "01644J108", "securities_class_title": "Common stock, par value $0.001 per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": "No material change.", "item4_transaction_purpose": "No material change.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1529274/000095014226001426/0000950142-26-001426-index.html" }, { "accession_no": "0000950103-26-007273", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1882782, "issuer_name": "ODYSSEY THERAPEUTICS, INC.", "issuer_cusip": "67613T104", "securities_class_title": "COMMON STOCK, $0.0001 par value per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-15", "item3_funds_source": "In connection with the closing of the initial public offering (the \"IPO\") of the Issuer on May 11, 2026, 18,272,789 shares of Series D convertible preferred stock and one common stock warrant exercisable for 4,111,377 shares of common stock held by Jeito II S.L.P. automatically converted into 1,880,497 and 420,760 shares of common stock of the Issuer, respectively.\n\nJeito II S.L.P. purchased 1,388,888 shares of common stock at a price of $18.00 per share in the IPO. The funds to purchase the securities of the Issuer described in this Item 3 were furnished from working capital of Jeito II S.L.P.", "item4_transaction_purpose": "Jeito II S.L.P. acquired the shares of common stock as described in this Schedule 13D for investment purposes in the regular course of its business. Jeito Capital SAS, as the management company of Jeito II S.L.P., may be deemed to be a beneficial owner, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the \"Act\"), of any securities held by Jeito II S.L.P. Rafaele Tordjman, as Chief Executive Officer of Jeito Capital SAS, and Sabine Dandiguian, as Managing Director of Jeito Capital SAS, may be deemed to be beneficial owners, for purposes of Section 13(d) of the Act, of any securities of the Issuer beneficially owned by Jeito Capital SAS. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on market conditions, liquidity requirements, the continuing evaluation of the business and prospects of the Issuer and other factors, the Reporting Persons may dispose of or acquire additional shares of common stock of the Issuer. Ksenija Pavletic, who is the General Partner and Chief Commercial Officer at Jeito Capital SAS, is a director of the Issuer. The Reporting Persons, either directly or indirectly through Ms. Pavletic, may engage in discussions from time to time with the Board, the Issuer's management or the Issuer's other stockholders, including discussions that may relate to the items described in clauses (a) through (j) of Item 4 of Schedule 13D. Except as set forth in this Item 4 or Item 6 below, the Reporting Persons have no present plans or proposals that relate to or that would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1882782/000095010326007273/0000950103-26-007273-index.html" }, { "accession_no": "0000947871-26-000556", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1336917, "issuer_name": "Under Armour, Inc.", "issuer_cusip": "904311107", "securities_class_title": "Class A Common Stock (\"Class A Shares\")", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1336917/000094787126000556/0000947871-26-000556-index.html" }, { "accession_no": "0000921895-26-001423", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1985337, "issuer_name": "YY Group Holding Ltd.", "issuer_cusip": "G9888Q103", "securities_class_title": "Class A Ordinary Shares, each with no par value", "date_of_event": "2026-05-13", "filed_date": "2026-05-15", "item3_funds_source": "Item 3 is hereby amended and restated as follows:\n\nThe aggregate purchase price of the 120,000 Shares beneficially owned by Alpha Fund that were purchased directly by Alpha Fund with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $167,347, including brokerage commissions.\n\nThe aggregate purchase price of the 1,319,532 Shares beneficially owned by Ault Lending that were purchased directly by Ault Lending with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $(73,057), including brokerage commissions.\n\nThe aggregate purchase price of the 9,000 Shares beneficially owned by Mr. Ault that were purchased directly by Mr. Ault with personal funds (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases is $(9,308), including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1985337/000092189526001423/0000921895-26-001423-index.html" }, { "accession_no": "0002007997-26-000002", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1828972, "issuer_name": "BuzzFeed, Inc.", "issuer_cusip": "12430A300", "securities_class_title": "Buzzfeed, Inc., Class A Common Stock, par value $0.0001", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": "N/A - sale transactions", "item4_transaction_purpose": "Disposition of a material number of securities", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828972/000200799726000002/0002007997-26-000002-index.html" }, { "accession_no": "0001753926-26-000869", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1896212, "issuer_name": "CDT Equity Inc.", "issuer_cusip": "20678X502", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-03-24", "filed_date": "2026-05-14", "item3_funds_source": "\"Item 3. Source or Amount of Funds or Other Consideration.\" of the Schedule 13D is being amended by this Amendment No. 5 to add the following: On March 24, 2026, the Issuer issued Corvus 147,401 CDT Shares pursuant to Corvus' cashless exercise of all of its Pre-Funded Warrants, after taking into account the Issuer's 1-for-25 reverse stock split of its outstanding shares of Common Stock effected on March 26, 2026. On May 13, 2026, Corvus purchased 100,000 CDT Shares in the open market at a price per share of $1.90, for total cash consideration of $190,000, using its cash on hand.", "item4_transaction_purpose": "\"Item 4. Purpose of Transaction.\" of the Schedule 13D is being amended by this Amendment No. 5 to add the following: See Item 3. Corvus acquired the CDT Shares for investment purposes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1896212/000175392626000869/0001753926-26-000869-index.html" }, { "accession_no": "0001628279-26-000613", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1956439, "issuer_name": "Enhanced Group Inc.", "issuer_cusip": "29333R107", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-14", "item3_funds_source": "The securities reported herein were received as consideration in connection with the Business Combination (as defined below) upon the conversion of Enhanced common shares and options to acquire Enhanced common shares held by the Reporting Person.\nOn November 26, 2025, A Paradise Acquisition Corp., a blank check company incorporated in the British Virgin Islands as a business company with limited liability (\"A Paradise\"), entered into a Business Combination Agreement (the \"Business Combination Agreement\") with A Paradise Merger Sub I, Inc., a Cayman Islands exempted company and a direct wholly owned subsidiary of A Paradise (\"Merger Sub\"), and Enhanced Ltd, a Cayman Islands exempted company with limited liability (\"Enhanced\").\nOn May 6, 2026, as contemplated by the Business Combination Agreement and in accordance with the Company's Plan of Conversion adopted in accordance with Section 10.102(a) of the Texas Business Organizations Code, A Paradise filed an application to discontinue as a business company with the BVI Registrar of Corporate Affairs, together with the necessary accompanying documents, and filed a certificate of formation and a certificate of conversion of a foreign entity converting to a Texas filing entity with the Secretary of State of the State of Texas, under which A Paradise domesticated and continued as a Texas corporation (the \"Domestication\"). Upon the Domestication A Paradise changed its name to \"Enhanced Group Inc.\"\nOn May 7, 2026, Merger Sub merged with and into Enhanced, with Enhanced surviving the merger as a wholly owned subsidiary of A Paradise, and Enhanced merged with and into A Paradise, with A Paradise surviving the merger (together with the Domestication and other transactions contemplated by the Business Combination Agreement, the \"Business Combination\"). The Issuer is the successor public company following the completion of the Business Combination between A Paradise and Enhanced.\nIn connection with the consummation of the Business Combination, the Issuer issued an aggregate of 122,230,453 shares of Class A Common Stock. The Class A Common Stock began trading on the New York Stock Exchange (the \"NYSE\") under the ticker symbol \"ENHA\" on May 8, 2026.\nThe foregoing summary does not purport to be complete and is qualified in its entirety by reference to the Business Combination Agreement, included with this Schedule 13D as Exhibit 1 and incorporated herein by reference.\nThe information set forth in or incorporated by reference into Items 4, 5 and 6 of this Schedule 13D is hereby incorporated by reference in its entirety into this Item 3.", "item4_transaction_purpose": "The information set forth in or incorporated by reference into Items 3 and 6 of this Schedule 13D is hereby incorporated by reference in its entirety into this Item 4.\n\nThe Reporting Person received 10,151,943 shares of Class A Common Stock as consideration in the Business Combination upon the conversion of Enhanced common shares held by the Reporting Person. In addition, in connection with the Business Combination, options to purchase Enhanced common shares held by the Reporting Person were converted into options to purchase 1,930,339 shares of Class A Common Stock, which options are not exercisable within 60 days of the date hereof.\n\nFrom time to time, subject to restrictions that may be applicable by virtue of his role as Chief Executive Officer and a member of the Issuer's Board of Directors, the Reporting Person may acquire additional shares of the Class A Common Stock or determine to dispose of shares of Class A Common Stock beneficially owned by him. The Reporting Person may change his present intentions at any time and therefore reserves his right to make alternative plans or proposals in the future or take any other steps to enhance the value of his investment. The Reporting Person further reserves the right to increase, decrease or eliminate this investment in the Issuer, or take any other action relative thereto, in all cases as permitted by the relevant securities laws and any agreement or agreements that have been or may be entered into with the Issuer. Any transactions that the Reporting Person may pursue may be made at any time and from time to time without prior notice and will depend upon a variety of factors, including, without limitation, current and anticipated future trading prices of the securities of the Issuer, the financial condition, results of operations and prospects of the Issuer, general economic, financial market and industry conditions, diversification of such Reporting Person's investments, other investment and business opportunities available to the Reporting Person, tax considerations and other factors.\n\nAs noted above, the Reporting Person is currently the Chief Executive Officer and a member of the Issuer's Board of Directors. Other than as described in this Schedule 13D, the Reporting Person has no current plans or proposals that relate to or would result in any actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1956439/000162827926000613/0001628279-26-000613-index.html" }, { "accession_no": "0001594543-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1826681, "issuer_name": "Palladyne AI Corp.", "issuer_cusip": "80359A106", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-14", "item3_funds_source": "Personal Funds", "item4_transaction_purpose": "Mr. Kerber purchased the Issuer's Common stock as an individual for the purposes of investment. Since the filing of the last amendment dated June 13, 2025 Mr. Kerber has made the following changes to his holdings of the Issuer's Common Stock:\n\n* Purchases of an additional 10,000 shares owned directly by Mr. Kerber\n* A gift of 250,000 shares to the Chi K. Kerber 2026 Irrevocable Trust.\n\nMr. Kerber holds a role as an investment advisor to this trust and maintains shared voting and dispositive power of the Issuer's Common Stock held within it.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1826681/000159454326000002/0001594543-26-000002-index.html" }, { "accession_no": "0001539497-26-001436", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1158463, "issuer_name": "JETBLUE AIRWAYS CORP", "issuer_cusip": "477143101", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1158463/000153949726001436/0001539497-26-001436-index.html" }, { "accession_no": "0001493152-26-023060", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1770450, "issuer_name": "XEROX HOLDINGS CORPORATION", "issuer_cusip": "98421M106", "securities_class_title": "Common Stock, par value $1 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": "All of the securities reported herein were purchased by the applicable Reporting Persons for a total aggregate purchase price of $14,226,032, comprised of (i) $14,226,032 paid for shares of Common Stock and (ii) $192,000 paid in premiums for call options purchased by Mr. Bostl. The Common Stock held by the Fund was purchased in the open market with working capital of the Fund. The Common Stock and call options held by Mr. Bostl were purchased in the open market with his personal funds.", "item4_transaction_purpose": "The Reporting Persons hold the Common Stock for investment purposes in the regular course of their businesses. The Reporting Persons may engage in discussions with the Issuer's management, board of directors, other stockholders of the Issuer and other relevant parties concerning the business, operations, board composition, management, strategy and future plans of the Issuer. The Reporting Persons intend to re-examine their investment from time to time and, depending on prevailing market conditions, other investment opportunities, liquidity requirements or other investment considerations the Reporting Persons deem material, the Reporting Persons may from time to time acquire additional Common Stock in the open market, block trades, negotiated transactions, or otherwise and may also dispose of all or a portion of the Issuer's securities, in open market or privately negotiated transactions, and/or enter into derivative transactions with institutional counterparties with respect to the Issuer's securities, in each case, subject to limitations under applicable law. The Reporting Persons have not yet determined which, if any, of the above courses of action they may ultimately take. The Reporting Persons' future actions with regard to the Issuer are dependent on their evaluation of the factors listed above, circumstances affecting the Issuer in the future, including prospects of the Issuer, general market and economic conditions and other factors deemed relevant. The Reporting Persons reserve the right to determine in the future whether to change the purpose or purposes described above or whether to adopt plans or proposals of the type specified above or otherwise.\n\nExcept as set forth in the preceding paragraph, as of the date hereof, the Reporting Persons do not have any plan or proposal that relates to or would result in any of the transactions enumerated in sub items (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1770450/000149315226023060/0001493152-26-023060-index.html" }, { "accession_no": "0001486180-26-000002", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1287098, "issuer_name": "MAXCYTE, INC.", "issuer_cusip": "57777K106", "securities_class_title": "equity", "date_of_event": "2026-05-13", "filed_date": "2026-05-14", "item3_funds_source": "The Shares were acquired using investment capital of the Funds managed by the Reporting Persons.", "item4_transaction_purpose": "(a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer;", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1287098/000148618026000002/0001486180-26-000002-index.html" }, { "accession_no": "0001437749-26-017178", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 889971, "issuer_name": "LIGHTPATH TECHNOLOGIES INC", "issuer_cusip": "532257805", "securities_class_title": "Class A common stock, $0.01 par value", "date_of_event": "2026-05-13", "filed_date": "2026-05-14", "item3_funds_source": "Item 3 is hereby amended and supplemented to add the following at the end thereof: The information in Item 5(c) is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented to add the following at the end thereof: The information in Item 5(c) is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/889971/000143774926017178/0001437749-26-017178-index.html" }, { "accession_no": "0001346824-26-000131", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1785530, "issuer_name": "WEREWOLF THERAPEUTICS, INC.", "issuer_cusip": "95075A107", "securities_class_title": "Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1785530/000134682426000131/0001346824-26-000131-index.html" }, { "accession_no": "0001213900-26-056968", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1682241, "issuer_name": "Metalpha Technology Holding Ltd", "issuer_cusip": "G28365107", "securities_class_title": "Ordinary Shares, Par Value US$0.0001 Per Share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": "Item 3 of the Original Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:\n\nAs previously reported by Mr. Wang in Amendment No. 2, on March 13, 2026, MetaSphere Limited, an entity wholly-owned by Ms. Hu, received an aggregate of 3,049,912 Ordinary Shares as a gift from Mr. Hu Xianqun, father of Ms. Hu. The transfer was effected as a gift for no consideration.\n\nOn May 12, 2026, the Reporting Person received an aggregate of 434,520 Ordinary Shares in an in-kind distribution from LSQ Management Limited, in which the Reporting Person is a shareholder. The distribution was made without additional consideration paid by the Reporting Person.", "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:\n\nMs. Hu acquired the Ordinary Shares through MetaSphere Limited for investment purposes. The Reporting Persons may make further acquisitions of Ordinary Shares from time to time and, subject to certain restrictions, may dispose of any or all of the Ordinary Shares held by them at any time, depending on an ongoing evaluation of the investment in such securities, prevailing market conditions, other investment opportunities, and other factors.\n\nExcept as set forth herein, neither of the Reporting Persons has any present plans or proposals which relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1682241/000121390026056968/0001213900-26-056968-index.html" }, { "accession_no": "0001213900-26-056879", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1490349, "issuer_name": "PhenixFIN Corp", "issuer_cusip": "71742W103", "securities_class_title": "Common Stock", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to reflect that the amount of funds used by Mr. Lorber to acquire the Common Stock beneficially owned by him and by his spouse's individual retirement account (IRA), as to which he is deemed to have beneficial ownership, is approximately $7,896,209.19, which was obtained from personal funds. As previously disclosed, certain shares of Common Stock were acquired by Mr. Lorber through an in-kind distribution from FrontFour Master Fund Ltd. for no additional consideration.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1490349/000121390026056879/0001213900-26-056879-index.html" }, { "accession_no": "0001213900-26-056837", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1607962, "issuer_name": "Lifeward Ltd.", "issuer_cusip": "M8216Q309", "securities_class_title": "Ordinary Shares, no par value", "date_of_event": "2026-03-25", "filed_date": "2026-05-14", "item3_funds_source": "Item 4 below, which is incorporated herein by reference, summarizes certain agreements that pertain to the Reporting Person's acquisition of the Ordinary Shares.", "item4_transaction_purpose": "Share Purchase Agreement\n\nOn January 12, 2026, the Reporting Person entered into that certain Share Purchase Agreement (as amended, the \"Share Purchase Agreement\"), by and among the Reporting Person, the Issuer and Oratech Pharma, Inc. (\"Oratech\"), which was wholly-owned by the Reporting Person. Pursuant to the Share Purchase Agreement, the Issuer agreed to acquire all of the outstanding equity interests in Oratech from the Reporting Person in consideration for (A) the Issuer issuing to the Reporting Person a number of Ordinary Shares and pre-funded warrants (the \"Pre-Funded Warrants\") to purchase a number of Ordinary Shares equal to 49.99% of the Issuer's fully diluted equity capitalization, (B) the Issuer issuing to the Reporting Person warrants (the \"Share Purchase Warrants\") to purchase Ordinary Shares, and (C) certain ongoing revenue-based payments (the \"Revenue Sharing Payments\") equal to 4% of the Net Revenue (as defined in the Share Purchase Agreement) of the Issuer's ReWalk Personal Exoskeleton products and related extended warranties, until the earliest to occur of (i) the date that is 10 years after the closing of the Share Purchase Transaction (as defined below), (ii) the date on which the Reporting Person has received the Maximum Amount (as defined in the Share Purchase Agreement) of the Revenue Sharing Payments, or (iii) the first date on which the Issuer market capitalization equals or exceeds $200 million (collectively, the \"Share Purchase Transaction\").\n\nOn March 25, 2026, the Issuer completed its acquisition of Oratech in accordance with the terms of the Share Purchase Agreement. At the closing of the Share Purchase Transaction, the Issuer issued to the Reporting Person an aggregate of (i) 1,250,363 Ordinary Shares, (ii) Pre-Funded Warrants to purchase up to 1,006,113 Ordinary Shares at an exercise price equal to $0.0001 per share, and (iii) Share Purchase Warrants to purchase up to 1,296,296 Ordinary Shares at an initial exercise price equal to $5.40 per share (subject to certain adjustments as set forth in the Share Purchase Warrants). The Pre-Funded Warrants and the Share Purchase Warrants are subject to the 49.99% Beneficial Ownership Limitation.\n\nNote Securities Purchase Agreement\n\nAlso on January 12, 2026, the Reporting Person entered into a Securities Purchase Agreement (the \"Notes Purchase Agreement\") with the Issuer and the other investors signatory thereto, pursuant to which, the Reporting Person agreed to purchase from the Issuer in a private placement (the \"Notes Private Placement\"), (i) senior secured convertible notes in an aggregate principal amount of $9,000,000 (the \"Notes\"), convertible into Ordinary Shares (the \"Note Shares\"), and (ii) accompanying warrants (the \"Purchase Agreement Warrants\") to purchase Ordinary Shares.\n\nThe closing (the \"Notes Closing\") of the Notes Private Placement took place on March 25, 2026. At the Notes Closing, the Issuer issued to the Reporting Person (i) $9,000,000.00 aggregate principal amount of the Notes with an initial conversion price equal to $5.40 per share (subject to certain adjustments as set forth in the Notes), and (ii) Purchase Agreement Warrants to purchase up to 1,666,666 Ordinary Shares at an initial exercise price equal to $5.40 per share (subject to certain adjustments as set forth in the Purchase Agreement Warrants). The Purchase Agreement Warrants are not currently exercisable due to a contractual beneficial ownership limitation, which provides that the Purchase Agreement Warrants may not be exercised if, after such exercise, the Reporting Person would beneficially own more than 45.0% of the outstanding Ordinary Shares. Similarly, the Note Shares are not currently convertible due to a contractual beneficial ownership limitation, which provides that the Note Shares may not be converted if, after such exercise, the Reporting Person would beneficially own more than 45.0% of the outstanding Ordinary Shares.\n\nThe foregoing descriptions of the Share Purchase Agreement, Notes Purchase Agreement, Pre-Funded Warrants, Share Purchase Warrants, Notes and Purchase Agreement Warrants are not complete and are qualified in their entirety by reference to the full text of such documents, the forms and copies, as applicable, of which are incorporated herein by reference to Exhibits 99.1, 99.2, 99.3, 99.4, 99.5, and 99.6 to this Schedule 13D, respectively.\n\nGeneral\n\nThe Reporting Person intends to review its investment in the Issuer on a continuing basis taking into consideration various factors, including the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Ordinary Shares of the Issuer, in particular, as well as other developments and other investment opportunities. Based upon such review, the Reporting Person will take such actions in the future as the Reporting Person may deem appropriate in light of the circumstances existing from time to time, which may include further acquisitions of the Ordinary Shares of the Issuer or disposal of some or all of the Ordinary Shares of the Issuer owned by the Reporting Person or otherwise acquired by the Reporting Person, either in the open market or in privately negotiated transactions.\n\nAny open market or privately negotiated purchases or sales, acquisition recommendations or proposals or other transactions concerning the Issuer may be made at any time without prior notice. Any alternative may depend upon a variety of factors, including, without limitation, current and anticipated future trading prices of the securities, the financial condition, results of operations and prospects of the Issuer and general industry conditions, the availability, form and terms of financing, other investment and business opportunities, general stock market and economic conditions, tax considerations and other factors. Although the foregoing reflects plans and proposals presently contemplated by each Reporting Person with respect to the Issuer, the foregoing is subject to change at any time and dependent upon contingencies and assumed and speculative conditions, and there can be no assurance that any of the actions set forth above will be taken.\n\nThe Reporting Person has in the past, and may in the future, engage in discussions with the Issuer's management, board of directors, and/or other shareholders covering a broad range of subjects, including relative to performance, strategic direction, capital allocation, shareholder value, board composition and governance of the Issuer.\n\nDepending upon each factor discussed above and any other factor (which may be unknown at this time) that is, or may become relevant, the Reporting Person may consider, among other things: (a) the acquisition by the Reporting Person of additional securities of the Issuer, the disposition of securities of the Issuer, or the exercise of convertible securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) changes in the present board of directors or management of the Issuer; (e) a material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuer's business or corporate structure; (g) changes in the Issuer's articles of incorporation, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing any class of the Issuer's securities to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) any action similar to those enumerated above.\n\nExcept to the extent that the foregoing may be deemed to be a plan or proposal, the Reporting Person does not currently have any plans or proposals that relate to or would result in any of the actions specified in clause (a) through (j) of Item 4 of Schedule 13D. Depending upon the foregoing factors and to the extent deemed advisable in light of their general investment policies, or other factors, the Reporting Person may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer or the Ordinary Shares, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in paragraphs (a) through (j) of Item 4 of Schedule 13D. The foregoing is subject to change at any time, and there can be no assurance that any of the Reporting Persons will take any of the actions set forth above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1607962/000121390026056837/0001213900-26-056837-index.html" }, { "accession_no": "0001213900-26-056748", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1913847, "issuer_name": "Coincheck Group N.V.", "issuer_cusip": "N20967118", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by the following:\n\nThe information in Item 6 of this Schedule 13D is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1913847/000121390026056748/0001213900-26-056748-index.html" }, { "accession_no": "0001193125-26-224656", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1936258, "issuer_name": "NewAmsterdam Pharma Company N.V.", "issuer_cusip": "N62509109", "securities_class_title": "Ordinary Shares, nominal value Euro 0.12 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1936258/000119312526224656/0001193125-26-224656-index.html" }, { "accession_no": "0001193125-26-224634", "submission_type": "SCHEDULE 13D/A", "amendment_no": 17, "issuer_cik": 1274173, "issuer_name": "JANUS HENDERSON GROUP PLC", "issuer_cusip": "G4474Y214", "securities_class_title": "Ordinary Shares, $1.50 per share par value", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe sales of Shares by Reporting Persons reported below in Item 5 were done for portfolio management purposes by certain funds managed by Trian Management which primarily hold publicly traded securities. As contemplated by the Voting and Rollover Agreement dated as of December 21, 2025, entered into by and among the Issuer and the other parties thereto, an affiliate of Trian Management will roll over at least 24,750,000 shares of the Issuer in connection with the closing of the previously announced acquisition of the Issuer by Trian Management and its affiliated funds, and General Catalyst and its affiliated funds. Progress toward closing is continuing, with the Issuer's shareholders approving the acquisition on April 16, 2026. The transaction is expected to close in mid-2026, subject to customary closing conditions, including receipt of applicable regulatory approvals and client consents.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1274173/000119312526224634/0001193125-26-224634-index.html" }, { "accession_no": "0001193125-26-224576", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1956439, "issuer_name": "Enhanced Group Inc.", "issuer_cusip": "29333R107", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-07", "filed_date": "2026-05-14", "item3_funds_source": "The securities reported herein were received as part of the Issuer's Business Combination (as defined below), in connection with that certain Agreement and Plan of Merger, dated as of November 26, 2025 (the \"Merger Agreement\"), by and between the Issuer (formerly A Paradise Acquisition Corp.), A Paradise Merger Sub I, Inc. (\"Merger Sub\") and Enhanced Ltd. The Business Combination closed on May 7, 2026 (the \"Closing Date\").", "item4_transaction_purpose": "Business Combination\n\nOn the Closing Date, pursuant to the Merger Agreement, Merger Sub merged with and into Enhanced Ltd., with Enhanced Ltd. surviving the merger as a wholly owned subsidiary of the Issuer (the \"Business Combination\").\n\nAs a result of the Business Combination, each share of Enhanced Ltd. common share issued and outstanding immediately prior to the effective time of the Business Combination was, pursuant to the Merger Agreement, canceled and converted into the right to receive a number of shares of Class A Common Stock based on the exchange ratio as defined in the Merger Agreement.\n\nAdditionally, pursuant to the Merger Agreement, the Reporting Persons received 258,837,933 shares of Class B Common Stock. The Class B Common Stock is entitled to 10 votes per share, is not convertible into Class A Common Stock and is not entitled to dividends.\n\nTransaction Support Agreement\n\nIn connection with the Business Combination, the Issuer entered into Transaction Support Agreements with certain investors of the Issuer, including the Reporting Persons. Among other terms, parties to the Transaction Support Agreements are subject to lock up restrictions, pursuant to which such shareholders may not transfer any of their Class A Common Stock during the applicable period, subject to certain releases, as described in the Transaction Support Agreement. In consideration for Apeiron providing the Issuer with a working capital note for a line of credit commitment of up to $20.0 million, the Issuer agreed that the lock-up restrictions applicable to Apeiron and its affiliates under the Transaction Support Agreement would, in the event Apeiron or its applicable affiliates entered into any pledge, hedge, swap or other arrangement that transfers to another, or disposes of (either alone or in connection with one or more events or developments (including the satisfaction or waiver of any conditions precedent)), any of the interests (including economic consequences of ownership) with respect to any shares of the Issuer, cease to apply to such shares.\n\nRegistration Rights Agreement\n\nOn the Closing Date, the Issuer and certain investors of the Issuer, including the Reporting Persons, entered into a registration rights agreement (the \"Registration Rights Agreement\"), pursuant to which the Issuer agreed to register for resale certain securities of the Issuer. Additionally, the Registration Rights Agreement provides for customary \"demand\" and \"piggyback\" registration rights for the stockholders.\n\nSponsor Equity Agreement\n\nIn connection with the execution of the Merger Agreement, Apeiron and A SPAC IV (Holdings) Corp., a British Virgin Islands company (the \"Sponsor\"), entered into the Sponsor Equity Agreement, pursuant to which, among other things, (i) Apeiron granted the Sponsor a call option to require Apeiron to purchase up to 100%, and the Sponsor granted Apeiron a Put Option to purchase, up to 100%, but no less than 78%, of certain of the equity securities in the Issuer held by the Sponsor (as described in the Sponsor Equity Agreement) (the \"Sponsor Securities\"), in each case in accordance with the terms and conditions set forth therein, and (ii) Apeiron paid the Sponsor a deposit of $5,500,000, which is generally non-refundable. Under the terms of the Sponsor Equity Agreement, following the closing of the Business Combination, and during the 90-day period thereafter, the Sponsor will have a put option to sell to Apeiron up to 100%, and Apeiron will have a call option to require the Sponsor to sell to Apeiron, up to 100% (and not less than 78%) of the Sponsor Securities, free and clear of liens (other than certain customary restrictions). The purchase price for the Sponsor Securities pursuant to the put option or call option will be determined based on the percentage of the Sponsor Securities delivered, as set forth in the Sponsor Equity Agreement, less the deposit amount previously paid by Apeiron. The maximum purchase price for the put option and call option are in a range of $6,700,000 to $9,000,000 and in a range of $11,000,000 to $15,500,000, respectively, in each case depending on the percentage of the Sponsor Securities delivered upon exercise of the put option or call option and, furthermore, in each case less the deposit previously paid by Apeiron. The put option and the call option may only be exercised during the specified 90-day option period and are subject to certain procedural and closing conditions set forth in the Sponsor Equity Agreement.\n\nThe foregoing description of the Transaction Support Agreement, Registration Rights Agreement, and the Sponsor Equity Agreement do not purport to be complete and are qualified in their entirety by reference to the full text of such agreement, which are attached as exhibits to this Schedule 13D and incorporated herein by reference\n\nGeneral\n\nThe Reporting Persons acquired the securities described in this Schedule 13D for investment purposes and they intend to review their investments in the Issuer on a continuing basis. Any actions the Reporting Persons might undertake will be dependent upon the Reporting Persons' review of numerous factors, including, but not limited to: an ongoing evaluation of the Issuer's business, financial condition, operations and prospects; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments.\n\nThe Reporting Persons may acquire additional securities of the Issuer, or retain or sell all or a portion of the securities then held, in the open market or in privately negotiated transactions. The Reporting Persons may also enter into financial instruments or other agreements with institutional or other counterparties that would increase or decrease the Reporting Persons' economic exposure with respect to their investment in the Issuer, which instruments or agreements may or may not affect the Reporting Persons' beneficial ownership in securities of the Issuer. In addition, the Reporting Persons, including Mr. Angermayer in his position as a director of the Issuer, may engage in discussions with management, the Board, other securityholders of the Issuer and other relevant parties or encourage, cause or seek to cause the Issuer or such persons to consider or explore extraordinary corporate transactions, such as: a merger, reorganization or take-private transaction that could result in the de-listing or de-registration of the Class A Common Stock; security offerings and/or securities repurchases by the Issuer; sales or acquisitions of assets or businesses; changes to the capitalization or dividend policy of the Issuer; or other material changes to the Issuer's business or corporate structure, including changes in management or the composition of the Board.\n\nTo facilitate their consideration of such matters, the Reporting Persons may retain consultants and advisors and may enter into discussions with potential sources of capital and other third parties. The Reporting Persons may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements. The Reporting Persons will likely take some or all of the foregoing steps at preliminary stages in their consideration of various possible courses of action before forming any intention to pursue any particular plan or direction.\n\nOther than as described above, the Reporting Persons do not currently have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)-(j) of Schedule 13D, although, depending on the factors discussed herein, the Reporting Persons may change their purpose or formulate different plans or proposals with respect thereto at any time.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1956439/000119312526224576/0001193125-26-224576-index.html" }, { "accession_no": "0001193125-26-224529", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1109116, "issuer_name": "Entravision Communications Corporation", "issuer_cusip": "29382R107", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-13", "filed_date": "2026-05-14", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to include the following:\n\nThe Reporting Persons sold an aggregate of 2,684,369 shares of Class A Common Stock as follows:\n\n1. On May 7, 2026, the Survivor's Trust sold an aggregate of 343,563 shares of Class A Common Stock in the open market at a weighted average price of $6.975 per share, for gross proceeds of approximately $2,396,352 (1);\n2. On May 7, 2026, the Ulloa Irrevocable Trust sold an aggregate of 333,585 shares of Class A Common Stock in the open market at a weighted average price of $6.968 per share, for gross proceeds of approximately $2,324,420 (2);\n3. On May 8, 2026, the Survivor's Trust sold an aggregate of 332,498 shares of Class A Common Stock in the open market at a weighted average price of $6.787 per share, for gross proceeds of approximately $2,256,663 (3);\n4. On May 8, 2026, the Ulloa Irrevocable Trust sold an aggregate of 166,415 shares of Class A Common Stock in the open market at a weighted average price of $6.604 per share, for gross proceeds of approximately $2,574,556 (4);\n5. On May 11, 2026, the Survivor's Trust sold an aggregate of 323,939 shares of Class A Common Stock in the open market at a weighted average price of $8.033 per share, for gross proceeds of approximately $2,602,202 (5);\n6. On May 12, 2026, the Survivor's Trust sold an aggregate of 160,282 shares of Class A Common Stock in the open market at a weighted average price of $8.326 per share, for gross proceeds of approximately $1,334,508 (6);\n7. On May 13, 2026, the Survivor's Trust sold an aggregate of 685,111 shares of Class A Common Stock in the open market at a weighted average price of $8.709 per share, for gross proceeds of approximately $5,966,631 (7);\n8. On May 14, 2026, the Survivor's Trust sold an aggregate of 338,976 shares of Class A Common Stock in the open market at a weighted average price of $9.025 per share, for gross proceeds of approximately $3,059,258 (8);\n\n(1) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.59 to $7.53, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(2) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.59 to $7.36, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(3) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.20 to $7.15, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(4) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.20 to $7.12, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(5) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $7.34 to $8.46, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(6) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $8.11 to $8.52, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(7) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $7.95 to $9.235, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(8) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $8.70 to $9.40, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented to include the following:\nThe Survivor's Trust under the Ulloa Seros Family Trust currently intends to sell, subject to market conditions and other factors, up to 1,815,631 additional shares in the open market from time to time, for asset diversification, tax and estate planning purposes. Each Reporting Person intends to continuously review its respective investment in the Issuer, and reserves the right to change its plans at any time, as it deems appropriate. Accordingly, the Reporting Persons may acquire additional shares of Class A Common Stock in private or open market transactions, in each case for investment purposes, and may dispose of shares of Class A Common Stock in private or open market transactions or otherwise.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1109116/000119312526224529/0001193125-26-224529-index.html" }, { "accession_no": "0001104659-26-061506", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1604464, "issuer_name": "Atara Biotherapeutics, Inc.", "issuer_cusip": "046513206", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1604464/000110465926061506/0001104659-26-061506-index.html" }, { "accession_no": "0001104659-26-061385", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1845437, "issuer_name": "NET Power Inc.", "issuer_cusip": "64107A105", "securities_class_title": "Class A Common Stock, par value $0.0001", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": "The information contained in Item 4 of Schedule 13D is hereby amended and supplemented by adding the following rmation:\n\nBetween January 29, 2026, and May 13, 2026, NPEH sold 1,289,780 shares of Class A Common Stock held by it.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1845437/000110465926061385/0001104659-26-061385-index.html" }, { "accession_no": "0001104659-26-060993", "submission_type": "SCHEDULE 13D/A", "amendment_no": 28, "issuer_cik": 1844684, "issuer_name": "NC SLF INC.", "issuer_cusip": "000000000", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": "This Item 4 is hereby amended to include the following:\n\nOn May 12, 2026, pursuant to drawdown notices delivered in accordance with the Subscription Agreements (i) UAW Chrysler Retirees Medical Benefits Plan purchased from the Issuer, and the Issuer issued to UAW Chrysler Retirees Medical Benefits Plan 199,865 Shares; (ii) UAW Ford Retirees Medical Benefits Plan purchased from the Issuer, and the Issuer issued to UAW Ford Retirees Medical Benefits Plan 311,584 Shares; and (iii) UAW GM Retirees Medical Benefits Plan purchased from the Issuer, and the Issuer issued to UAW GM Retirees Medical Benefits Plan 513,499 Shares. The price per Share was $9.66.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1844684/000110465926060993/0001104659-26-060993-index.html" }, { "accession_no": "0001104659-26-060724", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1713923, "issuer_name": "Jianpu Technology Inc.", "issuer_cusip": "47738D309", "securities_class_title": "Class A ordinary shares, US$0.0001 par value per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": "From December 1, 2025 through May 12, 2026, Mr. Jiayan Lu purchased a total of 33,395 ADSs (representing 667,900 Class A ordinary shares) of the Issuer in the open market for approximately US$31.7 thousand with his personal funds, and JYLu Holdings Ltd. purchased a total of 174,139 ADSs (representing 3,482,780 Class A ordinary shares) of the Issuer in the open market for approximately US$164.7 thousand, using its working capital (the \"Recent Open-Market Purchases\").", "item4_transaction_purpose": "The information set forth in Item 3 is hereby incorporated by reference in its entirety. The Recent Open-Market Purchases were made for investment purposes.\n\nExcept as set forth above and potential future receipt of awards that may be granted to Jiayan Lu under the Issuer's share incentive plans, none of the Reporting Persons has any present plan or proposal which related to or would result in any transaction, change or event specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to take such actions in the future as they deem appropriate, including changing the purpose described above or adopting plans or proposals with respect to one or more of the items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1713923/000110465926060724/0001104659-26-060724-index.html" }, { "accession_no": "0001062993-26-002646", "submission_type": "SCHEDULE 13D/A", "amendment_no": 24, "issuer_cik": 1230869, "issuer_name": "ASA Gold and Precious Metals Limited", "issuer_cusip": "G3156P103", "securities_class_title": "Common Shares, $1 par value", "date_of_event": "2026-05-13", "filed_date": "2026-05-14", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $173,266,631 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "On May 13, 2026, in response to the process being conducted by the Special Committee of the Board with the assistance of Cantor Fitzgerald & Co., Saba Capital submitted a non-binding proposal to the Board indicating its interest in a potential transaction involving the Issuer. Saba Capital's proposal outlined terms for a transaction that were materially consistent with the proposal Saba Capital previously submitted to the Board on February 19, 2026, which was filed as an exhibit to Saba Capital's Schedule 13D/A on February 19, 2026. The May 13, 2026 proposal also included a proposed management fee and incentive fee structure to be charged to the Issuer for Saba Capital's management, which fee structure is generally in line with the fee structures to which various U.S.-listed BDCs are subject. The proposal includes significant fee waivers during an initial period under new management following the commencement of Saba Capital's management. Saba Capital intends to continue to engage with the Special Committee and its advisors regarding a potential transaction.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1230869/000106299326002646/0001062993-26-002646-index.html" }, { "accession_no": "0001011438-26-000320", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1805077, "issuer_name": "Eos Energy Enterprises, Inc.", "issuer_cusip": "29415C101", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented by the addition of the following:\r\n\r\nBinding Term Sheet for Joint Venture\r\n\r\nOn May 12, 2026, Eos Energy Enterprises Inc. (the \"Issuer\") entered into a binding term sheet (the \"Term Sheet\") with CCM Frontier JV Holdco, LLC, an affiliate of the Reporting Persons (\"CCM Frontier\"), which provides for, upon the closing of the transactions contemplated by the Term Sheet, the formation of a joint venture between the Issuer and CCM Frontier through Frontier Power USA Parent, LLC, a Delaware limited liability company (the \"JV Company\"). CCM Frontier and the Issuer expect to enter into definitive written agreements with respect to the transactions contemplated by the Term Sheet prior to the closing of such transactions.\r\n\r\nEquity Ownership of Joint Venture and Additional Warrant Issuance\r\n\r\nAt or prior to the closing of the transactions contemplated by the Term Sheet, CCM Frontier (or its applicable designated affiliate) is expected to (a) receive 50,000,001 Class A-1 Units of the JV Company (\"Class A-1 Units\") as founder's equity in consideration for the contracts, contacts, investment opportunities, subject matter expertise and other going concern value with respect to the frontier power platform developed by affiliates of CCM Frontier, (b) contribute $100 million (the \"Initial Class A-2 Contribution\") to the JV Company (a portion of which may be contributed and utilized prior to the closing, including for purposes of the payment of the deposit under a capacity reservation agreement between the Issuer and the JV Company) in exchange for 100,000,000 Class A-2 Units of the JV Company (\"Class A-2 Units\" and, together with the Class A-1 Units, the \"Class A Units\"), at a price of $1.00 per Class A-2 Unit, and (c) receive certain warrants to purchase Common Stock of the Issuer (the \"Additional Warrants\") as described below.\r\n\r\nAt the closing of the transactions contemplated by the Term Sheet, the Issuer is expected to, directly or indirectly, contribute an amount equal to the aggregate amount raised pursuant to a rights offering described below (the \"Initial Class B Contribution\") to the JV Company in exchange for a number of Class B Units of the JV Company (\"Class B Units\" and, together with the Class A Units, the \"Preferred Units\") at a price of $1.00 per Class B Unit.\r\n\r\nIn the event that the rights offering is oversubscribed with the consent of CCM Frontier, and therefore the Initial Class B Contribution exceeds $150 million, CCM Frontier will have the option to contribute to the JV Company an additional amount up to the amount by which the amount raised in a rights offering exceeds $150 million and receive a number of additional Class A-2 Units at a price of $1.00 per Class A-2 Unit.\r\n\r\nClosing Conditions\r\n\r\nCCM Frontier's and the Issuer's obligations to complete the transactions and consummate the closing contemplated by the Term Sheet are subject to the following conditions: (a) completion of the rights offering described below; (b) Department of Energy consent to the transactions contemplated by the Term Sheet; (c) approval by the Issuer's shareholders of an increase in the Issuer's authorized shares; and (d) the execution and delivery of commercial framework guidelines (in a form to be mutually and reasonably agreed by the Issuer and CCM Frontier).\r\n\r\nFinancing\r\n\r\nThe investment by the Issuer in the JV Company is expected to be financed by a rights offering to holders of the Issuer's Common Stock and certain of its outstanding warrants as of a future record date (the \"Rights Offering\"). The Rights Offering will target a raise of $150 million, the proceeds of which are expected to be used by the Issuer to fund the Initial Class B Contribution, and the Rights Offering will not raise an amount in excess of $150 million without the prior written consent of CCM Frontier. The Issuer's stockholders that participate in the Rights Offering (the \"Rights Offering Participants\") are expected to receive shares of the Issuer's Common Stock (in addition to certain warrants with respect to the Issuer's Common Stock as described below) up to their pro rata entitlement (the \"Basic Subscription Right\"). At expiration of the Rights Offering, Rights Offering Participants that have fully exercised their Basic Subscription Right may also exercise an over-subscription right to purchase additional shares of the Issuer's Common Stock (in addition to certain warrants with respect to the Issuer's Common Stock as described below).\r\n\r\nThe terms of the Rights Offering will be determined by the Issuer in good faith consultation with CCM Frontier. The mechanics, sequencing and legal structure of the Rights Offering (including (without limitation) with respect to issued warrants, which are further described below) is to be separately documented, and remains subject to, among other things, certain consents, applicable securities laws and Nasdaq requirements.\r\n\r\nRights Offering Participants are expected to be entitled to receive warrants (each a \"RO Warrant\") to purchase a number of shares of the Issuer's Common Stock (such shares, collectively, the \"RO Warrant Shares\") equal to (a)(i) their respective subscription amounts, multiplied by (ii) 33% and divided by (b) a valuation per warrant to be mutually agreed to by CCM Frontier and the Issuer (which will be the same valuation used for determining the shares underlying the CCM Frontier Warrant described below), provided, however that in no event will such valuation result in pro forma dilution to the holders of shares of the Issuer's Common Stock, assuming each holder of shares of the Issuer's Common Stock fully subscribes to its pro rata share of the Rights Offering (such value, the \"Applicable Value\").\r\n\r\nUpon issuance, the RO Warrants are expected to entitle Rights Offering Participants to purchase the RO Warrant Shares at an exercise price per share equal to a 20% discount to the 15-day VWAP of the Issuer's Common Stock as of launch of the contemplated Rights Offering. The RO Warrants are expected to expire on the 10-year anniversary of the closing. The RO Warrants are expected to be exercisable for cash or on a cashless basis.\r\n\r\nCerberus Warrants\r\n\r\nIn consideration for the Initial Class A-2 Contribution, the Issuer is expected to issue to CCM Frontier Additional Warrants to purchase a number of shares of Common Stock equal to (a) 75% of the Initial Class A-2 Contribution divided by (b) the Applicable Value (such shares, the \"Warrant Shares\"). Upon issuance, the Additional Warrants are expected to entitle CCM Frontier to purchase the Warrant Shares at an exercise price per share equal to a 20% discount to the 15-day VWAP of the Issuer's Common Stock as of launch of the contemplated Rights Offering. The Additional Warrants are expected to expire on the 10-year anniversary of the closing. The Additional Warrants are expected to be exercisable for cash or on a cashless basis. The Warrant Shares are expected to be subject to customary registration rights.\r\n\r\nGovernance\r\n\r\nThe JV Company will be managed by a board of managers that will initially include seven members, four of which will be appointed by CCM Frontier and up to three of which will be appointed by the Issuer (subject to step-down rights (down to zero) if the Issuer fails to maintain certain ownership thresholds in the JV Company). The board of managers will have full and exclusive power to conduct and exercise control over the activities of the JV Company, subject to certain reserved and fundamental matters that will require the consent of a manager appointed by the Issuer or the Issuer, as applicable (so long as the Issuer maintains certain ownership thresholds in the JV Company). Day to day oversight of the JV Company's development projects will be delegated to and performed by an appointee of CCM Frontier, which is initially anticipated to be an affiliate of CCM Frontier, pursuant to a management services agreement on customary terms and conditions to be agreed to by CCM Frontier and the Issuer.\r\n\r\nTransfers\r\n\r\nCCM Frontier and the Issuer will not be permitted to transfer their respective Preferred Units in the JV Company prior to the third anniversary of the closing of the transactions contemplated by the Term Sheet, except for certain permitted transfers to affiliates, and subject to a drag right in favor of CCM Frontier (which includes minimum return protections for the Issuer if exercised prior to the third anniversary of the closing). After the third anniversary of the closing, CCM Frontier and the Issuer will be permitted to transfer their respective Preferred Units, subject to a right of first offer in favor of the non-transferring party.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1805077/000101143826000320/0001011438-26-000320-index.html" }, { "accession_no": "0000950157-26-000611", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1492422, "issuer_name": "Apellis Pharmaceuticals, Inc.", "issuer_cusip": "03753U106", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-14", "filed_date": "2026-05-14", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Prior Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:\n\nAs previously disclosed, on March 31, 2026, Biogen entered into an Agreement and Plan of Merger (the \"Merger Agreement\") with Apellis and Aspen Purchaser Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Biogen (\"Purchaser\"). Pursuant to the Merger Agreement, on April 14, 2026, Purchaser commenced a tender offer (the \"Offer\") to acquire any and all outstanding Shares, in exchange for (i) $41.00 per Share, net to the seller in cash, without interest and subject to reduction for any applicable tax withholding (the \"Cash Amount\"), plus (ii) one contractual, non-transferable contingent value right per Share (each, a \"CVR\") representing the right to receive contingent cash payments of up to an aggregate of $4.00 in cash, without interest and subject to reduction for any applicable tax withholding, upon the achievement of certain specified milestones, in each case upon the terms and subject to the conditions set forth in the Offer to Purchase, dated April 14, 2026 (as amended or supplemented from time to time, the \"Offer to Purchase\") and in the related Letter of Transmittal.\n\nAs a result of the satisfaction of the Minimum Condition (as defined in the Offer) and each of the other conditions to the Offer, on May 14, 2026, Purchaser irrevocably accepted for payment all Shares that were validly tendered (and not validly withdrawn) pursuant to the Offer. Following the completion of the Offer, on May 14, 2026, pursuant to the terms of the Merger Agreement, Purchaser merged with and into Apellis, without a vote of the stockholders of Apellis in accordance with Section 251(h) of the General Corporation Law of the State of Delaware, with Apellis continuing as the surviving corporation of the merger and as a wholly owned subsidiary of Biogen (the \"Merger\").", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1492422/000095015726000611/0000950157-26-000611-index.html" }, { "accession_no": "0000902664-26-002450", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1422142, "issuer_name": "Whitehawk Therapeutics, Inc.", "issuer_cusip": "00032Q104", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": "The Pre-Funded Warrants to purchase 6,377,714 shares of Common Stock were acquired on behalf of Avoro Life Sciences by Avoro Capital for an aggregate purchase price of approximately $25,000,001 including brokerage commissions, using the working capital of Avoro Life Sciences.", "item4_transaction_purpose": "On May 12, 2026, the Issuer entered into a Securities Purchase Agreement (the \"2026 Securities Purchase Agreement\") with Avoro Life Sciences Fund LLC (\"Avoro Life\") and certain other purchasers named therein (collectively, the \"2026 PIPE Investors\"). Pursuant to the 2026 Securities Purchase Agreement, the Issuer agreed to sell to Avoro Life an aggregate of 6,377,714 pre-funded warrants (the \"Pre-Funded Warrants\") to acquire Common Stock at a purchase price of $3.9199 per share (the \"2026 PIPE Financing\").\n\nThe Pre-Funded Warrants will have an exercise price of $0.0001 per share of Common Stock, be immediately exercisable, and remain exercisable until exercised in full. Avoro Life may not exercise a Pre-Funded Warrant if it, together with its affiliates, would beneficially own more than 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise. Avoro Life may decrease or, by providing at least 61 days' prior notice to the Issuer, increase such percentages not in excess of 19.99%. The foregoing summaries of the 2026 Securities Purchase Agreement and the Pre-Funded Warrants do not purport to be complete and are qualified in their entireties by reference to the 2026 Securities Purchase Agreement and the form of Pre-Funded Warrant, which are included as Exhibit 99.10 and Exhibit 99.11, respectively, hereto and are incorporated herein by reference.\n\nAt the closing of the 2026 PIPE Financing, in connection with the 2026 Securities Purchase Agreement, the Issuer will enter into a 2026 Registration Rights Agreement (the \"2026 Registration Rights Agreement\") with the 2026 PIPE Investors. Pursuant to the 2026 Registration Rights Agreement, the Issuer is required to prepare and file a resale registration statement with the SEC on or prior to the later of (i) 30 calendar days following the closing of the 2026 PIPE Financing. The Issuer will be required to use its commercially reasonable efforts to cause such registration statement to be declared effective by the SEC within 60 calendar days following the closing of the 2026 PIPE Financing (or within 90 calendar days following the closing of the 2026 PIPE Financing if the SEC reviews such registration statement), subject to acceleration under certain circumstances. The foregoing summary of the 2026 Registration Rights Agreement does not purport to be complete and is qualified in its entirety by reference to the form of 2026 Registration Rights Agreement, which is included as Exhibit 99.12 hereto and is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1422142/000090266426002450/0000902664-26-002450-index.html" }, { "accession_no": "0000892712-26-000247", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1649744, "issuer_name": "DULUTH HOLDINGS INC.", "issuer_cusip": "26443V101", "securities_class_title": "Class B Common Stock, no par value per share", "date_of_event": "2026-05-05", "filed_date": "2026-05-14", "item3_funds_source": "As of May 5, 2026, Ms. Pugliese holds an aggregate of 2,265,225 shares of Common Stock. Ms. Pugliese previously acquired 1,173,021 shares of Common Stock pursuant to an award of restricted stock granted in accordance with the terms of the Inducement Restricted Stock Award Agreement between the Issuer and Ms. Pugliese, effective May 5, 2025 (the \"Agreement\"). Pursuant to the terms of the Agreement, 387,097 shares of Common Stock vested on May 5, 2026, and in connection with such vesting, the Issuer withheld 181,935 shares to satisfy tax withholding obligations.", "item4_transaction_purpose": "In accordance with the terms of the Agreement, 387,097 shares of Common Stock vested on May 5, 2026. Ms. Pugliese elected to have the Issuer withhold 181,935 of such shares to satisfy tax withholding obligations.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1649744/000089271226000247/0000892712-26-000247-index.html" }, { "accession_no": "0000038777-26-000150", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 2063946, "issuer_name": "Franklin BSP Lending Fund", "issuer_cusip": "35243L403", "securities_class_title": "Class I Shares", "date_of_event": "2026-05-12", "filed_date": "2026-05-14", "item3_funds_source": "The Reporting Persons have invested in the Issuer as follows:\nBSP Fund Holdco (Debt Strategy) L.P.(\"Holdco\"), a wholly-owned subsidiary of FRI, acquired 75,000 Class I shares, (\"Shares\") on January 29, 2026, using its own working capital, for a purchase price of $750,000.00.", "item4_transaction_purpose": "Holdco acquired the Shares for investment and to support the Issuer in its investment strategy.\n\nExcept as described above, Holdco and FRI currently have no plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2063946/000003877726000150/0000038777-26-000150-index.html" }, { "accession_no": "0000038777-26-000149", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1762562, "issuer_name": "CLARION PARTNERS REAL ESTATE INCOME FUND INC.", "issuer_cusip": "180567109", "securities_class_title": "Class S Common Stock, per share", "date_of_event": "2026-05-05", "filed_date": "2026-05-14", "item3_funds_source": "The Reporting Persons have invested in Class S Shares of Common Stock (\"the Shares\") as follows:\n\nOn March 12, 2021 5,223 Shares were transferred for no consideration from Legg Mason, Inc. to FRI. 88,106 Shares were acquired on April 16, 2026 and a total purchase price of $1,051,085 was paid from FRI's working capital. C. Johnson and R. Johnson, Jr. do not own directly any shares of the Issuer.", "item4_transaction_purpose": "FRI acquired the Shares for investment and to facilitate the acquisition of the Issuer's commercial real estate investments. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of the Shares at prices that would make the purchase or sale of the Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of the Shares on the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable. Other factors that may affect the Reporting Persons' investment in the Shares include, without limitation, the Issuer's financial position, results, prospects and strategic direction, actions taken by the Issuer's portfolio managers, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions.\n\n\nExcept as described above, none of the Reporting Persons covered by this Schedule 13D currently has any plans or proposals that relate to or would result in any of the actions described in paragraphs (a) through (j) of the instructions to Item 4 of Schedule 13D, or any present plans or intentions to acquire or dispose of any securities of the Issuer. The Reporting Persons may at any time review, reconsider and change their position and/or change their purpose and/or develop such plans or proposals.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1762562/000003877726000149/0000038777-26-000149-index.html" }, { "accession_no": "0002087954-26-000002", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1610853, "issuer_name": "Solana Company", "issuer_cusip": "42328V876", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nCash Shares and Warrants\n\nOn September 15, 2025, pursuant to a securities purchase agreement dated September 15, 2025 with the Issuer, Fusion Summer received (i) 6,830,402 shares (the \"Cash Shares\") of Class A Common Stock at an offering price of $6.881 per Cash Share (the \"Per Share Cash Purchase Price\") and (ii) 6,830,402 stapled warrants (the \"Cash Stapled Warrants\") to purchase shares of Class A Common Stock (the \"Cash Stapled Warrant Shares\") at an exercise price of $10.134 per Cash Stapled Warrant.\n\nThe foregoing description of the Cash Stapled Warrants does not purport to be complete and is qualified in its entirety by reference to the Form of Cash Stapled Warrant, a copy of which is filed as Exhibit 99.2 hereto and incorporated by reference herein.\n\nOn September 18, 2025, pursuant to a strategic advisory agreement dated September 15, 2025 with the Issuer, Summer Wisdom received warrants to purchase 2,218,236 shares of Class A Common Stock (\"Base Advisory Warrants\"). Upon the exercise of the Cash Stapled Warrant, Summer Wisdom shall receive an additional grant of warrants to purchase an amount of shares of Class A Common Stock equal to its 5% of the shares of Class A Common Stock issued upon such exercise, such amount shall not exceed the issuance of 3,697,059 shares of Class A Common Stock (the \"Performance Advisory Warrants\", and together with the Base Advisory Warrants, the \"Strategic Advisory Warrants\"). The Performance Advisory Warrant will permit cashless exercise and will be settled solely in shares. The exercise price per share of the Strategic Advisory Warrants shall be equal to $0.001 per underlying share of Class A Common Stock. The Strategic Advisory Warrants shall be exercisable, in whole or in part, at any time and from time to time following the receipt of stockholder approval, for a period of five (5) years from the date of issuance. The Strategic Advisory Warrants contain a provision (the \"Beneficial Ownership Blocker\" which precludes exercise of the Strategic Advisory Warrants to the extent that, following exercise, Summer Fusion, together with its affiliates and other attribution parties, would own more than 9.99% of the Class A Common Stock outstanding.\n\nThe foregoing description of the Strategic Advisory Warrants does not purport to be complete and is qualified in its entirety by reference to the Form of Strategic Advisory Warrant, a copy of which is filed as Exhibit 99.3 hereto and incorporated by reference herein.\n\nThe funds used by each of Fusion Summer and Summer Wisdom to purchase these securities were working capital.\n\n\nRestricted Stock Units\n\nOn May 11, 2026, Mr. Chee received 1,109,118 shares of Class A Common Stock in connection with the settlement of restricted stock units.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1610853/000208795426000002/0002087954-26-000002-index.html" }, { "accession_no": "0002060757-26-000029", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1802156, "issuer_name": "Xponential Fitness, Inc.", "issuer_cusip": "98422X101", "securities_class_title": "Class A common stock, par value $0.0001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1802156/000206075726000029/0002060757-26-000029-index.html" }, { "accession_no": "0001891865-26-000006", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1828972, "issuer_name": "BuzzFeed, Inc.", "issuer_cusip": "12430A300", "securities_class_title": "Class A Common Stock, par value $0.001 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the below:\n\nThe information provided and incorporated by reference in Item 6 of the Schedule 13D is hereby incorporated by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1828972/000189186526000006/0001891865-26-000006-index.html" }, { "accession_no": "0001878366-26-000024", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1819493, "issuer_name": "Xos, Inc.", "issuer_cusip": "98423B306", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-13", "item3_funds_source": "The Reporting Persons beneficially own 3,738,303 shares of Common Stock as reflected in this Amendment No. 3.\n\nThe consideration used to acquire beneficial ownership of 643,375 shares of Common Stock consisted of securities of Xos, Inc. (now known as Xos Fleet, Inc.) (\"Legacy Xos\"). The Reporting Persons acquired such shares of Common Stock pursuant to the Agreement and Plan of Merger, dated as of February 21, 2021, as amended on May 14, 2021 (the \"Agreement\"), by and among NextGen Acquisition Corporation (\"Acquiror\"), Sky Merger Sub I, Inc., a Delaware corporation and a wholly owned subsidiary of Acquiror (\"Merger Sub\") and Legacy Xos, pursuant to which Merger Sub merged (the \"Merger\") with and into Legacy Xos, whereupon the separate existence of Merger Sub ceased and Xos became the surviving company and continued in existence as a subsidiary of Acquiror, which subsequently changed its name to Xos, Inc. The Reporting Persons used personal funds in order to acquire the securities of Legacy Xos.\n\nAljomaih purchased a convertible promissory note in the original principal amount of $20,000,000 (the \"Note\") for $20,000,000 cash pursuant to a note purchase agreement (the \"Note Purchase Agreement\") between the Issuer and Aljomaih. The Note provides a conversion right, in which Aljomaih may, on or after November 9, 2022, elect to convert the outstanding principal amount of the Note by providing written notice to the Issuer. The conversion price for the Note was initially equal to $71.451 per share (as adjusted for the Issuer's one-for-thirty reverse stock split effected December 6, 2023), subject to adjustment in certain events pursuant to the terms of the Note. Aljomaih used personal funds in order to acquire the Note.\n\nOn August 8, 2025, the Issuer and Aljomaih entered into Amendment No. 1 to Note Purchase Agreement and a Second Amended and Restated Convertible Promissory Note (collectively, the \"2025 Amendments\"). Pursuant to the terms of the Note, as amended, on August 25, 2025, the Issuer issued 1,803,262 shares of Common Stock (the \"Interest Shares\") to Aljomaih in payment of approximately $6.0 million of interest accrued on the Note through August 11, 2025. The 2025 Amendments also changed the schedule for repayment of principal amounts of the Note. Rather than being due all at once on August 11, 2025, principal payments are now spread over ten quarterly installments beginning November 11, 2025 and ending February 11, 2028. The first four such installments are $1.5 million, the fifth through eighth installments are $2.0 million and the final two installments are $3.0 million each; provided that such installments may be increased in the event certain financing activities result in proceeds to the Issuer in excess of four times the aggregate amount of Note principal payments otherwise required on or prior to any installment date.\n\nThe 2025 Amendments also extended the term of Aljomaih's right of first offer with respect to distribution of the Issuer's products and services in the Middle East until the later of February 11, 2028 and full repayment of the Note.\n\nThe foregoing description of the 2025 Amendments is qualified in its entirety by reference to the actual 2025 Amendments, copies of which were filed as Exhibits 10.4 and 10.5 to the Issuer's Quarterly Report on Form 10-Q filed with the SEC on August 13, 2025, and incorporated herein by reference.\n\nOn August 14, 2025, the Issuer and Aljomaih executed a letter agreement (the \"Letter\"), effective as of the date of the 2025 Amendments, which clarified certain provisions in the Note and imposed limitations on the issuance of Interest Shares. The Letter provides that, under certain circumstances, the aggregate number of Interest Shares deliverable or previously delivered upon any interest payments under the Note plus the number of shares of Common Stock that may be issued or were previously issued in respect of conversion of principal or any other portion of the Note, shall not exceed 1,737,247 shares of Common Stock (subject to adjustment) (the \"Limit\"), which was 19.99% of the outstanding shares of the Common Stock on August 8, 2025, immediately prior to the 2025 Amendments. Any interest amounts payable in excess of the amount payable with Interest Shares, shall instead be payable within five business days of the earlier of (x) August 11, 2026 and (y) the date the Issuer receives stockholder approval to issue more than the Limit in respect of conversion of the Note, as amended.\n\nThe foregoing description of the Letter is qualified in its entirety by reference to the actual Letter, a copy of which is filed as Exhibit 10.1 to the Issuer's Current Report on Form 8-K filed with the SEC on August 14, 2025, and incorporated herein by reference.\n\nOn May 8, 2026, the Issuer and Aljomaih entered into a Third Amended and Restated Convertible Promissory Note (the \"2026 Amendment\"). The 2026 Amendment altered the Note to reduce the conversion price from $71.451 per share (as adjusted for the 1-for-30 reverse stock split effected on December 6, 2023) to $12.00 per share. The 2026 Amendment also adds a mandatory conversion feature to the Note pursuant to which the Issuer may compel the conversion of the Note if the Daily VWAP (as defined in the Note) of the Common Stock exceeds $16.00 per share (subject to adjustment) for at least twenty out of thirty consecutive trading days. The $15,500,000 principal amount of the Note outstanding on May 11, 2026 is convertible into an aggregate of 1,291,666 shares of Common Stock as of such date.", "item4_transaction_purpose": "The information provided in Item 3 of this Amendment No. 3 is incorporated herein by reference.\n\nThe Reporting Persons may acquire additional shares of Common Stock or dispose of some or all of the shares of Common Stock held by them in open-market transactions or privately negotiated transactions, on such terms and at such times as the Reporting Persons may deem advisable, subject to applicable law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819493/000187836626000024/0001878366-26-000024-index.html" }, { "accession_no": "0001731122-26-000714", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 105319, "issuer_name": "WW INTERNATIONAL, INC.", "issuer_cusip": "98262P200", "securities_class_title": "Common Stock, no par value per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-13", "item3_funds_source": "Galloway Capital Partners, LLC acquired 234,800 shares of Common Stock in open market purchases from March 2026 through May 2026. The aggregate purchase price for the shares of Common Stock is approximately $12.26 per share. During this same period the Reporting Persons purchased 463,000 shares underlying call options for an aggregate purchase price of $569,490 and exercisable within 60 days. Such shares of Common Stock and call options were purchased with investment capital of Galloway Capital Partners, LLC, Galloway Capital, LP and Mr. Galloway.\n\nThe Reporting Persons have effectuated transactions to acquire shares of Common Stock within the past 60 days, as reflected in Schedule 1 to this Report. Other than as set forth in this Report, none of the Reporting Persons has effected any transactions in the shares of Common Stock within the past 60 days.", "item4_transaction_purpose": "Each Reporting Person acquired the securities described in this Schedule 13D for investment purposes and intend to review its investment in the Issuer on a continuing basis. Each Reporting Person may from time to time acquire additional securities of the Issuer or retain or sell all or a portion of the shares then held by such Reporting Person, in the open market, block trades, underwritten public offerings or privately negotiated transactions. Any actions any Reporting Person might undertake with respect to its investment in the Issuer may be made at any time and from time to time and will be dependent upon such Reporting Person's review of numerous factors, including, but not limited to: ongoing evaluation of the Issuer's business, financial condition, operations, prospects and strategic alternatives; price levels of the Issuer's securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; tax considerations; liquidity of the Issuer's securities; and other factors and future developments.\n\nEach Reporting Person may consider, explore and/or develop plans and/or make proposals (whether preliminary or final) with respect to, among other things, the Issuer's performance, operations, management, governance (including potential changes to the Board), conflicted party transactions, capital allocation policies, and strategy and plans of the Issuer. Each Reporting Person intends to engage the Board and management with respect to the matters referred to in the preceding sentence. In addition, each Reporting Person may, at any time and from time to time, (i) review or reconsider its position and/or change its purpose and/or formulate plans or proposals with respect thereto and (ii) propose or consider one or more of the actions described in subparagraphs (a) - (j) of Item 4 of Schedule 13D.\n\nOn May 13, 2026 the Reporting Persons sent a letter to management and attached as an exhibit.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/105319/000173112226000714/0001731122-26-000714-index.html" }, { "accession_no": "0001602952-26-000001", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1534675, "issuer_name": "Tecnoglass Inc.", "issuer_cusip": "G87264100", "securities_class_title": "Ordinary Shares, par value $0.0001 per share", "date_of_event": "2026-03-13", "filed_date": "2026-05-13", "item3_funds_source": "Item 3 of the Existing Schedule 13D is hereby supplemented by adding the following to the end of such Item: On March 9, 2026, Energy Holding Corp completed the purchase of 107,000 Ordinary Shares of Tecnoglass Inc. at a weighted average price of $41.064 per share. On March 10, 2026, Energy Holding Corp completed the purchase of 107,000 Ordinary Shares of Tecnoglass Inc. at a weighted average price of $43.413 per share. On March 11, 2026, Energy Holding Corp completed the purchase of 92,066 Ordinary Shares of Tecnoglass Inc. at a weighted average price of $44.24. On March 12, 2026, Energy Holding Corp completed the purchase of 107,600 Ordinary Shares of Tecnoglass Inc. at a weighted average price of $45.282. On March 13, 2026, Energy Holding Corp completed the purchase of 107,629 Ordinary Shares of Tecnoglass Inc. at a weighted average price of $45.113. Pursuant to the aforementioned purchases, Energy Holding Corp holds an aggregate of 20,731,985 Ordinary Shares as reported on this Amendment No. 8. The purchases were reported on a Form 4 filed with the SEC in connection with such purchases.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1534675/000160295226000001/0001602952-26-000001-index.html" }, { "accession_no": "0001441449-26-000006", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1998387, "issuer_name": "5C Lending Partners Corp.", "issuer_cusip": "000000000000", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-03-20", "filed_date": "2026-05-13", "item3_funds_source": "On February 19, 2026, the Issuer and the Investor entered into a subscription agreement (the \"Subscription Agreement\") for shares of Common Stock, par value $0.001 per share (the \"Shares\"). Pursuant to the Subscription Agreement, and subject to the Issuer Corporation Agreement, the Investor has agreed to purchase Shares from the Issuer for an aggregate purchase price of up to $198,000,000 (the \"Commitment\"), which is payable through periodic calls of all or a portion of the capital amount following delivery by the Issuer of a notice of a drawdown.\n\nThe source of funds to be used to purchase such Shares is expected to be cash reserves of the State of Qatar.\n\nOn 20 March 2026, following the Issuer's delivery of a drawdown notice pursuant to the Subscription Agreement, Q West Holding LLC acquired 2,122,383.00 shares of Common Stock at a price of $24.45 per share.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented as follows:\n\nThe information provided in Items 2 & 3 of the Amendment is incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1998387/000144144926000006/0001441449-26-000006-index.html" }, { "accession_no": "0001346824-26-000129", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1817241, "issuer_name": "ARTIVA BIOTHERAPEUTICS, INC.", "issuer_cusip": "04317A107", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": "On May 11, 2026, the Fund purchased (i) 6,510,416 shares of common stock at a price of $11.52 per share and (ii) Pre-Funded Warrants to purchase 2,170,138 shares of common stock at a price of $11.5199 per warrant share, from the underwriters of the Issuer's public offering (the \"May 2026 Offering\"). The aggregate purchase price for all securities acquired by the Fund in the May 2026 Offering was $99,999,765.07, which was funded by the working capital of the Fund.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1817241/000134682426000129/0001346824-26-000129-index.html" }, { "accession_no": "0001214659-26-006096", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1645666, "issuer_name": "Kezar Life Sciences, Inc.", "issuer_cusip": "49372L209", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended to add the following:\n\nClosing of the Merger:\n\nOn May 11, 2026, the Issuer completed its merger with Aurinia Pharma U.S., Inc. (\"Parent\") and Parent's wholly-owned subsidiary, Aurinia Merger Sub, Inc. (\"Merger Sub\") pursuant to the terms of the Merger Agreement, whereby Merger Sub merged with and into the Issuer, in accordance with the General Corporation Law of the State of Delaware, with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, on May 11, 2026, each issued and outstanding share of the Issuer's Common Stock was cancelled.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1645666/000121465926006096/0001214659-26-006096-index.html" }, { "accession_no": "0001213900-26-056155", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1940177, "issuer_name": "PodcastOne, Inc.", "issuer_cusip": "22275C105", "securities_class_title": "Common Stock, $0.00001 par value per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": "On July 1, 2020, the Issuer was acquired by the Reporting Person and became its wholly owned subsidiary. On July 15, 2022, the Issuer completed a private placement offering (the \"Notes Financing\") of its unsecured convertible notes (the \"Bridge Notes\") to the Reporting Person, certain accredited investors and institutional investors (collectively the \"Registered Stockholders\") for gross proceeds of $8,835,800. On September 8, 2023, the Issuer completed the Direct Listing and became the Reporting Person's majority owned subsidiary.\n\nIn addition, the information set forth or incorporated by reference in Item 6 is incorporated by reference in this Item 3.\n\nNo borrowed funds were used to purchase any shares reported herein.", "item4_transaction_purpose": "All of the Shares (as defined below) reported herein were acquired for investment purposes.\n\nThe Reporting Person intends to evaluate its investment in the Shares on a continual basis. Other than as expressly set forth below, the Reporting Person has no plans or proposals as of the date of this filing that relate to, or would result in, any of the actions enumerated in Item 4(a)-(j) of Schedule 13D. The Reporting Person may engage in communications with one or more stockholders, officers or directors of the Issuer and others, including but not limited to, discussions regarding the Issuer's operations and strategic direction and ideas that, if effected, could result in, among other things, any of the matters identified in Item 4(a)-(j) of Schedule 13D, including but not limited to debt or equity capital raising transactions, acquisitions, mergers, combinations and other strategic transactions.\n\nThe Reporting Person reserves its right, based on all relevant factors and subject to applicable law, at any time and from time to time, to review or reconsider its position, change its purpose, take other actions, including to cause or introduce strategic or corporate transactions involving the Issuer or any of its subsidiaries, or one or more of the types of transactions or have one or more the results described in Item 4(a)-(j) of Schedule 13D) or formulate and implement plans or proposals with respect to any of the foregoing. The Reporting Person from time to time intends to review its investment in the Issuer on the basis of various factors, including whether various strategic transactions have occurred or may occur, the Issuer's business, financial condition, results of operations and prospects, general economic and industry conditions, the securities markets in general and those for the Issuer's securities in general, as well as other developments and other investment opportunities. Based upon such review, the Reporting Person intends to take such actions in the future as it deems appropriate in light of the circumstances existing from time to time, which may include acquisitions of shares of common stock or other convertible securities of the Issuer or disposal of all or any portion of the Shares or shares of common stock or other securities of the Issuer otherwise acquired by the Reporting Person, either in the open market or privately negotiated transactions, with or without prior notice.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1940177/000121390026056155/0001213900-26-056155-index.html" }, { "accession_no": "0001213900-26-056133", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1347557, "issuer_name": "Pacific Airport Group", "issuer_cusip": "400506101", "securities_class_title": "Series B Shares", "date_of_event": "2026-05-06", "filed_date": "2026-05-13", "item3_funds_source": "The information set forth in response to Item 4 is hereby incorporated by reference.", "item4_transaction_purpose": "The Issuer, AMP, CMA, PAP, Charter and the other parties thereto entered into the Merger Agreement, pursuant to which AMP, CMA, PAP, Charter and the other merged entities were merged into the Issuer, dissolved, and the Issuer continued as the surviving company. In connection with the consummation of the Merger, the Issuer issued new Series B shares, without par value, and Series BB shares, without par value, convertible into Series B shares (subject to certain timing conditions and notice requirements under Article Six of the Issuer's Amended and Restated Bylaws), to the shareholders of the merged entities. In connection with the consummation of the Merger, on May 6, 2026, the Reporting Person received an aggregate of 19,438,479 Series B shares and 25,263,873 Series BB shares (the \"Shares\") for no cash consideration.\n\nThe Merger Agreement imposes restrictions on the transfer and disposition of the Shares received in connection with the Merger for a period of 365 calendar days from the date of shareholder approval of the Merger (the 'Lock-Up Period'). During the Lock-Up Period, the shareholders receiving shares in the Merger are prohibited from offering, selling, or otherwise transferring or encumbering such shares, subject to two partial exceptions: (i) after 90 days of the Lock-Up Period have passed, the shareholders may dispose of up to 25% of the issued shares, and (ii) after 180 days have passed, the shareholders may dispose of an additional 25% of the shares issued in the Merger. Any such dispositions to be effected through registered public offerings, private offerings, block sales coordinated with the Issuer, or any other means permitted under applicable law. A complete description of these provisions is set forth in the Merger Agreement, an English translation of which is filed as an Exhibit 99.1 hereto and incorporated herein by reference.\n\nThe Reporting Person will evaluate her investment in the Issuer from time to time and may at any time, based on such evaluation, market conditions and other circumstances, increase or decrease her security holdings in the Issuer or may change her investment strategy with respect to the Issuer.\n\nThe Reporting Person intends to monitor and evaluate the investment on an ongoing basis and expects regularly to review and consider alternative ways of maximizing her return on such investment, depending on prevailing market conditions, other investment opportunities, liquidity requirements or other investment considerations the Reporting Person deems relevant. The Reporting Person may engage in discussions with management, the board of directors of the Issuer (the \"Board\"), other shareholders of the Issuer and other relevant parties concerning the business, operations, board composition, management, strategy and future plans of the Issuer. The Reporting Person may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements and in compliance with applicable securities laws. The Reporting Person may from time to time in the future seek to acquire, alone or in conjunction with others, additional Series B Shares, Series BB Shares or other securities issued by the Issuer through open market purchases, block trades, privately negotiated transactions, tender offer, merger, amalgamation, reorganization or otherwise. The Reporting Person may also dispose of all or a portion of the securities of the Issuer, in registered offerings or in open market or privately negotiated transactions, and/or enter into derivative transactions with institutional counterparties with respect to the Series B Shares and Series BB Shares, in each case, subject to limitations under applicable law and any other required approvals.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Person, at any time and from time to time, may review, reconsider and change her position and/or change her purpose and/or develop such plans and may seek to influence management or the board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1347557/000121390026056133/0001213900-26-056133-index.html" }, { "accession_no": "0001213900-26-056117", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1347557, "issuer_name": "Pacific Airport Group", "issuer_cusip": "400506101", "securities_class_title": "Series B Shares", "date_of_event": "2026-05-06", "filed_date": "2026-05-13", "item3_funds_source": "The information set forth in response to Item 4 is hereby incorporated by reference.", "item4_transaction_purpose": "The Issuer, AMP, CMA, PAL, and the other parties thereto entered into the Merger Agreement, pursuant to which AMP, CMA, PAL, and the other merged entities were merged into the Issuer, dissolved, and the Issuer continued as the surviving company. In connection with the consummation of the Merger, the Issuer issued new Series B shares, without par value, and Series BB shares, without par value, convertible into Series B shares (subject to certain timing conditions and notice requirements under Article Six of the Issuer's Amended and Restated Bylaws), to the shareholders of the merged entities. The Trust received 23,206,837 Series B shares and 12,631,937 Series BB shares (the \"Shares\") of the Issuer in exchange for its membership interest.\n\nThe Merger Agreement imposes restrictions on the transfer and disposition of the shares received in connection with the Merger for a period of 365 calendar days from the date of shareholder approval of the Merger (the \"Lock-Up Period\"). During the Lock-Up Period, the shareholders receiving shares in the Merger are prohibited from offering, selling, or otherwise transferring or encumbering such Shares, subject to two partial exceptions: (i) after 90 days of the Lock-Up Period have passed, the shareholders may dispose of up to 25% of the issued shares, and (ii) after 180 days have passed, the shareholders may dispose of an additional 25% of the shares issued in the Merger. Any such dispositions to be effected through registered public offerings, private offerings, block sales coordinated with the Issuer, or any other means permitted under applicable law. A complete description of these provisions is set forth in the Merger Agreement, an English translation of which is filed as an Exhibit 99.1 hereto and incorporated herein by reference.\n\nThe Reporting Person will evaluate its investment in the Issuer from time to time and may at any time, based on such evaluation, market conditions and other circumstances, increase or decrease its security holdings in the Issuer or may change its investment strategy with respect to the Issuer.\n\nThe Reporting Person intends to monitor and evaluate the investment on an ongoing basis and expects regularly to review and consider alternative ways of maximizing its return on such investment, depending on prevailing market conditions, other investment opportunities, liquidity requirements or other investment considerations the Reporting Person deems relevant. The Reporting Person may engage in discussions with management, the board of directors of the Issuer (the \"Board\"), other shareholders of the Issuer and other relevant parties concerning the business, operations, board composition, management, strategy and future plans of the Issuer. The Reporting Person may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements and in compliance with applicable securities laws. The Reporting Person may from time to time in the future seek to acquire, alone or in conjunction with others, additional Series B Shares, Series BB Shares or other securities issued by the Issuer through open market purchases, block trades, privately negotiated transactions, tender offer, merger, amalgamation, reorganization or otherwise. The Reporting Person may also dispose of all or a portion of the securities of the Issuer, in registered offerings or in open market or privately negotiated transactions, and/or enter into derivative transactions with institutional counterparties with respect to the Series B Shares and Series BB Shares, in each case, subject to limitations under applicable law and any other required approvals.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Person, at any time and from time to time, may review, reconsider and change his position and/or change his purpose and/or develop such plans and may seek to influence management or the board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1347557/000121390026056117/0001213900-26-056117-index.html" }, { "accession_no": "0001213900-26-055771", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1874315, "issuer_name": "Satellogic Inc.", "issuer_cusip": "G7823S101", "securities_class_title": "Class A Common Stock, $0.0001 par value", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1874315/000121390026055771/0001213900-26-055771-index.html" }, { "accession_no": "0001213900-26-055750", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1453015, "issuer_name": "Ballard Power Systems Inc.", "issuer_cusip": "058586108", "securities_class_title": "Common Shares", "date_of_event": "2026-05-12", "filed_date": "2026-05-13", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended in its entirety as follows:\n\nThe information set forth in or incorporated by reference in Items 2, 4, 5 and 6 of this Schedule 13D is incorporated by reference in its entirety into this Item 3.\n\nOn August 29, 2018, Weichai Power and the Issuer entered into that certain Subscription Agreement (the \"Weichai Subscription Agreement\"). In connection with the Weichai Subscription Agreement, Weichai Hong Kong and the Issuer entered into that certain Investor Rights Agreement, dated as of November 13, 2018, as amended and restated by that certain Investor Rights Agreement, dated as of April 8, 2020, between Weichai Hong Kong and the Issuer (the \"Investor Rights Agreement\").\n\nOn November 13, 2018 (the \"Closing Date\"), pursuant to the Weichai Subscription Agreement, the Issuer issued to Weichai Power 46,131,712 Common Shares (the \"Subscription Shares\") for an aggregate purchase price of approximately $163.6 million, or $3.5464 per share of Common Share. Weichai Power has designated Weichai Hong Kong to acquire and hold the Subscription Shares.\n\nThe source of the funds used to purchase the Subscription Shares was through working capital of the Reporting Persons and proceeds from a $49.09 million loan from Australia and New Zealand Banking Group Limited to Weichai Hong Kong (the \"ANZ Loan\") and a $49.09 million loan from Standard Chartered Bank (Hong Kong) Limited to Weichai Hong Kong (the \"SC Loan\"), respectively.\n\nThe summary contained herein of the Weichai Subscription Agreement, the ANZ Loan and the SC Loan is not intended to be complete and is qualified in its entirety by reference to the Weichai Subscription Agreement, the ANZ Loan and the SC Loan, copies of which are filed as Exhibit B, D and E hereto, respectively, and which are incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended in its entirety as follows:\n\nThe information contained in Item 3 above is herein incorporated by reference.\n\nThe Reporting Persons acquired securities of the Issuer for investment purposes.\n\nInvestor Rights Agreement\n\nPursuant to the Investor Rights Agreement, for so long as Weichai Hong Kong beneficially owns a number of Common Shares that is equal to at least 15% of the total outstanding Common Shares of the Issuer, Weichai Hong Kong will be entitled to designate two (2) individuals for appointment or election to the Issuer's board of directors (the \"Board\"). Such directors appointed by Weichai Hong Kong must resign within 10 business days after Weichai Hong Kong ceases to beneficially own at least 15% of the total outstanding Common Shares of the Issuer. As of May 8, 2026, Weichai Hong Kong beneficially owned less than 15% of the total outstanding Common Shares of the Issuer. As a result, Michael Chen and Huajie Wang, two directors appointed by Weichai Hong Kong, will resign from the Board of the Issuer within 10 business days after May 8, 2026. Upon the resignation of such directors, no director of the Issuer will be appointed by Weichai Hong Kong.\n\nThe Investor Rights Agreement also contains restrictions on dispositions which prohibit Weichai Hong Kong from selling or transferring the Subscription Shares for a period of two (2) years following the Closing Date, subject to customary exceptions for transfers to affiliates and participation in material transactions involving the Issuer. Such restrictions on disposition have expired as of November 12, 2020.\n\nThe Investor Rights Agreement also contains customary standstill restrictions which prohibit Weichai Hong Kong from acquiring beneficial ownership of additional Common Shares or taking other specified actions with respect to the Issuer for two (2) years following the Closing Date. Such standstill restrictions have expired as of November 12, 2020.\n\nThe Investor Rights Agreement also provides Weichai Hong Kong with anti-dilution rights to maintain its ownership position in the Issuer, pursuant to which Weichai Hong Kong has a right to purchase a pro rata portion of any new issue of securities, or at-the-market offering of securities, issued by the Issuer, including Common Share and convertible share (excluding certain excepted issuances).\n\nThe Investor Rights Agreement also provides a superior proposal right pursuant to which the Issuer must notify Weichai Hong Kong if it receives an acquisition proposal from a third party which will constitute a change of control transaction and determines it could constitute a transaction that it recommends to its shareholders. Within 20 business days upon notice, Weichai Hong Kong has a right to submit a superior proposal to compete against the third-party offer, or it will choose to support the proposed transaction.\n\nThe foregoing descriptions of the Weichai Subscription Agreement, the Investor Rights Agreement, and the transactions contemplated thereby, are not intended to be complete and are qualified in their entirety by reference to the Weichai Subscription Agreement, the original Investor Rights Agreement, and the amended and restated Investor Rights Agreement, copies of which are filed as Exhibit B, C, F hereto, respectively, and which are incorporated herein by reference.\n\nIn their capacity as a significant shareholder of the Issuer, the Reporting Persons may take an active role in working with the Issuer's management on operational, financial and strategic initiatives. The Reporting Persons review and intend to continue to review, on an ongoing and continuing basis, their investment in the Issuer. Depending upon the factors discussed below and subject to applicable law and the terms of the Weichai Subscription Agreement and the Investor Rights Agreement, the Reporting Persons may from time to time acquire additional securities of the Issuer or sell or otherwise dispose of some or all of their securities of the Issuer. Subject to applicable law and the terms of the Weichai Subscription Agreement and Investor Rights Agreement, any transactions that the Reporting Persons may pursue may be made at any time and from time to time, with or without prior notice, and will depend upon a variety of factors, including, without limitation, current and anticipated future trading prices of the securities of the Issuer, the financial condition, results of operations and prospects of the Issuer, general economic, financial market and industry conditions, other investment and business opportunities available to the Reporting Persons, tax considerations and other factors.\n\nOther than as described in this Schedule 13D, none of the Reporting Persons currently has any plans or proposals that relate to, or may result in, any of the actions specified in clauses 4(a) - (j) of Item 4 of Schedule 13D (although the Reporting Persons reserve the right to develop such plans).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1453015/000121390026055750/0001213900-26-055750-index.html" }, { "accession_no": "0001193125-26-222151", "submission_type": "SCHEDULE 13D/A", "amendment_no": 17, "issuer_cik": 1625101, "issuer_name": "Pulse Biosciences, Inc.", "issuer_cusip": "74587B101", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe aggregate purchase cost of the 49,706,423 shares of common stock beneficially owned by Mr. Duggan is approximately $414,666,603 including brokerage commissions. Such shares were acquired with personal funds (with the exception of the 630,109 shares owned Genius 24C Inc d/b/a Genius Inc and the 450,189 shares owned by Blazon Corporation. Mr. Duggan received his 256,078 stock options in connection with his service on the board of directors of the Issuer). The aggregate purchase cost of the 630,109 shares of Common Stock owned by Genius 24C Inc d/b/a Genius Inc (\"Genius\"), which Mr. Duggan is the sole shareholder of and may be deemed to be beneficially owned by Mr. Duggan, is approximately $5,957,491.56 including brokerage commissions. Such shares were acquired with working capital. The aggregate purchase cost of the 450,189 shares of Common Stock owned by Blazon Corporation (\"Blazon\"), which Mr. Duggan is the majority shareholder of and may be deemed to be beneficially owned by Mr. Duggan, is approximately $4,284,178.60 including brokerage commissions. Such shares were acquired with working capital.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1625101/000119312526222151/0001193125-26-222151-index.html" }, { "accession_no": "0001193125-26-221953", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1489993, "issuer_name": "Mobia Medical, Inc.", "issuer_cusip": "83084G109", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": "In March 2025, LVPV purchased 1,899,912 shares of the Issuer's Series F Preferred Stock for a purchase price of $2.6317 per share and an aggregate purchase price of approximately $5.0 million.\n\nIn October 2025, LVPV purchased 1,899,912 shares of the Issuer's Series F Preferred Stock for a purchase price of $2.6317 per share and an aggregate purchase price of approximately $5.0 million.\n\nIn January 2026, LVPV purchased a convertible promissory note (the 2026 Convertible Note) for a purchase price of $3,971,193.\n\nOn May 11, 2026, effective upon the closing of the Offering, the 2026 Convertible Note converted into 330,932 shares of Common Stock.\n\nOn May 11, 2026, effective upon the closing of the Offering, each series of the Issuer's preferred stock automatically converted, for no consideration, into shares of the Common Stock on a one-for-3.483 basis in connection with the Issuer's reverse stock split. Following the conversion, each Reporting Person directly held such number of shares of Common Stock set forth in Item 11 of their respective Cover Pages.\n\nOn May 11, 2026, LVPV purchased 666,666 shares of Common Stock in the Offering for a purchase price of $15.00 per share and an aggregate purchase price of approximately $10.0 million.\n\nOn May 11, 2026, L103 purchased 1,166,666 shares of Common Stock in the Offering for a purchase price of $15.00 per share and an aggregate purchase price of approximately $17.5 million.\n\nAll shares of the capital stock of the Issuer purchased by LVPV and L103 have been purchased using investment funds provided to LVPV and L103 by its limited partner and general partner investors. Unless noted above, no part of the purchase price was borrowed by any Reporting Person for the purpose of acquiring any securities discussed in this Item 3.", "item4_transaction_purpose": "The information set forth in Item 3 of this Statement is incorporated herein by reference. The Reporting Persons hold the securities of the Issuer for general investment purposes. The Reporting Persons may, from time to time, depending on prevailing market, economic and other conditions, acquire additional shares of Common Stock or other securities of the Issuer, dispose of any such securities, or engage in discussions with the Issuer concerning such acquisitions or dispositions or further investments in the Issuer. The Reporting Persons intend to review their investment in the Issuer on a continuing basis and, depending upon the price and availability of shares of Common Stock or other securities of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Persons, general stock market and economic conditions, tax considerations and other factors considered relevant, may decide at any time to increase or to decrease the size of their investment in the Issuer in the open market, in privately negotiated transactions, pursuant to 10b5-1 trading plans or otherwise.\n\nExcept as set forth above, the Reporting Persons have no present plans or intentions which would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1489993/000119312526221953/0001193125-26-221953-index.html" }, { "accession_no": "0001193125-26-221556", "submission_type": "SCHEDULE 13D/A", "amendment_no": 11, "issuer_cik": 1601548, "issuer_name": "V2X, Inc.", "issuer_cusip": "92242T101", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Original Schedule 13D is hereby amended and supplemented by adding the following immediately prior to the last paragraph thereof:\n\nIn connection with a registered secondary public offering (the \"May 2026 Secondary Offering\") of Common Stock of the Issuer, Vertex Holdco entered into an underwriting agreement date May 7, 2026 (the \"May 2026 Underwriting Agreement\") with the Issuer and Morgan Stanley & Co. LLC (\"Morgan Stanley\"). Pursuant to the May 2026 Underwriting Agreement, Vertex Holdco agreed to sell to Morgan Stanley, and Morgan Stanley agreed to purchase from Vertex Holdco, subject to and upon the terms and conditions set forth therein, 2,004,569 shares of Common Stock at a price of $73.91 per share. The sale of the 2,004,569 shares in the May 2026 Secondary Offering closed on May 11, 2026. The 2,004,569 shares of Common Stock sold by Vertex Holdco in the May 2026 Secondary Offering represented all of the shares of Common Stock of the Issuer owned by Vertex Holdco.\n\nThe foregoing description of the May 2026 Underwriting Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the May 2026 Underwriting Agreement, which is filed as Exhibit 99.10 hereto.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1601548/000119312526221556/0001193125-26-221556-index.html" }, { "accession_no": "0001193125-26-221223", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1804583, "issuer_name": "Cloopen Group Holding Limited", "issuer_cusip": "18900M203", "securities_class_title": "Class A Ordinary Shares, par value US$0.0001 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-13", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nThe descriptions of the Merger Agreement (as defined below), the Equity Commitment Letters (as defined below), the Debt Commitment Letter (as defined below), the Support Agreement (as defined below), the Interim Investors Agreement (as defined below) and the Limited Guarantees (as defined below) are incorporated by reference in this Item 3.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:\n\nOn May 12, 2026, the Issuer entered into a definitive agreement and plan of merger (the \"Merger Agreement\") with SpringX Holdings Limited (\"Parent\"), AutumnX Holdings Limited (\"HoldCo\"), a wholly-owned subsidiary of Parent, and SummerX Holdings Limited (\"Merger Sub\"), a wholly-owned subsidiary of HoldCo. Pursuant to the Merger Agreement and subject to the terms and conditions thereof, Merger Sub will be merged with and into the Issuer, with the Issuer continuing as the surviving company and becoming a wholly-owned subsidiary of HoldCo (the \"Merger\").\n\nPursuant to the terms of the Merger Agreement, at the effective time of the Merger (the \"Effective Time\"), each Share issued and outstanding immediately prior to the Effective Time (other than Excluded Shares (as defined below), Dissenting Shares (as defined in the Merger Agreement) and Shares represented by ADSs (as defined below)) will be cancelled and cease to exist in exchange for the right to receive US$0.4940 in cash per Share without interest. Pursuant to the terms of the Merger Agreement, at the Effective Time, each American Depositary Share, representing six (6) Class A Ordinary Shares (each, an \"ADS\"), issued and outstanding immediately prior to the Effective Time (other than ADSs representing Excluded Shares), together with the Class A Ordinary Shares represented by such ADSs, will be cancelled and cease to exist in exchange for the right to receive US$2.9641 in cash per ADS without interest (less applicable fees, charges and expenses payable by ADS holders). Pursuant to the terms of the Merger Agreement, at the Effective Time, each Excluded Share and ADS representing Excluded Shares issued and outstanding immediately prior to the Effective Time will be canceled and cease to exist without payment of any consideration or distribution therefor. For the purposes of the Merger Agreement, \"Excluded Shares\" means, collectively: (i) certain Shares (including Shares represented by ADSs) held by Trustbridge V, Cloopen Co, Flawless Success, Image Frame, Parantoux, and Novo Investment (collectively, the \"Rollover Shareholders\"), the number of which set forth in the column titled \"Rollover Shares\" opposite such Rollover Shareholder's name on Schedule A to the Support Agreement (as defined below) or any Shares (including Shares represented by ADSs) acquired by such Rollover Shareholders or any of their affiliates following the date of the Merger Agreement and prior to the Effective Time (such Shares, collectively, the \"Rollover Shares\"); (ii) any Shares (including ADSs corresponding to such Shares) held by the depositary for the ADSs and reserved for issuance and allocation pursuant to the Issuer's share incentive plans; and (iii) any Shares held by Parent, HoldCo, Merger Sub, the Issuer or any of their respective subsidiaries. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Dissenting Share issued and outstanding immediately prior to the Effective Time will be cancelled and cease to exist and holders of Dissenting Shares upon serving a valid written notice of dissent under Section 238(5) of the Companies Act of the Cayman Islands will be entitled thereof to receive only the payment of the fair value of such Dissenting Shares determined in accordance with the provisions of Section 238 of the Companies Act of the Cayman Islands.\n\nIf the Merger is consummated, the Issuer will become a private company held by the HoldCo and beneficially owned by the Reporting Persons and other Rollover Shareholders and their respective affiliates, and the quotation of the Shares and ADSs will be removed from the OTC Market.\n\nIt is anticipated that approximately US$112 million will be expended to complete the Merger. This amount includes (a) the estimated funds required to (i) purchase the outstanding Shares (including Shares represented by ADSs, other than Excluded Shares, Dissenting Shares) at a purchase price of US$2.9641 per ADS or US$0.4940 per Ordinary Share, and (ii) settle outstanding Company Equity Awards (as defined in the Merger Agreement) in accordance with the terms of the Merger Agreement, and (b) the estimated transaction costs associated with the transactions contemplated by the Merger Agreement and the other Transaction Documents (as defined in the Merger Agreement), including the Merger (the \"Transactions\").\n\nThe Transactions will be funded through a combination of (a) cash contributions contemplated by the equity commitment letters (each, an \"Equity Commitment Letter\" and, collectively, the \"Equity Commitment Letters\"), each dated as of May 12, 2026, by and between Parent and each of Trustbridge VII, Cloopen Co, and Retail Technology Asia Limited (\"Dmall\"), (b) proceeds from a committed term loan facility contemplated by the debt commitment letter, dated as of May 12, 2026 (the \"Debt Commitment Letter\"), by and between Parent and China Minsheng Banking Corp., Ltd. Shanghai Pilot Free Trade Zone Branch (the \"Lender\"), and (c) rollover equity contributions by the Rollover Shareholders, which will be cancelled and cease to exist without payment of any consideration or distribution therefor.\n\nUnder the terms and subject to the conditions of the Equity Commitment Letter executed and delivered by Trustbridge VII, Trustbridge VII will provide, or cause to be provided, equity financing to Parent in an amount of US$36,000,000 in connection with the Transactions.\n\nUnder the terms and subject to the conditions of the Equity Commitment Letter executed and delivered by Cloopen Co, Cloopen Co will provide, or cause to be provided, equity financing to Parent in an amount of US$300,000 in connection with the Transactions.\n\nUnder the terms and subject to the conditions of the Equity Commitment Letter executed and delivered by Dmall, Dmall will provide, or cause to be provided, equity financing to Parent in an amount of US$36,000,000 in connection with the Transactions.\n\nUnder the terms and subject to the conditions of the Debt Commitment Letter, the Lender has committed to underwrite, provide and fund a term loan facility in RMB up to the equivalent of US$42,000,000 to fund the Transactions.\n\nConcurrently with the execution and delivery of the Merger Agreement, the Management Party (as defined in the Support Agreement), the Supporting Shareholders (as defined in the Support Agreement), and HoldCo entered into a support agreement (the \"Support Agreement\"), pursuant to which, among other things, each Supporting Shareholder agreed, upon the terms and subject to the conditions set forth therein, (a) to vote all Shares (including Shares represented by ADSs) held by such Supporting Shareholder, together with any Shares (including Shares represented by ADSs) acquired by such Supporting Shareholder or any of such Supporting Shareholder's Affiliates following the date hereof and prior to the Closing, in favor of the authorization and approval of the Merger Agreement, the Plan of Merger, the Post-Closing M&A (as defined in the Merger Agreement) and the consummation of the Transactions, including the Merger, and (b) to subscribe for or otherwise receive shares of HoldCo at or immediately prior to the Effective Time in consideration of, and receive no cash consideration for, the cancellation of the Rollover Shares and the Company Equity Awards held by each Rollover Shareholder in accordance with the terms of the Merger Agreement. For the purpose of streamlining the holding structure in connection with the Transactions, Tencent intends to cause THL H Limited to transfer 1,249,998 Class A Ordinary Shares to Image Frame (the \"Internal Transfer\"), following which Image Frame will directly hold an aggregate of 13,049,682 Class A Ordinary Shares to be subject to the Support Agreement.\n\nConcurrently with the execution and delivery of the Merger Agreement, Trustbridge VII, Mr. Sun, Cloopen Co, and Dmall entered into an interim investors agreement (the \"Interim Investors Agreement\") with Parent, HoldCo and Merger Sub, pursuant to which the parties thereto agreed to certain terms and conditions that will govern the actions of Parent, HoldCo and Merger Sub and the relationship among the Investors (as defined in the Interim Investors Agreement) with respect to the Transactions.\n\nConcurrently with the execution and delivery of the Merger Agreement, Trustbridge VII executed and delivered a limited guarantee in favor of the Issuer with respect to a portion of the payment obligations of Parent or HoldCo under the Merger Agreement for the Parent Termination Fee (as defined in the Merger Agreement) that may become payable to the Issuer by HoldCo under certain circumstances and certain costs and expenses, as set forth in the Merger Agreement.\n\nConcurrently with the execution and delivery of the Merger Agreement, Cloopen Co executed and delivered a limited guarantee in favor of the Issuer with respect to a portion of the payment obligations of Parent or HoldCo under the Merger Agreement for the Parent Termination Fee (as defined in the Merger Agreement) that may become payable to the Issuer by HoldCo under certain circumstances and certain costs and expenses, as set forth in the Merger Agreement.\n\nConcurrently with the execution and delivery of the Merger Agreement, Dmall executed and delivered a limited guarantee in favor of the Issuer with respect to a portion of the payment obligations of Parent or HoldCo under the Merger Agreement for the Parent Termination Fee (as defined in the Merger Agreement) that may become payable to the Issuer by HoldCo under certain circumstances and certain costs and expenses, as set forth in the Merger Agreement (together with the limited guarantees executed and delivered by Trustbridge VII and Cloopen Co, the \"Limited Guarantees\", and each, a \"Limited Guarantee\").\n\nThe information disclosed in this Item 4 does not purport to be complete and is qualified in its entirety by reference to the Merger Agreement, the Equity Commitment Letters, the Debt Commitment Letter, the Support Agreement, the Interim Investors Agreement and the Limited Guarantees, copies of which are attached hereto as Exhibits 99.5, 99.6, 99.7, 99.8, 99.9, 99.10, 99.11, 99.12, 99.13 and 99.14, respectively, and which are incorporated herein by reference in their entirety.\n\nExcept as set forth in this Item 4, the Reporting Persons have no present plans or proposals that relate to, or that would result in, any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, formulate other purposes, plans or proposals regarding the Issuer, or any other actions that could involve one or more of the types of transactions or have one or more of the results described in paragraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1804583/000119312526221223/0001193125-26-221223-index.html" }, { "accession_no": "0001193125-26-220633", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1468327, "issuer_name": "Rent the Runway, Inc.", "issuer_cusip": "76010Y202", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Scheduled 13D is hereby amended and supplemented as follows:\n\nOn May 13, 2026, the Issuer announced the resignation of Jennifer Hyman from her roles as Chief Executive Officer and President of the Issuer and as a member of the Issuer's board of directors, effective May 15, 2026, and the appointment of an interim Chief Executive Officer. In connection with Ms. Hyman's resignation, on May 12, 2026 the Issuer and Ms. Hyman entered into a Separation, Advisor and Release Agreement (the \"Separation Agreement\") and a side letter agreement (the \"Side Letter\"). The Separation Agreement provides for Ms. Hyman's transition from her roles with the Issuer, the provision of certain advisor services following her separation, and certain separation benefits and release provisions. The Separation Agreement also includes customary restrictive covenants, including mutual non-disparagement obligations. S3 RR is a party to the Separation Agreement solely with respect to the non-disparagement provisions and certain affirmations contained therein. Pursuant to the Side Letter, Ms. Hyman and her affiliates agreed to terminate any and all of their respective rights under the Investor Rights Agreement, including rights to designate a director and a board observer to the Issuer's board of directors. The Reporting Persons may engage with the Issuer's board of directors, management, and other stockholders with respect to the identification and appointment of a successor to Ms. Hyman.\n\nThe foregoing summaries of the Separation Agreement and Side Letter do not purport to be complete and are qualified in their entireties by reference to the full texts of the Separation Agreement and the Side Letter, which are filed as Exhibit 99.6 and Exhibit 99.7 hereto, respectively, and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1468327/000119312526220633/0001193125-26-220633-index.html" }, { "accession_no": "0001193125-26-220631", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1468327, "issuer_name": "Rent the Runway, Inc.", "issuer_cusip": "76010Y202", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Scheduled 13D is hereby amended and supplemented as follows:\n\nOn May 13, 2026, the Issuer announced the resignation of Jennifer Hyman from her roles as Chief Executive Officer and President of the Issuer and as a member of the Issuer's board of directors, effective May 15, 2026, and the appointment of an interim Chief Executive Officer. In connection with Ms. Hyman's resignation, on May 12, 2026 the Issuer and Ms. Hyman entered into a Separation, Advisor and Release Agreement (the \"Separation Agreement\") and a side letter agreement (the \"Side Letter\"). The Separation Agreement provides for Ms. Hyman's transition from her roles with the Issuer, the provision of certain advisor services following her separation, and certain separation benefits and release provisions. The Separation Agreement also includes customary restrictive covenants, including mutual non-disparagement obligations. Gateway Runway is a party to the Separation Agreement solely with respect to the non-disparagement provisions and certain affirmations contained therein. Pursuant to the Side Letter, Ms. Hyman and her affiliates agreed to terminate any and all of their respective rights under the Investor Rights Agreement, including rights to designate a director and a board observer to the Issuer's board of directors. The Reporting Persons may engage with the Issuer's board of directors, management, and other stockholders with respect to the identification and appointment of a successor to Ms. Hyman.\n\nThe foregoing summaries of the Separation Agreement and Side Letter do not purport to be complete and are qualified in their entireties by reference to the full text of the Separation Agreement and the Side Letter, which are filed as Exhibit 99.6 and Exhibit 99.7 hereto, respectively, and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1468327/000119312526220631/0001193125-26-220631-index.html" }, { "accession_no": "0001193125-26-220628", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1468327, "issuer_name": "Rent the Runway, Inc.", "issuer_cusip": "76010Y202", "securities_class_title": "Class A Common Stock, $0.001 par value per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Scheduled 13D is hereby amended and supplemented as follows:\n\nOn May 13, 2026, the Issuer announced the resignation of Jennifer Hyman from her roles as Chief Executive Officer and President of the Issuer and as a member of the Issuer's board of directors, effective May 15, 2026, and the appointment of an interim Chief Executive Officer. In connection with Ms. Hyman's resignation, on May 12, 2026 the Issuer and Ms. Hyman entered into a Separation, Advisor and Release Agreement (the \"Separation Agreement\") and a side letter agreement (the \"Side Letter\"). The Separation Agreement provides for Ms. Hyman's transition from her roles with the Issuer, the provision of certain advisor services following her separation, and certain separation benefits and release provisions. The Separation Agreement also includes customary restrictive covenants, including mutual non-disparagement obligations. CHS US Investments is a party to the Separation Agreement solely with respect to the non-disparagement provisions and certain affirmations contained therein. Pursuant to the Side Letter, Ms. Hyman and her affiliates agreed to terminate any and all of their respective rights under the Investor Rights Agreement, including rights to designate a director and a board observer to the Issuer's board of directors. The Reporting Persons may engage with the Issuer's board of directors, management, and other stockholders with respect to the identification and appointment of a successor to Ms. Hyman.\n\nThe foregoing summaries of the Separation Agreement and Side Letter do not purport to be complete and are qualified in their entireties by reference to the full texts of the Separation Agreement and the Side Letter, which are filed as Exhibit 99.8 and Exhibit 99.9 hereto, respectively, and incorporated herein by reference.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1468327/000119312526220628/0001193125-26-220628-index.html" }, { "accession_no": "0001171843-26-003386", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1347557, "issuer_name": "Pacific Airport Group", "issuer_cusip": "400506101", "securities_class_title": "Series B Shares", "date_of_event": "2026-05-06", "filed_date": "2026-05-13", "item3_funds_source": "The information set forth in response to Item 4 is hereby incorporated by reference.", "item4_transaction_purpose": "The Issuer, AMP, CMA, PAL, and the other parties thereto entered into the Merger Agreement, pursuant to which AMP, CMA, PAL, and the other merged entities were merged into the Issuer, dissolved, and the Issuer continued as the surviving company. In connection with the consummation of the Merger, the Issuer issued new Series B shares, without par value, and Series BB shares, without par value, convertible into Series B shares (subject to certain timing conditions and notice requirements under Article Six of the Issuer's Amended and Restated Bylaws), to the shareholders of the merged entities. Accordingly, on May 6, 2026, the Reporting Person received 23,206,837 Series B shares and 12,631,936 Series BB shares (the \"Shares\") of the Issuer in exchange for his membership interests.\n\nThe Merger Agreement imposes restrictions on the transfer and disposition of the Shares received in connection with the Merger for a period of 365 calendar days from the date of shareholder approval of the Merger (the \"Lock-Up Period\"). During the Lock-Up Period, the shareholders receiving shares in the Merger are prohibited from offering, selling, or otherwise transferring or encumbering such Shares, subject to two partial exceptions: (i) after 90 days of the Lock-Up Period have passed, the shareholders may dispose of up to 25% of the issued shares, and (ii) after 180 days have passed, the shareholders may dispose of an additional 25% of the shares issued in the Merger. Any such dispositions to be effected through registered public offerings, private offerings, block sales coordinated with the Issuer, or any other means permitted under applicable law. A complete description of these provisions is set forth in the Merger Agreement, an English translation of which is filed as an Exhibit 99.1 hereto and incorporated herein by reference.\n\nThe Reporting Person will evaluate his investment in the Issuer from time to time and may at any time, based on such evaluation, market conditions and other circumstances, increase or decrease his security holdings in the Issuer or may change his investment strategy as regards the Issuer.\n\nThe Reporting Person intends to monitor and evaluate the investment on an ongoing basis and expects regularly to review and consider alternative ways of maximizing his return on such investment, depending on prevailing market conditions, other investment opportunities, liquidity requirements or other investment considerations the Reporting Person deems relevant. The Reporting Person may engage in discussions with management, the board of directors of the Issuer (the \"Board\"), other shareholders of the Issuer and other relevant parties concerning the business, operations, board composition, management, strategy and future plans of the Issuer. The Reporting Person may exchange information with any such persons pursuant to appropriate confidentiality or similar agreements and in compliance with applicable securities laws. The Reporting Person may from time to time in the future seek to acquire, alone or in conjunction with others, additional Series B Shares, Series BB Shares or other securities issued by the Issuer through open market purchases, block trades, privately negotiated transactions, tender offer, merger, amalgamation, reorganization or otherwise. The Reporting Person may also dispose of all or a portion of the securities of the Issuer, in registered offerings or in open market or privately negotiated transactions, and/or enter into derivative transactions with institutional counterparties with respect to the Series B Shares and Series BB Shares, in each case, subject to limitations under applicable law and any other required approvals.\n\nExcept as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although the Reporting Person, at any time and from time to time, may review, reconsider and change his position and/or change his purpose and/or develop such plans and may seek to influence management or the board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1347557/000117184326003386/0001171843-26-003386-index.html" }, { "accession_no": "0001140361-26-020933", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1834253, "issuer_name": "Smart Share Global Limited", "issuer_cusip": "83193E102**", "securities_class_title": "Class A ordinary shares, par value $0.0001 per share", "date_of_event": "2026-05-13", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby supplemented by adding the following:\n\nOn November 28, 2025, the Issuer filed Amendment No. 1 to its Rule 13e-3 transaction statement on Schedule 13E-3 with the SEC, which included a copy of the definitive proxy statement (the \"Definitive Proxy Statement\") regarding the holding of an extraordinary general meeting of the Issuer's shareholders on December 31, 2025 to consider and vote upon, among other things, a proposal to authorize and approve the Merger Agreement and the transactions contemplated thereby. The Definitive Proxy Statement also set out the procedures for the Issuer's shareholders to validly exercise their dissenters' rights. In response, certain funds managed by the Reporting Persons (the \"Funds\") validly exercised their rights to dissent from the merger contemplated by the Merger Agreement (the \"Merger\") and to seek appraisal and payment of the fair value of their Class A Ordinary Shares pursuant to the Definitive Proxy Statement and Section 238 of the Cayman Islands Companies Act (As Revised).\n\nOn December 31, 2025, the Issuer issued a press release announcing its shareholders' approval of the Merger Agreement.\n\nOn April 29, 2026, the Issuer filed Amendment No. 2 to its Rule 13e-3 transaction statement on Schedule 13E-3 with the SEC, disclosing that the Merger was completed on April 29, 2026 (the \"Effective Date\") and that all Class A Ordinary Shares held by dissenting shareholders, which included the Funds, were deemed cancelled as of the Effective Date.\n\nOn April 30, 2026, the Nasdaq Capital Market filed a Form 25 with the SEC notifying the SEC of the delisting of the ADSs from the Nasdaq Capital Market and the deregistration of the Issuer's registered securities.\n\nOn May 11, 2026, the Funds entered into a settlement agreement (the \"Settlement Agreement\") with Mobile Charging Group Holdings Limited (\"Parent\"), the indirect 100% owner of the Issuer following consummation of the Merger, pursuant to which, among other things, Parent agreed to pay or cause to pay agreed settlement amounts to the Funds as full and final settlement among the parties and their respective affiliates and related entities of all or any claims they had or may have had arising out of or in connection with, among other things, the Merger, the Merger Agreement, the Merger consideration, the ownership of shares of the Issuer, and the Funds' dissenters' rights and related demands. The Settlement Agreement also contains customary mutual release, non-disparagement, and confidentiality provisions.\n\nOn May 12, 2026, the Funds received payment of the agreed settlement amounts contemplated by the Settlement Agreement in full.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1834253/000114036126020933/0001140361-26-020933-index.html" }, { "accession_no": "0001123292-26-000662", "submission_type": "SCHEDULE 13D/A", "amendment_no": 21, "issuer_cik": 1819989, "issuer_name": "Cipher Digital Inc.", "issuer_cusip": "17253J106", "securities_class_title": "Common Stock", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following: \r\n\r\nThis Amendment No. 21 is being filed for purposes of disclosing the V3 Forward Contract described in this Amendment No. 21. The information contained in Item 5(c) of this Amendment No. 21 with respect thereto is incorporated by reference herein.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1819989/000112329226000662/0001123292-26-000662-index.html" }, { "accession_no": "0001104659-26-060384", "submission_type": "SCHEDULE 13D/A", "amendment_no": 15, "issuer_cik": 921114, "issuer_name": "Armata Pharmaceuticals, Inc.", "issuer_cusip": "04216R102", "securities_class_title": "Common Stock, $0.01 par value", "date_of_event": "2026-05-12", "filed_date": "2026-05-13", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 in Schedule 13D is hereby supplemented as follows:\n\nOn May 12, 2026, the Issuer entered into, as borrower, a credit and security agreement (the \"May 2026 Credit Agreement\") with Innoviva Sub, as lender, pursuant to which the Issuer borrowed from Innoviva Sub $25,000,000.\n\nOn the date of this Amendment No. 15, the Reporting Persons collectively own 25,076,769 shares of Common Stock of the Issuer, warrants to acquire an additional 10,653,847 shares of Common Stock of the Issuer, and the right to acquire an additional 19,736,843 shares of Common Stock of the Issuer upon conversion of the convertible loan (excluding any accrued interest).", "edgar_url": "https://www.sec.gov/Archives/edgar/data/921114/000110465926060384/0001104659-26-060384-index.html" }, { "accession_no": "0001104659-26-060292", "submission_type": "SCHEDULE 13D/A", "amendment_no": 8, "issuer_cik": 1590750, "issuer_name": "Viridian Therapeutics, Inc.\\DE", "issuer_cusip": "92790C104", "securities_class_title": "Common Stock, $0.01 par value per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": "Item 3 of the Statement is hereby amended and supplemented as follows:\n\nIn aggregate, the Reporting Persons have voting and dispositive power over 17,201,800 shares of Common Stock, which is comprised of (a) 5,090,928 shares of Common Stock, and (b) an aggregate of 12,110,872.18 (rounded to 12,110,872 shares for purposes of reporting in this Schedule 13D) shares of Common Stock issuable upon conversion of 133,191 shares of Series A Preferred Stock and 48,463 shares of Series B Preferred Stock, the conversion of each of which is subject to a beneficial ownership limitation of 19.99% of the outstanding Common Stock.\n\nOn May 11, 2026, Fund II purchased a total of 1,176,470 shares of Common Stock for an aggregate price of $19,999,990.00 in an underwritten public offering (the \"Offering\"). The shares were purchased with working capital. Fairmount and Fairmount GP II do not own any shares of Common Stock, Series A Preferred Stock or Series B Preferred Stock directly. Fairmount and Fairmount GP II are deemed to beneficially own the shares Common Stock, Series A Preferred Stock and Series B Preferred Stock held by Fund II. Fairmount and Fairmount GP II disclaim beneficial ownership of such shares of Common Stock, Series A Preferred Stock and Series B Preferred Stock except to the extent of their pecuniary interest therein.", "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nFund II purchased the shares of Common Stock referenced in Item 3 for investment purposes.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1590750/000110465926060292/0001104659-26-060292-index.html" }, { "accession_no": "0000921895-26-001271", "submission_type": "SCHEDULE 13D/A", "amendment_no": 23, "issuer_cik": 1564902, "issuer_name": "United Parks & Resorts Inc.", "issuer_cusip": "81282V100", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-13", "item3_funds_source": "Item 3 is hereby amended to add the following:\n\nThe 74,355 Shares beneficially owned directly by Mr. Ross were awarded to him in his capacity as a director of the Issuer.\n\nThe 28,877 Shares beneficially owned directly by Mr. Chambers were awarded to him in his capacity as a director of the Issuer.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1564902/000092189526001271/0000921895-26-001271-index.html" }, { "accession_no": "0001628280-26-034138", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1846576, "issuer_name": "FIGS, Inc.", "issuer_cusip": "30260D103", "securities_class_title": "Class A Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-09", "filed_date": "2026-05-12", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1846576/000162828026034138/0001628280-26-034138-index.html" }, { "accession_no": "0001628280-26-034137", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1846576, "issuer_name": "FIGS, Inc.", "issuer_cusip": "30260D103", "securities_class_title": "Class A Common Stock, $0.0001 par value per share", "date_of_event": "2026-05-09", "filed_date": "2026-05-12", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1846576/000162828026034137/0001628280-26-034137-index.html" }, { "accession_no": "0001609492-26-000006", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1785530, "issuer_name": "WEREWOLF THERAPEUTICS, INC.", "issuer_cusip": "95075A107", "securities_class_title": "Common Stock", "date_of_event": "2026-05-08", "filed_date": "2026-05-12", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1785530/000160949226000006/0001609492-26-000006-index.html" }, { "accession_no": "0001493152-26-022569", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1549084, "issuer_name": "ChronoScale Corporation", "issuer_cusip": "170924104", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-05", "filed_date": "2026-05-12", "item3_funds_source": "The securities of ChronoScale Corporation (f/k/a Ekso Bionics Holdings, Inc.) (the \"Issuer\") reported herein were acquired by the Reporting Person through (i) the exchange by APLD ChronoScale, an indirect wholly owned subsidiary of the Reporting Person, of 1,200 shares, constituting all of the issued and outstanding equity of Applied Digital Cloud Corporation (\"Cloud\") for 138,216,820 shares of common stock, par value $0.001 per share (the \"Common Stock\") of the Issuer (the \"Exchanged Shares\"), at the closing (the \"Closing\") of the business combination (the \"Business Combination\") on May 5, 2026 (the \"Event Date\") pursuant to the Contribution and Exchange Agreement, dated February 15, 2026, by and among the Issuer, APLD ChronoScale, APLD Intermediate and Cloud (the \"Contribution and Exchange Agreement\"), and (ii) the purchase by the Reporting Person, for cash, of 1,311,407 shares of Common Stock (the \"Private Placement Shares\") in a private placement (the \"Private Placement\" and, together with the Business Combination, the \"Transactions\") completed immediately prior to the Closing pursuant to the Securities Purchase Agreement, dated May 1, 2026, by and between the Issuer and the Reporting Person (the \"Securities Purchase Agreement\").\n\nThe purchase price for the Private Placement Shares was $12.01 per share, the closing price of the Common Stock on April 30, 2026, the date immediately preceding the date of execution of the Securities Purchase Agreement, for an aggregate purchase price of approximately $15.75 million, which was funded from the Reporting Person's working capital.", "item4_transaction_purpose": "The Reporting Person acquired the securities of the Issuer in connection with (i) the Business Combination contemplated by the Contribution and Exchange Agreement, pursuant to which Cloud became a wholly owned subsidiary of the Issuer and Ekso Bionics Holdings, Inc. changed its name to ChronoScale Corporation, and (ii) the Private Placement contemplated by the Securities Purchase Agreement. As a result of the Transactions, the Reporting Person is deemed to beneficially own a majority of the voting power of all outstanding shares of the Issuer's Common Stock and the Issuer is a \"controlled company\" within the meaning of Nasdaq's corporate governance standards. In connection with, and effective upon, the Closing, the Issuer and APLD ChronoScale entered into an Investor Rights Agreement (the \"Investor Rights Agreement\") that, among other things, provides the Reporting Person and its affiliates, with board designation rights, certain consent rights, preemptive rights and registration rights with respect to the Exchanged Shares and the Private Placement Shares. The Reporting Person acquired beneficial ownership of the securities reported herein of the Issuer for investment purposes.\n\nPursuant to the Investor Rights Agreement, the APLD Designator (as defined therein) has the right to designate four (4) of the seven (7) directors on the Issuer's board of directors, including the Chairman (each such director, an \"APLD Designee\"). The initial APLD Designees are Wesley Cummins (Chairman), Ella Benson, Douglas Miller and Richard Nottenburg. At the Closing, the Issuer and the Reporting Person also entered into a Management Advisory and Corporate Services Agreement (the \"Services Agreement\"), pursuant to which the Reporting Person agreed to provide management advisory services and certain corporate services to the Issuer in exchange for the fees described therein. For the avoidance of doubt, the Services Agreement does not relate to the acquisition, disposition, voting or transfer of Issuer securities.\n\nAlthough the Reporting Person and the Covered Persons are considering, or may consider in the future, plans or proposals with respect to their investment in the Issuer that could relate or would result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D, except as set forth in this Schedule 13D, neither the Reporting Person nor the Covered Persons have any present plan or proposal which would relate to or result in any such matters. The Reporting Person and Covered Persons have had discussions with management of the Issuer, other members of the Board, other representatives of the Issuer and other investors regarding the Issuer, including but not limited to its operations, strategy, management, capital structure, their investment in the Issuer and strategic alternatives that may be available to the Issuer. Such discussions may concern ideas, plans or proposals that, if effected, may result in one or more of the events described in subparagraphs (a) - (j) of Item 4 of Schedule 13D.\n\nThe Reporting Person and the Covered Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors, including the Issuer's financial position and strategic direction, price levels of the securities of the Issuer, other investment opportunities available to the Reporting Person and the Covered Persons, conditions in the securities market and general economic and industry conditions, the Reporting Person and the Covered Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate, including, without limitation, acquiring additional securities of the Issuer and/or retaining, converting and/or selling all or a portion of the securities of the Issuer held by the Reporting Person or the Covered Persons, if any, in the open market or in privately negotiated transactions, and/or may distribute securities of the Issuer to be acquired or held by the Reporting Person or the Covered Persons to shareholders of the Reporting Person, other entities engaging in communications with other directors and officers of the Issuer, other stockholders of the Issuer or other third parties or taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review. Such discussions and other actions may relate to various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including, but not limited to a merger, reorganization or liquidation) involving the Issuer or any of its subsidiaries; business combinations involving the Issuer or its subsidiaries; a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; material asset purchases; the formation of joint ventures with the Issuer or its subsidiaries or the entry into other material projects; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the board of directors (including composition of the board of directors) or management of the Issuer; acting as a participant in debt financings of the Issuer or its subsidiaries, changes to the capitalization, ownership structure, dividend policy, business or corporate structure or governance documents of the Issuer; de-listing or de-registration of the Issuer's securities; any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D or any action similar to those enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1549084/000149315226022569/0001493152-26-022569-index.html" }, { "accession_no": "0001398344-26-009013", "submission_type": "SCHEDULE 13D/A", "amendment_no": 14, "issuer_cik": 809844, "issuer_name": "MFS High Yield Municipal Trust", "issuer_cusip": "59318E102", "securities_class_title": "Common Stock", "date_of_event": "2026-05-06", "filed_date": "2026-05-12", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/809844/000139834426009013/0001398344-26-009013-index.html" }, { "accession_no": "0001213900-26-055287", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1987240, "issuer_name": "SCHMID Group N.V.", "issuer_cusip": "N68722102", "securities_class_title": "Class A Ordinary Shares, nominal value (euro)0.01 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-12", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1987240/000121390026055287/0001213900-26-055287-index.html" }, { "accession_no": "0001213900-26-055056", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1871638, "issuer_name": "Blaize Holdings", "issuer_cusip": "092915107", "securities_class_title": "Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-12", "item3_funds_source": "All of the shares of the Issuer's Common Stock (the \"Common Stock\") reported herein as beneficially owned by the Reporting Persons (other than the Sponsor Stock and the Debtor Collateral Stock, each as defined below), were acquired pursuant to an Agreement and Plan of Merger, dated as of December 22, 2023 (as amended on April 22, 2024, October 24, 2024 and November 21, 2024, the \"Business Combination Agreement\"), by and among BurTech Acquisition Corp., a Delaware corporation (\"BurTech\"), BurTech Merger Sub Inc., a Delaware corporation and a direct, wholly owned subsidiary of BurTech, Blaize, Inc., a Delaware corporation (\"Blaize\"), and for the limited purposes set forth therein, Burkhan Capital LLC, a Delaware limited liability company and affiliate of BurTech. The transactions contemplated by the Business Combination Agreement (the \"Business Combination\") closed on January 13, 2025 (the \"Closing\"). Pursuant to the terms of the Business Combination Agreement, immediately prior to the Closing, (i) each share of Blaize Series D-2 Shadow Preferred Stock of Blaize (the \"Series D-2 Shadow Preferred Stock\") converted to Blaize common stock and (ii) holders of Blaize common stock received approximately 0.78 shares of Common Stock for each share of Blaize common stock held by them at such time, subject to certain limitations. Immediately prior to the Closing on January 13, 2025, (i) Bess Ventures held 4,167,698 shares of Series D-2 Shadow Preferred Stock and 5,500,000 shares of common stock of Blaize and (ii) the Trust held 500,000 shares of common stock of Blaize (collectively, the \"Existing Blaize Stock\"). Upon the Closing, the Existing Blaize Stock was collectively converted into the right to receive 9,336,751 shares of Common Stock. Immediately prior to the Closing, stock options held by Mr. Bess and exercisable for 237,500 shares of common stock of Blaize at a price of $0.92 per share were converted into options exercisable within the next 60 days for 185,234 shares of Common Stock at a price of $1.18 per share.\n\n1,500,000 shares of Sponsor Stock were acquired as consideration in connection with Bess Notes (as defined below), pursuant to which Bess Ventures loaned $25,000,000 to the Sponsor (as defined below) to facilitate the Closing. The Sponsor Stock is beneficially owned by Bess Ventures as of the date that the Letter Agreement Lock-Up Terms (as defined below), which restrict formal transfer of the Sponsor Stock from the Sponsor to Bess Ventures, were within 60 days of their automatic expiry.\n\nThe Sponsor defaulted on the Bess Notes. On May 8, 2026, 3,500,000 shares (inclusive of Sponsor Stock) of Debtor Collateral Stock underlying the Bess Notes were foreclosed upon as described in the Foreclosure Notice (as defined below). As a result, an additional 2,000,000 shares of Debtor Collateral Stock are beneficially owned by Bess Ventures as of the date set forth in the Foreclosure Notice.\n\nOther than the foreclosure on the Debtor Collateral Stock described above, there have been no transactions effected by the Reporting Persons in the past sixty days with respect to the securities of the Issuer.", "item4_transaction_purpose": "The Reporting Persons acquired the securities of the Issuer for investment purposes. Reporting Persons or their affiliates may purchase additional securities or dispose of securities in varying amounts and at varying times depending upon Reporting Persons' continuing assessments of pertinent factors, including the availability of shares of Common Stock or other securities for purchase at particular price levels, the business prospects of the Issuer, other business investment opportunities, economic conditions, stock market conditions, money market conditions, the attitudes and actions of the board of directors (the \"Board\") and management of the Issuer, the availability and nature of opportunities to dispose of shares of the Issuer and other plans and requirements of the particular entities. The Reporting Persons may discuss items of mutual interest with the Issuer, which could include items in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Depending upon their assessments of the above factors, the Reporting Persons or their affiliates may change their present intentions as stated above and they may assess whether to make suggestions to the management of the Issuer regarding financing, and whether to acquire additional securities of the Issuer, including shares of Common Stock (by means of open market purchases, privately negotiated purchases, or otherwise) or to dispose of some or all of the securities of the Issuer, including shares of Common Stock, under their control. The Reporting Persons or their affiliates may seek to acquire other securities of the Issuer, including other equity, debt, notes or other financial instruments related to the Issuer or the Common Stock (which may include rights or securities exercisable or convertible into securities of the Issuer), and/or sell or otherwise dispose of some or all of such Issuer securities or financial instruments (which may include distributing some or all of such securities to such Reporting Person's respective partners or beneficiaries, as applicable) from time to time, in each case, in open market or private transactions, block sales or otherwise. Any transaction that any of the Reporting Persons or their affiliates may pursue may be made at any time and from time to time without prior notice and will depend on a variety of factors, including, without limitation, the price and availability of the Issuer's securities or other financial instruments, the Reporting Persons' or such affiliates' trading and investment strategies, subsequent developments affecting the Issuer, the Issuer's business and the Issuer's prospects, other investment and business opportunities available to such Reporting Persons and their affiliates, general industry and economic conditions, the securities markets in general, tax considerations and other factors deemed relevant by such Reporting Persons and such affiliates. The Reporting Persons intend to review their investment in the Issuer on an ongoing basis and, in the course of their review, may take actions (including through their affiliates) with respect to their investment or the Issuer, including communicating from time to time with the Board, members of management, other securityholders of the Issuer, or other third parties, advisors, such as legal, financial, regulatory, or other advisors, to assist in the review and evaluation of strategic alternatives. Such discussions and other actions may relate to various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including, but not limited to a merger, reorganization or liquidation) involving the Issuer or any of its subsidiaries; a sale or transfer of a material portion of the assets of the Issuer or any of its subsidiaries or the acquisition of material assets; the formation of joint ventures or other strategic alliances with the Issuer or any of its subsidiaries; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the Board or management of the Issuer; changes to the capitalization, ownership structure, dividend policy, business or corporate structure or governance documents of the Issuer; de-listing or de-registration of the Issuer's securities; or any action similar to the foregoing. Such discussions and actions may be exploratory in nature, and not rise to the level of a plan or proposal. Mr. Bess serves as Chairman of the Board and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Except as described in this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, subject to the agreements described herein, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans and may seek to influence management of the Issuer or the Board with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1871638/000121390026055056/0001213900-26-055056-index.html" }, { "accession_no": "0001193125-26-220274", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2080921, "issuer_name": "ARKO Petroleum Corp.", "issuer_cusip": "0002080921", "securities_class_title": "Class A Common Shares", "date_of_event": "2026-02-12", "filed_date": "2026-05-12", "item3_funds_source": "The information set forth in Items 4 and 5 is hereby incorporated by reference into this Item 3.\n\nThe funds and accounts managed by HFA acquired the securities reported herein for aggregate consideration of approximately $46,928,517.91, using cash available in such funds and accounts.\n\nFunds or accounts over which Blackstone Holdings I L.P. may be deemed to have indirect voting and dispositive power acquired the securities reported herein for an aggregate consideration of approximately $2,194,400.00, using cash available in such funds and accounts.", "item4_transaction_purpose": "The Reporting Persons acquired the securities reported herein for investment purposes, subject to the following:\n\nThe information in Items 3, 5 and 6 of this Schedule 13D is incorporated herein by reference.\n\nThe Reporting Persons intend to review their investment in the Issuer on an ongoing basis and, in the course of their review, may take actions (including through their affiliates) with respect to their investment or the Issuer, including communicating with the board of directors of the Issuer (the \"Board\"), members of management or other security-holders of the Issuer, or other third parties from time to time, taking steps to implement a course of action, including, without limitation, engaging advisors, including legal, financial, regulatory, technical and/or industry advisors, to assist in any review, and evaluating strategic alternatives as they may become available. Such discussions and other actions may relate to, subject to the terms and conditions of the documents described herein to which the Reporting Persons are a party, various alternative courses of action, including, without limitation, those related to an extraordinary corporate transaction (including, but not limited to a merger, reorganization or liquidation) involving the Issuer or any of its subsidiaries; business combinations involving the Issuer or any of its subsidiaries, a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; material asset purchases; the formation of joint ventures with the Issuer or any of its subsidiaries or the entry into other material projects; changes in the present business, operations, strategy, future plans or prospects of the Issuer, financial or governance matters; changes to the Board (including board composition) or management of the Issuer; acting as a participant in debt financings of the Issuer or any of its subsidiaries, changes to the capitalization, ownership structure, dividend policy, business or corporate structure or governance documents of the Issuer, or any action similar to those enumerated above. Such discussions and actions may be preliminary and exploratory in nature, and not rise to the level of a plan or proposal.\n\nThe Reporting Persons or their affiliates may seek to acquire securities of the Issuer, including Class A Shares and/or other equity, debt, notes or other financial instruments related to the Issuer or the Class A Shares (which may include rights or securities exercisable or convertible into securities of the Issuer), and/or sell or otherwise dispose of some or all of such Issuer securities or financial instruments (which may include distributing some or all of such securities to such Reporting Person's respective partners or beneficiaries, as applicable) from time to time, in each case, in open market or private transactions, block sales or otherwise. Any transaction that any of the Reporting Persons or their affiliates may pursue, subject to the terms and conditions of the documents described herein to which the Reporting Persons are a party, may be made at any time and from time to time without prior notice and will depend on a variety of factors, including, without limitation, the price and availability of the Issuer's securities or other financial instruments, the Reporting Persons' or such affiliates' trading and investment strategies, subsequent developments affecting the Issuer, the Issuer's business and the Issuer's prospects, other investment and business opportunities available to such Reporting Persons and their affiliates, general industry and economic conditions, the securities markets in general, tax considerations and other factors deemed relevant by such Reporting Persons and such affiliates.\n\nExcept as described in this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, the Reporting Persons, at any time and from time to time, may review, reconsider and change their position and/or change their purpose and/or develop such plans and may seek to influence management or the Board of the Issuer with respect to the business and affairs of the Issuer and may from time to time consider pursuing or proposing such matters with advisors, the Issuer or other persons.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2080921/000119312526220274/0001193125-26-220274-index.html" }, { "accession_no": "0001193125-26-220248", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2104260, "issuer_name": "West Enclave Merger Corp.", "issuer_cusip": "G9600E107", "securities_class_title": "Ordinary Shares", "date_of_event": "2026-05-01", "filed_date": "2026-05-12", "item3_funds_source": "The source of the funds used by the reporting persons to acquire the ordinary shares reported on in this Schedule 13D was working capital. See also Item 4 of this Schedule 13D, which information is incorporated herein by reference.", "item4_transaction_purpose": "On December 17, 2025, the Issuer issued an aggregate of 3,833,333 ordinary shares to Sponsor for an aggregate purchase price of $25,000. Third party designees of the sponsor purchased an aggregate of 147,500 of the private units Sponsor purchased, Jean-Michel Enriquez Dahlhaus, one of the Issuer's independent directors, purchased 5,000 of the private units Sponsor has purchased, and an entity affiliated with Hector Madero Rivero, another of the Issuer's independent directors, has purchased 20,000 of the private units Sponsor purchased, in each case at $10.00 per private unit. Sponsor transferred an aggregate of 1,380,000 ordinary shares of the Issuer (the \"founder shares\") on the closing of the initial public offering for an aggregate consideration of approximately $9,000, or approximately $0.0065 per founder share (including 40,000 founder shares to Mr. Enriquez and 160,000 founder shares to the entity affiliated with Mr. Madero). On May 1, 2026, the Issuer consummated its initial public offering (\"IPO\") and in connection with the consummation, Sponsor purchased an aggregate of 300,000 units for an aggregate purchase price of $3,000,000. On May 4, 2026, the underwriters of the Issuer, notified the Company of their exercise of the over-allotment option in full and purchased 1,500,000 additional units at $10.00 per unit upon the closing of the over-allotment option, generating gross proceeds of $15,000,000. The over-allotment option closed on May 6, 2026 simultaneously with a private placement of $412,500. Each private unit purchased was comprised of one ordinary share of the Issuer and one right to receive one-tenth of one ordinary share of the Issuer upon consummation of an initial business combination. The reporting persons made the acquisitions reported in this Schedule 13D as sponsor and officer and director of the Issuer and in support of the Issuer's business plan. The reporting persons may acquire or dispose of additional securities or sell securities of the Issuer from time to time in the market or in private transactions, including as a result of ownership of the rights referred to above. However, reporting persons do not have any other agreements to acquire additional ordinary shares at this time. As Co-Chairmen and Co-Chief Executive Officers of the Issuer, Mr. Mahuad and Mr. Otero are involved in making material business decisions regarding the Issuer's policies and practices and may be involved in the consideration of various proposals considered by the Issuer's board of directors. Additionally, as the Issuer's business plan is to enter into a business combination, Mr. Mahuad and Mr. Otero, as Co-Chairmen and Co-Chief Executive Officers of the Issuer, are actively involved in pursuing a suitable target for the Issuer's business combination and will be actively involved in effecting any such business combination if the Issuer's business plan is successful, which may also result in a change in the Issuer's board of directors, corporate structure or charter.\n\nAs of the date of this Schedule 13D, except as set forth in this Schedule 13D above, the reporting persons do not have any plans or proposals which would result in:\n\n(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;\n(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;\n(c) A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries;\n(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of the board of directors or management of the Issuer;\n(e) Any material change in the present capitalization or dividend policy of the Issuer;\n(f) Any other material change in the Issuer's business or corporate structure;\n(g) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;\n(h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;\n(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or\n(j) Any action similar to any of those actions enumerated above.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2104260/000119312526220248/0001193125-26-220248-index.html" }, { "accession_no": "0001193125-26-220028", "submission_type": "SCHEDULE 13D/A", "amendment_no": 9, "issuer_cik": 1925309, "issuer_name": "SIXTH STREET LENDING PARTNERS", "issuer_cusip": "000000000", "securities_class_title": "Common shares of beneficial interest, par value $0.001 per share", "date_of_event": "2026-05-08", "filed_date": "2026-05-12", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\n\"In connection with the Board's declaration of certain dividends on March 31, 2026, pursuant to the Reporting Person's participation in the DRIP, the Reporting Person acquired an additional 259,631 Shares on May 8, 2026. No additional cash was paid by the Reporting Person in connection with the acquisition of these additional Shares.\"", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1925309/000119312526220028/0001193125-26-220028-index.html" }, { "accession_no": "0001140361-26-020892", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1787621, "issuer_name": "KKR Asset-Based Finance Fund", "issuer_cusip": "48254B107", "securities_class_title": "Class I Shares of Beneficial Interest, $0.001 par value", "date_of_event": "2026-05-08", "filed_date": "2026-05-12", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn May 8, 2026, in connection with the Reorganization, Global Atlantic Limited (Delaware), an indirect, wholly owned subsidiary of KKR Group Partnership L.P., transferred 1,600,000 Shares of the Issuer to KKR Alternative Assets LLC, another indirect, wholly owned subsidiary of KKR Group Partnership L.P., for an aggregate of $36,240,000.00. KKR Alternative Assets LLC used working capital to purchase the Shares.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1787621/000114036126020892/0001140361-26-020892-index.html" }, { "accession_no": "0001104659-26-059496", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1836564, "issuer_name": "Valneva SE", "issuer_cusip": "92025Y103", "securities_class_title": "Ordinary Shares, nominal value EUR0.15 per share", "date_of_event": "2026-05-05", "filed_date": "2026-05-12", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows:\n\nCDC Croissance used working capital for the purchases of Ordinary Shares reported in this Amendment.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nThe Issuer completed an EUR84 million reserved offering subscribed by a limited number of investors which is expected to close on May 5, 2026 (the \"Reserved Offering\"). In the Reserved Offering, the Issuer issued 15,893,817 new ordinary shares (the \"New Shares\"), and one share warrant is attached to each New Share. The Reporting Persons did not participate in the Reserved Offering. The New Shares issued in the Reserved Offering represented an increase in the share capital of the Issuer which resulted in a dilution of the Reporting Persons' holdings.\n\nIn the past 60 days, Bpifrance Participations sold 356,003 Ordinary Shares. Bpifrance Participations sold the amount of Ordinary Shares on the date and at the price set forth below in open market transactions. Unless otherwise noted, the sales of the Ordinary Shares were sold in multiple transactions at varying prices. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this Schedule 13D.\n\nMarch 10, 2026:\n\n- 226,532 Ordinary Shares at a weighted average price of EUR4.93 per share (multiple transactions at prices ranging from EUR4.85 to EUR5.03, inclusive).\n\nMarch 11, 2026:\n\n- 5,318 Ordinary Shares at a weighted average price of EUR4.96 per share (multiple transactions at prices ranging from EUR4.90 to EUR4.96, inclusive).\n\nMarch 18, 2026:\n\n- 124,153 Ordinary Shares at a weighted average price of EUR4.94 per share (multiple transactions at prices ranging from EUR4.85 to EUR5.00, inclusive).\n\nSince the filing of Amendment No. 4, CDC Croissance has acquired 130,000 Ordinary Shares and sold 289,645 Ordinary Shares. CDC Croissance purchased and sold the amount of Ordinary Shares on the date and at the price set forth below in open market transactions. Unless otherwise noted, the purchases and sales of the Ordinary Shares were purchased or sold in multiple transactions at varying prices. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this Schedule 13D.\n\nPurchased Ordinary Shares\n\nMarch 9, 2026:\n\n- 78,518 Ordinary Shares at a weighted average price of EUR4.51 per share (multiple transactions at prices ranging from EUR4.43 to EUR4.60, inclusive).\n\nMarch 12, 2026:\n\n- 51,482 Ordinary Shares at a weighted average price of EUR4.54 per share (multiple transactions at prices ranging from EUR4.49 to EUR4.60, inclusive).\n\nSold Ordinary Shares\n\nMarch 30, 2026:\n\n- 289,645 Ordinary Shares at a weighted average price of EUR2.81 per share (multiple transactions at prices ranging from EUR2.75 to EUR2.88, inclusive).\n\nAll of the Ordinary Shares that are held of record by the Reporting Persons as reported herein were acquired for investment purposes. The Reporting Persons retain the right to change their investment intent, from time to time to acquire additional Ordinary Shares or other securities of the Issuer, or to sell or otherwise dispose of all or part of the Ordinary Shares or other securities of the Issuer, if any, beneficially owned by them, in any manner permitted by law. The Reporting Persons may engage from time to time in ordinary course transactions with financial institutions with respect to the securities described herein.\n\nExcept as set forth above, none of the Reporting Persons currently has any plans or proposals which would be related to or would result in any of the matters described in Items 4(a)-(j) of the Instructions to Schedule 13D. However, as part of the ongoing evaluation of investment and investment alternatives, the Reporting Persons may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the board of directors of the Issuer or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1836564/000110465926059496/0001104659-26-059496-index.html" }, { "accession_no": "0001104659-26-059033", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1674862, "issuer_name": "Ashland Inc.", "issuer_cusip": "044186104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-12", "item3_funds_source": "Item 3 is amended and supplemented by adding the following:\n\nThe Shares reported in this Amendment were purchased by Standard Latitude Master in open market purchases using its working capital. The total purchase price for the Shares reported herein was $185,427,584.24, including brokerage commissions. All or part of the Shares owned by the Reporting Persons may from time to time be pledged with one or more banking institutions or brokerage firms as collateral for loans made by such bank(s) or brokerage firm(s) to the Reporting Persons. Such indebtedness may be refinanced with other banks or broker dealers.", "item4_transaction_purpose": "Item 4 is amended and supplemented by adding the following:\n\nThe Reporting Persons acquired additional Shares as disclosed in Item 5(c) below because they believe the Shares represent an attractive investment opportunity.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1674862/000110465926059033/0001104659-26-059033-index.html" }, { "accession_no": "0001104659-26-058902", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1722606, "issuer_name": "Metalla Royalty & Streaming Ltd.", "issuer_cusip": "59124U605", "securities_class_title": "Common Shares, without par value", "date_of_event": "2026-05-07", "filed_date": "2026-05-12", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1722606/000110465926058902/0001104659-26-058902-index.html" }, { "accession_no": "0000902664-26-002393", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1529274, "issuer_name": "ALKAMI TECHNOLOGY, INC.", "issuer_cusip": "01644J108", "securities_class_title": "Common Stock, par value $0.001 per share", "date_of_event": "2026-05-12", "filed_date": "2026-05-12", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 is hereby amended and supplemented as follows:\n\nThe Reporting Person reduced its ownership of the Issuer to below the reporting threshold to allow for private discussions with the Board regarding specific potential value maximizing opportunities.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1529274/000090266426002393/0000902664-26-002393-index.html" }, { "accession_no": "0000897101-26-000164", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 811922, "issuer_name": "MFS GOVERNMENT MARKETS INCOME TRUST", "issuer_cusip": "552939100", "securities_class_title": "Common Stock", "date_of_event": "2026-05-11", "filed_date": "2026-05-12", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/811922/000089710126000164/0000897101-26-000164-index.html" }, { "accession_no": "0001213900-26-054460", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1733868, "issuer_name": "CNFinance Holdings Ltd.", "issuer_cusip": "18979T105", "securities_class_title": "Class A Ordinary Shares, par value US$0.0001 per share", "date_of_event": "2026-05-06", "filed_date": "2026-05-11", "item3_funds_source": "The information set forth in Item 4, Item 5 and Item 6 is hereby incorporated by reference into this Item 3.\n\nThe aggregate consideration for the acquisition of Ordinary Shares described in Item 5 was US$200,000. The transaction was funded by Kylin Investment Holdings Limited with its working capital.", "item4_transaction_purpose": "The Reporting Persons acquired beneficial ownership of the Ordinary Shares as described in this Schedule 13D for investment purposes. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Each Reporting Person may in the future take such actions with respect to its investment in the Issuer as it deems appropriate, including changing its current intentions, with respect to any or all matters required to be disclosed in this Schedule 13D, depending on various factors, including but not limited to the Issuer's business, prospects, financial position and strategic direction, price levels of the Ordinary Shares, conditions in the securities markets, and general economic and industry conditions. Consistent with the Reporting Persons' investment purposes, the Reporting Persons may engage in communications with, without limitation, one or more shareholders of the Issuer, management of the Issuer or one or more members of the board of directors of the Issuer, and may make suggestions concerning the Issuer's operations, prospects, business and financial strategies, strategic direction and transactions, assets and liabilities, business and financing alternatives and such other matters as the Reporting Person may deem relevant to their investment in the Ordinary Shares. The Reporting Person expects that they will, from time to time, review their investment position in the Issuer and may make additional purchases of Ordinary Shares (or other securities convertible or exercisable into Ordinary Shares) in the open market or in privately negotiated transactions, or hold or dispose of all or part of their investments in the Ordinary Shares, depending upon the Reporting Persons' evaluation of the Issuer's business, prospects, financial condition and strategic direction, the market for the Ordinary Shares, other opportunities available to the Reporting Persons, general economic conditions, stock market conditions and other factors. Except as set forth in this Item 4 or Item 6 below, the Reporting Persons have no present plans or proposals that relate to or that would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1733868/000121390026054460/0001213900-26-054460-index.html" }, { "accession_no": "0001193125-26-217628", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1582961, "issuer_name": "DigitalOcean Holdings, Inc.", "issuer_cusip": "25402D102", "securities_class_title": "Common Stock, $0.000025 par value", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1582961/000119312526217628/0001193125-26-217628-index.html" }, { "accession_no": "0001193125-26-217599", "submission_type": "SCHEDULE 13D/A", "amendment_no": 7, "issuer_cik": 1579091, "issuer_name": "Maplebear Inc.", "issuer_cusip": "565394103", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1579091/000119312526217599/0001193125-26-217599-index.html" }, { "accession_no": "0001193125-26-217594", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1579214, "issuer_name": "Emerald Holding, Inc.", "issuer_cusip": "29103W104", "securities_class_title": "Common Stock, par value $0.01 per share", "date_of_event": "2026-05-09", "filed_date": "2026-05-11", "item3_funds_source": "Not applicable", "item4_transaction_purpose": "On May 9, 2026, the Issuer entered into the Merger Agreement (as defined in Item 6 below) and the Issuer and the Reporting Persons entered into the Support Agreement (as defined in Item 6 below). The information set forth in Item 6 below is incorporated by reference to this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1579214/000119312526217594/0001193125-26-217594-index.html" }, { "accession_no": "0001193125-26-217469", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1109116, "issuer_name": "Entravision Communications Corporation", "issuer_cusip": "29382R107", "securities_class_title": "Class A Common Stock", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented to include the following:\n\nThe Reporting Persons sold an aggregate of 1,500,000 shares of Class A Common Stock as follows:\n\n1. On May 7, 2026, the Survivor's Trust sold an aggregate of 343,563 shares of Class A Common Stock in the open market at a weighted average price of $6.975 per share, for gross proceeds of approximately $2,396,352 (1);\n2. On May 7, 2026, the Ulloa Irrevocable Trust sold an aggregate of 333,585 shares of Class A Common Stock in the open market at a weighted average price of $6.968 per share, for gross proceeds of approximately $2,324,420 (2);\n3. On May 8, 2026, the Survivor's Trust sold an aggregate of 332,498 shares of Class A Common Stock in the open market at a weighted average price of $6.787 per share, for gross proceeds of approximately $2,256,663 (3);\n4. On May 8, 2026, the Ulloa Irrevocable Trust sold an aggregate of 166,415 shares of Class A Common Stock in the open market at a weighted average price of $6.604 per share, for gross proceeds of approximately $2,574,556 (4);\n5. On May 11, 2026, the Survivor's Trust sold an aggregate of 323,939 shares of Class A Common Stock in the open market at a weighted average price of $8.033 per share, for gross proceeds of approximately $2,602,202 (5);\n\n(1) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.59 to $7.53, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(2) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.59 to $7.36, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(3) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.20 to $7.15, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(4) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $6.20 to $7.12, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.\n(5) The price reported is a weighted average price. The shares of Class A Common Stock were sold in multiple transactions at prices ranging from $7.34 to $8.46, inclusive. The Reporting Person undertakes to provide upon request by the Staff of the SEC full information regarding the number of shares purchased or sold at each separate price.", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented to include the following:\nThe Survivor's Trust under the Ulloa Seros Family Trust currently intends to sell, subject to market conditions and other factors, up to 3,000,000 additional shares in the open market from time to time, for asset diversification, tax and estate planning purposes. Each Reporting Person intends to continuously review its respective investment in the Issuer, and reserves the right to change its plans at any time, as it deems appropriate. Accordingly, the Reporting Persons may acquire additional shares of Class A Common Stock in private or open market transactions, in each case for investment purposes, and may dispose of shares of Class A Common Stock in private or open market transactions or otherwise.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1109116/000119312526217469/0001193125-26-217469-index.html" }, { "accession_no": "0001193125-26-217467", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1818093, "issuer_name": "SkinHealth Systems Inc.", "issuer_cusip": "88331L108", "securities_class_title": "Class A Common Stock, par value $0.0001 per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1818093/000119312526217467/0001193125-26-217467-index.html" }, { "accession_no": "0001193125-26-217389", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1604464, "issuer_name": "Atara Biotherapeutics, Inc.", "issuer_cusip": "046513107", "securities_class_title": "Common Stock", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1604464/000119312526217389/0001193125-26-217389-index.html" }, { "accession_no": "0001193125-26-217343", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1345126, "issuer_name": "COMPASS DIVERSIFIED HOLDINGS", "issuer_cusip": "20451Q104", "securities_class_title": "Shares representing beneficial interests in Compass Diversified Holdings", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": "Item 3 is hereby amended and supplemented as follows:\n\n\"On May 7, 2026, the Reporting Persons expended approximately $15,900,000 to purchase call options referencing an aggregate of 3,000,000 Shares in an open market transaction. The funds used for the purchase of the securities reported in this Schedule 13D were derived from the general working capital of ADW Capital Partners, L.P.\"", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1345126/000119312526217343/0001193125-26-217343-index.html" }, { "accession_no": "0001193125-26-216973", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2114044, "issuer_name": "Hemab Therapeutics Holdings, Inc.", "issuer_cusip": "423494103", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-05-04", "filed_date": "2026-05-11", "item3_funds_source": "On February 15, 2023, AI DMAB acquired 114,435 series B preference shares of Hemab ApS (the \"Hemab ApS Series B Preferred Shares\"), at a per share price of $305.85 in cash, for an aggregate purchase price of $34,999,944.75. AI DMAB funded this purchase using capital contributed from affiliated entities, which funded that capital using cash on hand.\n\nOn October 23, 2025, AI DMAB acquired 57,217 series C preference shares of Hemab ApS (the \"Hemab ApS Series C Preferred Shares\"), at a per share price of $305.85 in cash, for an aggregate purchase price of $17,499,819.45. AI DMAB funded this purchase using capital contributed from affiliated entities, which funded that capital using cash on hand.\n\nOn March 30, 2026, pursuant to a Share Contribution and Exchange Agreement by and among the Issuer, Hemab ApS and the holders party thereto, AI DMAB contributed its Hemab ApS Series B Preferred Shares and Hemab ApS Series C Preferred Shares to the Issuer in exchange for 114,435 shares of series B preferred stock of the Issuer, par value $0.0001 per share (the \"Series B Preferred Stock\"), and 57,217 shares of series C preferred stock of the Issuer, par value $0.0001 per share (the \"Series C Preferred Stock\"), respectively. No cash consideration was paid by AI DMAB in connection with such exchange.\n\nUpon the completion of the Issuer's initial public offering on May 4, 2026, and after giving effect to the Issuer's 22-for-one stock split of the Issuer's issued and outstanding Common Stock, AI DMAB's 114,435 shares of Series B Preferred Stock automatically converted into 2,517,570 shares of Common Stock and AI DMAB's 57,217 shares of Series C Preferred Stock automatically converted into 1,258,774 shares of Common Stock, in each case for no consideration.\n\nOn May 4, 2026, AI DMAB purchased 1,100,000 shares of Common Stock in the Issuer's initial public offering at the public offering price of $18.00 per share. AI DMAB funded this purchase using capital contributed from affiliated entities, which funded that capital using cash on hand.", "item4_transaction_purpose": "The Reporting Persons who hold Common Stock directly acquired those securities as an investment in the regular course of their businesses. The Reporting Persons may engage in discussions with management, the Issuer's board of directors, other stockholders of the Issuer and other relevant parties concerning the business, operations, board composition, management, strategy and future plans of the Issuer. Subject to the terms of the Investors' Rights Agreement (as defined below), the Reporting Persons intend to re-examine their investment from time to time and, depending on prevailing market conditions, other investment opportunities, liquidity requirements or other investment considerations the Reporting Persons deem material, the Reporting Persons may from time to time acquire additional Common Stock in the open market, block trades, negotiated transactions, or otherwise and may also dispose of all or a portion of the Issuer's securities, in open market or privately negotiated transactions, and/or enter into derivative transactions with institutional counterparties with respect to the Issuer's securities, in each case, subject to limitations under applicable law. The Reporting Persons have not yet determined which, if any, of the above courses of action they may ultimately take. The Reporting Persons' future actions with regard to the Issuer are dependent on their evaluation of the factors listed above, circumstances affecting the Issuer in the future, including prospects of the Issuer, general market and economic conditions and other factors deemed relevant. The Reporting Persons reserve the right to determine in the future whether to change the purpose or purposes described above or whether to adopt plans or proposals of the type specified above or otherwise.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2114044/000119312526216973/0001193125-26-216973-index.html" }, { "accession_no": "0001193125-26-216730", "submission_type": "SCHEDULE 13D/A", "amendment_no": 6, "issuer_cik": 1866175, "issuer_name": "Crescent Energy Company", "issuer_cusip": "44952J104", "securities_class_title": "Class A Common Stock, Par Value of $0.0001 Per Share", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1866175/000119312526216730/0001193125-26-216730-index.html" }, { "accession_no": "0001193125-26-216046", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 2033362, "issuer_name": "Audax Private Credit Fund, LLC", "issuer_cusip": "000000000", "securities_class_title": "Limited Liability Company Interests, par value $0.001", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": "Item 3 of the Schedule 13D is hereby amended and supplemented as follows.\n\nThe information set forth in Item 5 is hereby incorporated by reference into this Item 3.\n\nAs of the date hereof, Audax Institutional Feeder, LP directly holds 6,666,054.314 Shares of the Issuer and Audax Private Credit Business, LP directly holds 242,330.733 Shares of the Issuer.\n\nOn April 10, 2025, Audax Institutional Feeder, LP entered into a subscription agreement with the Issuer (the \"Drawdown Subscription Agreement\"), pursuant to which Audax Institutional Feeder, LP subscribed for and agreed to purchase Shares with a capital commitment equal to up to $80,793,257.21, $52,547,508.88 of which has been drawn down to date.\n\nOn April 10, 2025, Audax Private Credit Business, LP entered into a Drawdown Subscription Agreement pursuant to which Audax Private Credit Business, LP subscribed for and agreed to purchase Shares with a capital commitment equal to up to $2,413,918.69, $1,570,000.00 of which has been drawn down to date.\n\nOn April 1, 2026, the Issuer delivered a capital drawdown notice to each of Audax Institutional Feeder, LP and Audax Private Credit Business, LP, pursuant to which each of Audax Institutional Feeder, LP and Audax Private Credit Business, LP was obligated to make a capital contribution to purchase 677,882.101 and 20,253.575 Shares, respectively, at $24.687 per Share which represents the net asset value (\"NAV\") per Share as of March 31, 2026. The purchase closed on May 7, 2026 when the NAV was finalized for a Share issuance effective as of May 7, 2026.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/2033362/000119312526216046/0001193125-26-216046-index.html" }, { "accession_no": "0001104659-26-058726", "submission_type": "SCHEDULE 13D/A", "amendment_no": 33, "issuer_cik": 879169, "issuer_name": "Incyte Corp", "issuer_cusip": "45337C102", "securities_class_title": "Common Stock, $0.001 par value per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": "Item 3 of Schedule 13D is supplemented and amended, as the case may be, as follows:\n\nThe disclosure in Item 4 below is incorporated herein by reference.", "item4_transaction_purpose": "Item 4 of Schedule 13D is supplemented and superseded, as the case may be, as follows:\n\nOn May 8, 2026 the Adviser acquired beneficial ownership of 15,000 shares of common stock (\"Common Stock\") of Incyte Corporation (the \"Issuer\"), as a result of the exercise of 15,000 options to purchase Common Stock at $84.53 per share (the \"Exercised Stock Options\") held directly by Julian C. Baker. Julian C. Baker currently serves on the Issuer's board of directors (the \"Board\") as a representative of the Funds. The policy of the Funds and the Adviser does not permit managing members of the Adviser GP or full-time employees of the Adviser to receive compensation for serving as directors of the Issuer, and the Funds are instead entitled to the pecuniary interest in the Exercised Stock Options. Julian C. Baker, as an agent in his capacity as a director of the Issuer, entered into a proceeds agreement (the \"Proceeds Agreement\") with the Adviser on May 7, 2026. Pursuant to the Proceeds Agreement, Julian C. Baker agreed that, with respect to the Exercised Stock Options and the Common Stock received as a result of the exercise of the Exercised Stock Options on May 8, 2026, the Adviser will have dispositive power as well as the ability to control the timing of exercise of the Exercised Stock Options and that any proceeds from the sale of the Common Stock will be remitted to the Adviser net of brokerage commissions. Other than through their control of the Adviser, Felix J. Baker and Julian C. Baker have neither voting nor dispositive power over and have no direct pecuniary interest in the Exercised Stock Options or the Common Stock. Pursuant to the Proceeds Agreement, the Adviser funded Julian C. Baker's exercise of the Exercised Stock Options through loans from 667 and Life Sciences. The total amount expended on acquiring the Common Stock was $1,267,950.\n\nThe foregoing description of the Proceeds Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Proceeds Agreement, which is filed as Exhibit 99.2 and is incorporated herein by reference.\n\nIn order to effect the exercise of the Exercised Stock Options, on May 8, 2026, the Adviser drew down $106,395 for the purpose of acquiring Common Stock for 667 from a revolving note (the \"667 Revolver\"). The 667 Revolver is due on May 1, 2053, or earlier if the Common Stock (or any portion thereof) is sold, with interest accruing on each draw at the long-term applicable federal rate in effect on the date of such draw (4.62% per annum with respect to the May 7, 2026 draw). The Adviser also drew down $1,161,555 for the purpose of acquiring Common Stock for Life Sciences from a revolving note (the \"LS Revolver\"). The LS Revolver is due on May 1, 2053, or earlier if the Common Stock (or any portion thereof) is sold, with interest accruing on each draw at the long-term applicable federal rate in effect on the date of such draw (4.62% per annum with respect to the May 7, 2026 draw).\n\nThe foregoing descriptions of the 667 Revolver and the LS Revolver do not purport to be complete and are qualified in their entirety by reference to the full texts of the 667 Revolver and LS Revolver, which are filed as Exhibit 99.3 and incorporated by reference as Exhibit 99.4, respectively, and are incorporated herein by reference.\n\n The Funds hold securities of the Issuer for investment purposes. The Reporting Persons or their affiliates may purchase additional securities of the Issuer or dispose of securities in varying amounts and at varying times depending upon the Reporting Persons' continuing assessments of pertinent factors, including the availability of shares of Common Stock or other securities for purchase at particular price levels, the business prospects of the Issuer, other business investment opportunities, economic conditions, stock market conditions, money market conditions, the attitudes and actions of the Board and management of the Issuer, the availability and nature of opportunities to dispose of securities of the Issuer and other plans and requirements of the particular entities. The Reporting Persons may discuss items of mutual interest with the Issuer's management, other members of the Board and other investors, which could include items in subparagraphs (a) through (j) of Item 4 Schedule 13D.\n\nDepending upon their assessments of the above factors, the Reporting Persons or their affiliates may change their present intentions as stated above and they may make suggestions to the management of the Issuer regarding financing, and may acquire additional securities of the Issuer, including shares of Common Stock (by means of open market purchases, privately negotiated purchases, exercise of some or all of the Stock Options (as defined in Item 5), vesting of RSUs or otherwise) or may dispose of some or all of the securities of the Issuer, including shares of Common Stock, under their control.\n\nExcept as otherwise disclosed herein, at the present time, the Reporting Persons do not have any plans or proposals with respect to any extraordinary corporate transaction involving the Issuer including, without limitation, those matters described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/879169/000110465926058726/0001104659-26-058726-index.html" }, { "accession_no": "0001104659-26-058492", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1956827, "issuer_name": "Abivax S.A.", "issuer_cusip": "00370M103", "securities_class_title": "Ordinary Shares, par value EUR0.01 per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": "The 42,755 ADSs were acquired in exchange for royalty certificates held by SC pursuant to the Purchase Agreement, dated May 4, 2026 (as further defined below).", "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nOn May 4, 2026, SC, among various other shareholders, entered into a Purchase Agreement with the Issuer to repurchase royalty certificates issued to SC, and the other shareholders, on September 7, 2022. The Issuer repurchased the royalty certificates in full by paying an aggregate consideration of $90.0 million, $45.0 million of which was paid in cash and $45.0 million was paid in shares through the issuance of 403,347 ordinary shares, including in the form of ADS in a private placement (the \"Private Placement\"). In the Private Placement, SC received 42,755 ADSs. On May 7, 2026, the Issuer registered the offering and resale of the ADSs.\n\nIn addition to the Private Placement, Mr. Hong no longer serves as a member of the Board of Directors of the Issuer and no longer has influence over the corporate activities of the Issuer. Mr. Hong is no longer entitled to receive cash attendance fees.\n\nAll of the Ordinary Shares that are held of record by the Reporting Persons as reported herein were acquired for investment purposes. The Reporting Persons retain the right to change their investment intent, from time to time to acquire additional Ordinary Shares or other securities of the Issuer, or to sell or otherwise dispose of all or part of the Ordinary Shares or other securities of the Issuer, if any, beneficially owned by them, in any manner permitted by law. The Reporting Persons may engage from time to time in ordinary course transactions with financial institutions with respect to the securities described herein.\n\nExcept as set forth above, none of the Reporting Persons currently has any plans or proposals which would be related to or would result in any of the matters described in Items 4(a)-(j) of the Instructions to Schedule 13D. However, as part of the ongoing evaluation of investment and investment alternatives, the Reporting Persons may consider such matters and, subject to applicable law, may formulate a plan with respect to such matters, and, from time to time, may hold discussions with or make formal proposals to management or the board of directors of the Issuer or other third parties regarding such matters.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1956827/000110465926058492/0001104659-26-058492-index.html" }, { "accession_no": "0001062993-26-002476", "submission_type": "SCHEDULE 13D/A", "amendment_no": 33, "issuer_cik": 1864843, "issuer_name": "BlackRock ESG Capital Allocation Term Trust", "issuer_cusip": "09262F100", "securities_class_title": "Common Shares, $0.001 par value", "date_of_event": "2026-05-08", "filed_date": "2026-05-11", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $300,116,072 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1864843/000106299326002476/0001062993-26-002476-index.html" }, { "accession_no": "0001062993-26-002475", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 1350869, "issuer_name": "Clough Global Opportunities Fund", "issuer_cusip": "18914E106", "securities_class_title": "Common Shares, no par value", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": "Funds for the purchase of the Common Shares were derived from the subscription proceeds from investors and the capital appreciation thereon and margin account borrowings made in the ordinary course of business. In such instances, the positions held in the margin accounts are pledged as collateral security for the repayment of debit balances in the account, which may exist from time to time. Since other securities are held in the margin accounts, it is not possible to determine the amounts, if any, of margin used to purchase the Common Shares reported herein. A total of approximately $18,336,822 was paid to acquire the Common Shares reported herein.", "item4_transaction_purpose": "Not Applicable.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1350869/000106299326002475/0001062993-26-002475-index.html" }, { "accession_no": "0001011438-26-000275", "submission_type": "SCHEDULE 13D/A", "amendment_no": 10, "issuer_cik": 1818331, "issuer_name": "GeneDx Holdings Corp.", "issuer_cusip": "81663L200", "securities_class_title": "Class A common stock, par value $0.0001 per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": "The information set forth in Item 5(c) is hereby incorporated by reference into this Item 3. Such Shares reported as purchased in Item 5(c) were purchased with the working capital of investment funds advised by Corvex Management LP. The information in the Form 4 filed with the SEC by Keith Meister and Corvex Management LP on March 5, 2026, is incorporated herein by reference. The Shares reported as purchased in such Form 4 were purchased with the working capital of investment funds advised by Corvex Management LP.\r\n\r\nCorvex Management LP may effect purchases of securities through margin accounts maintained for investment funds advised by Corvex Management LP with brokers, which extend margin credit as and when required to open or carry positions in their margin accounts, subject to applicable federal margin regulations, stock exchange rules and such firms' credit policies. Positions in Shares may be held in margin accounts and may be pledged as collateral security for the repayment of debit balances in such accounts.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1818331/000101143826000275/0001011438-26-000275-index.html" }, { "accession_no": "0000950142-26-001350", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2042347, "issuer_name": "Seaport Therapeutics, Inc.", "issuer_cusip": "81221K108", "securities_class_title": "Common stock, par value $0.0001 per share", "date_of_event": "2026-05-04", "filed_date": "2026-05-11", "item3_funds_source": "In connection with the closing of the initial public offering (the \"IPO\") of the Company on May 4, 2026, 10,526,315 shares of Series B convertible preferred stock of the Company held directly by GA SP automatically converted into 3,351,582 shares of common stock of the Company.\n\nGA SP purchased 2,750,000 shares of common stock at a price of $18.00 per share in the IPO. The funds to purchase the shares of common stock were obtained from contributions from the GA Funds and Sponsor Coinvestment Funds.", "item4_transaction_purpose": "The Reporting Persons acquired the common stock reported herein for investment purposes. Consistent with such purposes, the Reporting Persons may engage in communications with, without limitation, one or more shareholders of the Company, management of the Company, one or more members of the board of directors of the Company, and may make suggestions concerning the Company's operations, prospects, business and financial strategies, strategic transactions, assets and liabilities, business and financing alternatives, the composition of the board of directors of the Company and such other matters as the Reporting Persons may deem relevant to their investment in the common stock.\n\nThe Reporting Persons expect that they will, from time to time, review their investment position in the common stock or the Company and may, depending on the Company's performance and other market conditions, increase or decrease their investment position in the common stock. The Reporting Persons may, from time to time, make additional purchases of common stock either in the open market or in privately-negotiated transactions, depending upon the Reporting Persons' evaluation of the Company's business, prospects and financial condition, the market for the common stock, other opportunities available to the Reporting Persons, general economic conditions, stock market conditions and other factors. Depending upon the factors noted above, the Reporting Persons may also decide to hold or dispose of all or part of their investments in the common stock and/or enter into derivative transactions with institutional counterparties with respect to the Company's securities, including the common stock.\n\nExcept as set forth in this Item 4 or Item 6 below, the Reporting Persons have no present plans or proposals that relate to, or that would result in, any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Exchange Act.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2042347/000095014226001350/0000950142-26-001350-index.html" }, { "accession_no": "0000950142-26-001345", "submission_type": "SCHEDULE 13D/A", "amendment_no": 4, "issuer_cik": 1501796, "issuer_name": "Aura Biosciences, Inc.", "issuer_cusip": "05153U107", "securities_class_title": "Common Stock, par value $0.00001 per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1501796/000095014226001345/0000950142-26-001345-index.html" }, { "accession_no": "0000950103-26-007076", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 1920406, "issuer_name": "Strive, Inc.", "issuer_cusip": "862945300", "securities_class_title": "Class A Common Stock, $0.001 par value", "date_of_event": "2026-04-20", "filed_date": "2026-05-11", "item3_funds_source": "Mr. Ramaswamy acquired Class B Common Stock, par value $0.001 per share (\"Class B Common Stock\" and, together with Class A Common Stock, \"Common Stock\"), of the Issuer pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated as of June 27, 2025, by and among the Issuer (f.k.a., Asset Entities Inc.), Strive Enterprises, Inc. (\"Strive Enterprises\") and Alpha Merger Sub Inc. (\"Merger Sub\"), pursuant to which Strive Enterprises merged with and into Merger Sub (the \"Merger\"), with Strive Enterprises surviving the Merger. At the closing of the Merger, the equity Mr. Ramaswamy held in Strive Enterprises was cancelled and converted into the right to receive shares of Class B Common Stock. Class B Common Stock is convertible, at the holder's option and under certain other circumstances, into Class A Common Stock. Following the Merger, Matthew Cole, Chief Executive Officer of the Issuer, transferred a portion of the Class B Common Stock that he acquired in connection with the Merger to Virtuous Industries.", "item4_transaction_purpose": "Mr. Ramaswamy originally acquired the securities reported herein as a result of or in connection with the Merger. Mr. Ramaswamy previously reported his beneficial ownership of the Class A Common Stock on a joint Schedule 13D filed with certain other shareholders of the Issuer who together were parties to the Shareholders Agreement, dated September 12, 2025, by and among the Issuer and the shareholders party thereto (the \"Shareholders Agreement\"). On April 20, 2026, as a result of sales of Class A Common Stock by the Issuer pursuant to the Issuer's at-the-market equity offering program, the shareholder parties to the Shareholders Agreement ceased to beneficially own, in the aggregate, Company Shares (as defined in the Shareholders Agreement) representing at least 50% of the voting power of the outstanding Company Shares. Pursuant to Section 4.03(i) of the Shareholders Agreement, the Shareholders Agreement automatically terminated in accordance with its terms on that date, and the reporting persons under the prior joint Schedule 13D ceased to constitute a \"group\" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\"), and Rule 13d-5(b) thereunder. Amendment No. 5 to the prior joint Schedule 13D was filed on May 11, 2026 to report the foregoing. This Schedule 13D is being filed by the Reporting Persons to report his continued beneficial ownership of more than 5% of the outstanding Class A Common Stock following the dissolution of the prior group. The Reporting Persons do not have, as of the date of this Schedule 13D, any plans or proposals that relate to or would result in any of the actions or events specified in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons may change their plans or proposals in the future. In determining whether to sell shares of Common Stock reported as beneficially owned in this Schedule 13D (and in what amounts), to retain such securities or to purchase additional securities, the Reporting Persons will take into consideration such factors as they deem relevant, including existing and anticipated market conditions from time to time, general economic conditions and regulatory matters, among other things. The Reporting Persons reserve the right to change their intentions with respect to any or all matters referred to in this Item 4.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1920406/000095010326007076/0000950103-26-007076-index.html" }, { "accession_no": "0000950103-26-007074", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1920406, "issuer_name": "Strive, Inc.", "issuer_cusip": "862945300", "securities_class_title": "Class A Common Stock, $0.001 par value", "date_of_event": "2026-04-20", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": "Item 4 of the Schedule 13D is hereby amended and supplemented as follows:\n\nThe disclosures set forth in Item 1 above and Item 6 below regarding the termination of the Shareholders Agreement and the resulting dissolution of the group are incorporated by reference into this Item 4.\n\nExcept as set forth herein or as previously disclosed in the Schedule 13D, none of the Reporting Persons has any present plans or proposals that relate to, or would result in, any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. Each Reporting Person may, from time to time and at any time, depending upon various factors, including market and general economic conditions, subsequent developments affecting the Issuer, and such Reporting Person's view of the Issuer's business prospects and financial condition, formulate other purposes, plans or proposals regarding the Issuer or its securities, or take any other action with respect to the Issuer or its securities in any manner permitted by law.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1920406/000095010326007074/0000950103-26-007074-index.html" }, { "accession_no": "0000937797-26-000007", "submission_type": "SCHEDULE 13D/A", "amendment_no": 1, "issuer_cik": 1712184, "issuer_name": "Liberty Latin America Ltd.", "issuer_cusip": "G9001E102", "securities_class_title": "Class A common shares, par value $0.01 per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-11", "item3_funds_source": "The information contained in Item 3 of the Original Statement is hereby amended and supplemented to include the following information:\n\nOn May 11, 2026, GCI Liberty, Inc. (\"GCIL\") announced that it had accepted the Reporting Person's offer to purchase GCIL's 6% equity interest in the Issuer, including 61,059 Class A common shares, for $8.63 per share in cash. The Reporting Person will use cash on hand for the acquisition. The Reporting Person and GCIL intend to complete the acquisition as soon as practicable.", "item4_transaction_purpose": "Item 4 of the Original Statement is hereby amended and supplemented to include the following information:\n\nOn May 11, 2026, GCIL announced that, following unexpected obstacles to completing a larger, more strategic transaction relating to the Issuer, the Reporting Person, GCIL's Chairman of the Board, has determined to terminate the discussions with GCIL that were announced by GCIL and the Issuer on May 6, 2026 regarding further acquisitions of his interests in the Issuer and has offered to acquire GCIL's 6% equity interest in the Issuer at the same price paid by GCIL last month. The GCIL Board of Directors has accepted this offer. The Reporting Person holds and has acquired the shares of Issuer described herein for investment purposes. Other than as described herein, the Reporting Person does not have any present plans or proposals which relate to or would result in: (i) any acquisition by any person of additional securities of the Issuer, or any disposition of securities of the Issuer; (ii) any extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (iii) any sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (iv) any change in the Board or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any vacancies on the Board; (v) any material change in the present capitalization or dividend policy of the Issuer; (vi) any other material change in the Issuer's business or corporate structure; (vii) any change in the Issuer's charter or bylaws or other actions which may impede the acquisition of control of the Issuer by any person; (viii) any delisting from a national securities exchange or any loss of authorization for quotation in an inter-dealer quotation system of a registered national securities association of a class of securities of the Issuer; (ix) any termination of registration pursuant to Section 12(g)(4) of the Act, of a class of equity securities of the Issuer; or (x) any action similar to any of those enumerated above. Notwithstanding the foregoing, the Reporting Person may determine to change his intentions with respect to the Issuer at any time in the future and may, for example, elect (i) to acquire additional securities of the Issuer or (ii) to dispose of all or a portion of his holdings of securities of the Issuer. In reaching any determination as to his future course of action, the Reporting Person may take into consideration various factors, such as the Issuer's business and prospects, other developments concerning the Issuer, other business opportunities available to the Reporting Person, tax and estate planning considerations, liquidity needs and general economic and stock market conditions, including, but not limited to, the market price of the Issuer's securities.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1712184/000093779726000007/0000937797-26-000007-index.html" }, { "accession_no": "0000921895-26-001224", "submission_type": "SCHEDULE 13D/A", "amendment_no": 2, "issuer_cik": 1016838, "issuer_name": "RADCOM LTD", "issuer_cusip": "M81865111", "securities_class_title": "Ordinary Shares, NIS 0.20 par value per share", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe source of the capital to purchase securities of the Issuer reported herein was Lynrock Fund's (as defined below) working capital, consisting of contributions from its general and limited partners (and which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business). The aggregate purchase price of the 2,625,006 Ordinary Shares reported herein is approximately $28,572,087, including brokerage commissions.", "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/1016838/000092189526001224/0000921895-26-001224-index.html" }, { "accession_no": "0000921895-26-001219", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 78814, "issuer_name": "PITNEY BOWES INC /DE/", "issuer_cusip": "724479100", "securities_class_title": "Common Stock, $1 par value per share", "date_of_event": "2026-05-11", "filed_date": "2026-05-11", "item3_funds_source": "Item 3 is hereby amended and restated to read as follows:\n\nThe Shares beneficially owned directly by Hestia Capital and held in the SMAs were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases and acquired pursuant to an internal transfer from Helios, a fund managed by Hestia LLC, to Hestia Capital. The aggregate purchase price of the 5,638,798 Shares directly owned by Hestia Capital is approximately $33,389,578, including brokerage commissions. The aggregate purchase price of the 363,853 Shares held in the SMAs is approximately $1,306,159, including brokerage commissions.\n\nOf the 294,404 Shares beneficially owned by Mr. Wolf, 64,695 Shares were received in connection with his service as a director of the Issuer and 229,709 Shares are underlying certain of the Options (as defined in Amendment No. 9 to the Schedule 13D) that were received in connection with his service as CEO of the Issuer that will vest within 60 days from the date hereof.", "item4_transaction_purpose": "Item 4 is hereby amended to add the following:\n\nHestia LLC plans to distribute approximately 1.5 million Shares to limited partners (the \"Limited Partner Transfer\"). This includes a distribution of approximately 1.1 million Shares to Mr. Wolf.\n\nHestia LLC's decision to undertake the Limited Partner Transfer and the sales reported herein was made, in part, to align Hestia LLC's portfolio with Hestia LLC's current views on position diversification and sizing.\n\nGiven his confidence in the Issuer's long-term value creation prospects, Mr. Wolf intends to retain a sizable personal stake in the Issuer.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/78814/000092189526001219/0000921895-26-001219-index.html" }, { "accession_no": "0000921895-26-001213", "submission_type": "SCHEDULE 13D/A", "amendment_no": 12, "issuer_cik": 946394, "issuer_name": "Ellomay Capital Ltd.", "issuer_cusip": "M39927120", "securities_class_title": "Ordinary Shares, NIS 10.00 par value per share", "date_of_event": "2026-03-04", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/946394/000092189526001213/0000921895-26-001213-index.html" }, { "accession_no": "0000919574-26-002832", "submission_type": "SCHEDULE 13D/A", "amendment_no": 5, "issuer_cik": 1679049, "issuer_name": "International Seaways, Inc.", "issuer_cusip": "Y41053102", "securities_class_title": "Common Stock, no par value", "date_of_event": "2026-05-08", "filed_date": "2026-05-11", "item3_funds_source": "There are no material changes to the Schedule 13D.", "item4_transaction_purpose": "There are no material changes to the Schedule 13D.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/1679049/000091957426002832/0000919574-26-002832-index.html" }, { "accession_no": "0000897101-26-000160", "submission_type": "SCHEDULE 13D/A", "amendment_no": 3, "issuer_cik": 826735, "issuer_name": "MFS INTERMEDIATE INCOME TRUST", "issuer_cusip": "55273C107", "securities_class_title": "Common Stock", "date_of_event": "2026-05-07", "filed_date": "2026-05-11", "item3_funds_source": null, "item4_transaction_purpose": null, "edgar_url": "https://www.sec.gov/Archives/edgar/data/826735/000089710126000160/0000897101-26-000160-index.html" }, { "accession_no": "0000869178-26-000036", "submission_type": "SCHEDULE 13D", "amendment_no": null, "issuer_cik": 2095816, "issuer_name": "VanEck CLO Opportunities Fund", "issuer_cusip": "92107P756", "securities_class_title": "Class I Common Shares of Beneficial Interest, no par value", "date_of_event": "2026-05-01", "filed_date": "2026-05-11", "item3_funds_source": "The Reporting Person's beneficial ownership of Shares of the Issuer arises from two separate transactions:\n\nInitial Seed Purchase (Section 14). Prior to the commencement of the Issuer's public offering, VEAC acquired 4,000 Class I Shares at a price of $25.00 per Share, for an aggregate purchase price of $100,000, pursuant to a Purchase Agreement between the Issuer and VEAC dated February 18, 2026 (the \"Purchase Agreement\"), as required by Section 14(a) of the 1940 Act to serve as seed money for the Fund prior to the commencement of the public offering of its Shares.\n\nLaunch Seed Investment. On May 1, 2026, in connection with the commencement of the Issuer's continuous public offering (the \"Offering\"), VEAC purchased an additional 996,000 Class I Shares at a price of $25.00 per Share, for an aggregate purchase price of $24,900,000 (the \"Seed Investment\"), to provide initial operating capital for the Issuer and to support the launch of the Issuer's investment program.\n\nFollowing both transactions, VEAC holds an aggregate of 1,000,000 Class I Shares, representing an aggregate investment of $25,000,000. The source of funds for both transactions was the working capital of the Reporting Person.", "item4_transaction_purpose": "The Reporting Person acquired the Shares described in Item 3 above (i) to satisfy the initial capitalization requirements of Section 14(a) of the 1940 Act prior to the commencement of the Issuer's public offering, and (ii) to provide working capital to support the launch of the Issuer as a continuously offered, non-exchange-listed, closed-end management investment company operating as an interval fund that invests primarily in collateralized loan obligations (\"CLOs\") and related instruments. The Reporting Person serves as the investment adviser to the Issuer pursuant to the Investment Advisory Agreement and, in that capacity, acquired the Shares to facilitate the commencement of the Issuer's investment operations.\n\nWith respect to the Initial Seed Purchase, the capital was provided with a bona fide investment purpose, without present intention to dispose of the Shares. With respect to the Launch Seed Investment, the Reporting Person intends to hold the Shares on a temporary basis as seed capital. Any repurchases of the Reporting Person's Shares will be made on the same terms and subject to the same limitations as other shareholders. The Reporting Person does not currently intend to acquire additional Shares beyond those already acquired, although it reserves the right to do so.\n\nThe Reporting Person may engage with the Issuer's Board of Trustees in its capacity as investment adviser on matters relating to the Issuer's operations, investment strategy, and management in the ordinary course of its advisory relationship. Because the Shares are not listed on a national securities exchange and no secondary market for the Shares is expected to develop, any disposition of the Reporting Person's Shares would be subject to the Issuer's quarterly repurchase program and the terms of the Issuer's Declaration of Trust and other governing documents.\n\nExcept as described herein, the Reporting Person does not currently have any plans or proposals that relate to or would result in any of the actions or events specified in Items 4(a) through 4(j) of Schedule 13D.\n\nThe Reporting Person reserves the right to change its intentions with respect to any of the matters described herein and will file any required amendments to this Schedule 13D in accordance with applicable SEC rules.", "edgar_url": "https://www.sec.gov/Archives/edgar/data/2095816/000086917826000036/0000869178-26-000036-index.html" } ], "reporting_persons": [ { "accession_no": "0000038777-26-000149", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "Franklin Resources, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 93329.0, "shared_voting_power": 0.0, "sole_dispositive_power": 93329.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 93329.0, "percent_of_class": 76.2, "type_of_reporting_person": "CO", "comment_content": "1. Consists of 93,329 Class S Shares of Common Stock held in a Franklin Resources, Inc. corporate account.\n\n2. Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 122,554 Class S Shares of Common Stock outstanding as of May 12, 2026.\n\n3.Shares outstanding changed on May 5, 2026 in Class S Shares Common Stock due to rebalancing between the different classes." }, { "accession_no": "0000038777-26-000149", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "Charles B. Johnson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000149", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "Rupert H. Johnson, Jr.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000150", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 85.9, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 87,347 Class I Shares of Common Stock outstanding as of May 12, 2026." }, { "accession_no": "0000038777-26-000150", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000150", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000150", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 85.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000164", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "Franklin Resources, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 93329.0, "shared_voting_power": 0.0, "sole_dispositive_power": 93329.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 93329.0, "percent_of_class": 70.7, "type_of_reporting_person": "CO", "comment_content": "1. Consists of 93,329 Class S Shares of Common Stock held in a Franklin Resources, Inc. corporate account.\n\n2. Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 132,086 Class S Shares of Common Stock outstanding as of May 20, 2026." }, { "accession_no": "0000038777-26-000164", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "Charles B. Johnson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000164", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "Rupert H. Johnson, Jr.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000166", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "Franklin Resources, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 30781546.0, "shared_voting_power": 0.0, "sole_dispositive_power": 30191544.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 30781546.0, "percent_of_class": 28.8, "type_of_reporting_person": "CO", "comment_content": "1. Consists of 6,682,751 Class I Shares of Common Stock held in a Franklin Resources, Inc. corporate account and 24,098,795 held for the benefit of fiduciary accounts managed by Franklin Resources Inc.'s investment management subsidiaries, including funds managed by Franklin Advisers, Inc.\n\n2. Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 106,988,904 Class I Shares of Common Stock outstanding as of May 27, 2026. Class I Shares of Common Stock were initially transferred to Franklin Resources, Inc. for no consideration from Legg Mason, Inc. on March 12, 2021." }, { "accession_no": "0000038777-26-000166", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "Charles B. Johnson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000166", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "Rupert H. Johnson, Jr.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000166", "person_seq": 3, "reporting_person_cik": 898420, "reporting_person_name": "Franklin Advisers, Inc.", "fund_type": "WC", "citizenship_or_org": "CA", "sole_voting_power": 20052693.0, "shared_voting_power": 0.0, "sole_dispositive_power": 20052693.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 20052693.0, "percent_of_class": 18.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000038777-26-000167", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "Franklin Resources, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 7033676.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7033676.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7033676.0, "percent_of_class": 59.2, "type_of_reporting_person": "CO", "comment_content": "1.Consists of 4,955,483 Advisor Class Shares of Beneficial Interest held in a Franklin Resources, Inc.'s subsidiary's corporate account and 2,078,193 held for the benefit of a fund managed by Franklin Advisers, Inc.\n\n2.Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 11,890,270 Advisor Class Shares of Beneficial Interest outstanding as of May 29, 2026." }, { "accession_no": "0000038777-26-000167", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "Charles B. Johnson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000167", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "Rupert H. Johnson, Jr.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000167", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP Fund HoldCo (Debt Strategy) L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 4955483.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4955483.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4955483.0, "percent_of_class": 41.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000167", "person_seq": 4, "reporting_person_cik": 898420, "reporting_person_name": "Franklin Advisers, Inc.", "fund_type": "WC", "citizenship_or_org": "CA", "sole_voting_power": 2078193.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2078193.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2078193.0, "percent_of_class": 17.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000038777-26-000168", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 84.7, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 88,545 Class I Shares of Common Stock outstanding as of May 29, 2026." }, { "accession_no": "0000038777-26-000168", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000168", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000168", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 84.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000169", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 81.5, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 92,066 Class I Shares of Common Stock outstanding as of June 1, 2026." }, { "accession_no": "0000038777-26-000169", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000169", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000169", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 81.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000173", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 79.2, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 94,727 Class I Shares of Common Stock outstanding as of June 4, 2026." }, { "accession_no": "0000038777-26-000173", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000173", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000173", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 79.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000174", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 76.7, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 97,736 Class I Shares of Common Stock outstanding as of June 15, 2026." }, { "accession_no": "0000038777-26-000174", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000174", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000174", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 76.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000175", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 74.6, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 100,540 Class I Shares of Common Stock outstanding as of June 17, 2026." }, { "accession_no": "0000038777-26-000175", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000175", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000175", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 74.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000184", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 68.7, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 109,180 Class I Shares of Common Stock outstanding as of July 6, 2026." }, { "accession_no": "0000038777-26-000184", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000184", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000184", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 68.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000186", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 59.6, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 125,897 Class I Shares of Common Stock outstanding as of July 9, 2026." }, { "accession_no": "0000038777-26-000186", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000186", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000186", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 59.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000187", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 55.6, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 134,911 Class I Shares of Common Stock outstanding as of July 13, 2026." }, { "accession_no": "0000038777-26-000187", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000187", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000187", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 55.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000189", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 54.5, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 137,581 Class I Shares of Common Stock outstanding as of July 16, 2026." }, { "accession_no": "0000038777-26-000189", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000189", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000189", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 54.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000199", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "Franklin Resources, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 30673835.0, "shared_voting_power": 0.0, "sole_dispositive_power": 30084891.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 30673835.0, "percent_of_class": 27.5, "type_of_reporting_person": "CO", "comment_content": "1. Consists of 4,999,845 Class I Shares of Common Stock held in a Franklin Resources, Inc. corporate account and 25,673,990 held for the benefit of fiduciary accounts managed by Franklin Resources Inc.'s investment management subsidiaries, including funds managed by Franklin Advisers, Inc.\n\n2. Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 111,657,995 Class I Shares of Common Stock outstanding as of July 22, 2026. Class I Shares of Common Stock were initially transferred to Franklin Resources, Inc. for no consideration from Legg Mason, Inc. on March 12, 2021." }, { "accession_no": "0000038777-26-000199", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "Charles B. Johnson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000199", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "Rupert H. Johnson, Jr.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000199", "person_seq": 3, "reporting_person_cik": 898420, "reporting_person_name": "Franklin Advisers, Inc.", "fund_type": "WC", "citizenship_or_org": "CA", "sole_voting_power": 21656070.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21656070.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 21656070.0, "percent_of_class": 19.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000038777-26-000200", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 49.7, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 150,831 Class I Shares of Common Stock outstanding as of July 27, 2026." }, { "accession_no": "0000038777-26-000200", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000200", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000200", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 49.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000218", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 46.6, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 161,063 Class I Shares of Common Stock outstanding as of July 30, 2026." }, { "accession_no": "0000038777-26-000218", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000218", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000218", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 46.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000038777-26-000219", "person_seq": 0, "reporting_person_cik": 38777, "reporting_person_name": "FRANKLIN RESOURCES INC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 38.7, "type_of_reporting_person": "CO", "comment_content": "Percentage represents the current beneficial ownership percentage that Franklin Resources, Inc. and its investment management subsidiaries may be deemed to beneficially own based upon 193,572 Class I Shares of Common Stock outstanding as of August 6, 2026." }, { "accession_no": "0000038777-26-000219", "person_seq": 1, "reporting_person_cik": 936567, "reporting_person_name": "JOHNSON CHARLES B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000219", "person_seq": 2, "reporting_person_cik": 1010261, "reporting_person_name": "JOHNSON RUPERT H JR", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000038777-26-000219", "person_seq": 3, "reporting_person_cik": 1807977, "reporting_person_name": "BSP FUND HOLDCO (DEBT STRATEGY) LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 75000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 75000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 75000.0, "percent_of_class": 38.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000059478-26-000072", "person_seq": 0, "reporting_person_cik": 59478, "reporting_person_name": "ELI LILLY & Co", "fund_type": "WC", "citizenship_or_org": "IN", "sole_voting_power": 1388161.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1388161.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1388161.0, "percent_of_class": 7.3, "type_of_reporting_person": "CO", "comment_content": "This percentage is calculated based upon 18,864,386 outstanding shares of common stock of the Issuer (\"Common Stock\") following the consummation of its initial public offering (\"IPO\") as described in its Prospectus filed with the Securities and Exchange Commission pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended, on July 27, 2026, after giving effect to the full exercise of the underwriters' option to purchase an additional 1,287,000 shares of Common Stock, as disclosed in the press release issued by the Issuer on July 27, 2026." }, { "accession_no": "0000070858-26-000346", "person_seq": 0, "reporting_person_cik": 70858, "reporting_person_name": "BANK OF AMERICA CORP /DE/", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7995.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7995.0, "aggregate_amount_owned": 7995.0, "percent_of_class": 52.3, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000070858-26-000346", "person_seq": 1, "reporting_person_cik": 1565450, "reporting_person_name": "Banc of America Preferred Funding Corp", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7995.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": null, "aggregate_amount_owned": 7995.0, "percent_of_class": 52.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000315066-26-001479", "person_seq": 0, "reporting_person_cik": 315066, "reporting_person_name": "FMR LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3156441.59, "shared_voting_power": 0.0, "sole_dispositive_power": 3171441.59, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3171441.59, "percent_of_class": 8.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000315066-26-001479", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Abigail P. Johnson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3171441.59, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3171441.59, "percent_of_class": 8.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000315066-26-001481", "person_seq": 0, "reporting_person_cik": 315066, "reporting_person_name": "FMR LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3070730.63, "shared_voting_power": 0.0, "sole_dispositive_power": 3070730.63, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3070730.63, "percent_of_class": 53.4, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000315066-26-001481", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Abigail P. Johnson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3070730.63, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3070730.63, "percent_of_class": 53.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000779335-26-000005", "person_seq": 0, "reporting_person_cik": 779335, "reporting_person_name": "GOULD INVESTORS L P", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 2272601.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2272601.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2272601.0, "percent_of_class": 12.4, "type_of_reporting_person": "PN", "comment_content": "(1)The managing general partner of Gould Investors L.P. (the \"Partnership\") is Georgetown Partners LLC (\"Georgetown\"), a Delaware limited liability company. Matthew J. Gould and Jeffrey A. Gould indirectly control Georgetown. Messrs. M. Gould, J. Gould and the Partnership may be deemed to share voting power and dispositive power with respect to the shares owned by the Partnership.\n\n(2)The percent of class set forth in row 13 above is based on 21,819,448 shares of common stock outstanding as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026." }, { "accession_no": "0000779335-26-000005", "person_seq": 1, "reporting_person_cik": 1187903, "reporting_person_name": "GOULD JEFFREY", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 397178.0, "shared_voting_power": 2301519.0, "sole_dispositive_power": 397178.0, "shared_dispositive_power": 2301519.0, "aggregate_amount_owned": 2698697.0, "percent_of_class": 12.4, "type_of_reporting_person": "IN", "comment_content": "(1)The amounts set forth in rows 7, 9 and 11 above include up to 6,500 shares potentially issuable pursuant to restricted stock units (\"RSUs\") scheduled to vest on June 30, 2026, subject to a determination by the Issuer's compensation committee that the metrics applicable to the vesting of such awards has been satisfied.\n\n(2)The amounts set forth in rows 8, 10 and 11 above include 15,152 shares owned by the Gould Shenfeld Family Foundation, 144 shares owned by Georgetown, 13,622 shares owned by 130 Store Company LLC, and 2,272,601 shares owned by the Partnership.\n\n(3)The percent of class set forth in row 13 above is based on 21,825,948 shares of common stock outstanding as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026 (and including the up to 6,500 shares potentially issuable pursuant to the RSUs)." }, { "accession_no": "0000779335-26-000005", "person_seq": 2, "reporting_person_cik": 1187904, "reporting_person_name": "GOULD MATTHEW J", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 366748.0, "shared_voting_power": 2305688.0, "sole_dispositive_power": 366748.0, "shared_dispositive_power": 2305688.0, "aggregate_amount_owned": 2672436.0, "percent_of_class": 12.2, "type_of_reporting_person": "IN", "comment_content": "(1)The amounts set forth in rows 7, 9 and 11 above include up to 6,500 shares potentially issuable pursuant to restricted stock units (\"RSUs\") scheduled to vest on June 30, 2026, subject to a determination by the Issuer's compensation committee that the metrics applicable to the vesting of such awards has been satisfied.\n\n(2)The amounts set forth in rows 8, 10 and 11 above, includes 4,169 shares owned by a pension trust, 15,152 shares owned by the Gould Shenfeld Family Foundation, 13,622 shares owned by 130 Store Company LLC, 144 shares owned by Georgetown, and 2,272,601 shares owned by the Partnership.\n\n(3)The percent of class set forth in row 13 above is based on 21,825,948 shares of common stock outstanding as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026 (and including the up to 6,500 shares potentially issuable pursuant to the RSUs)." }, { "accession_no": "0000779335-26-000005", "person_seq": 3, "reporting_person_cik": 1187901, "reporting_person_name": "GOULD FREDRIC H", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 633854.0, "shared_voting_power": 0.0, "sole_dispositive_power": 633854.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 633854.0, "percent_of_class": 2.9, "type_of_reporting_person": "IN", "comment_content": "(1)The amounts set forth in rows 7, 9 and 11 above include up to 5,500 shares potentially issuable pursuant to restricted stock units (\"RSUs\") scheduled to vest on June 30, 2026, subject to a determination by the Issuer's compensation committee that the metrics applicable to the vesting of such awards has been satisfied.\n\n(2)The amounts set forth in rows 7 through 11 above excludes 58,589 shares owned by his spouse, as to which he disclaims beneficial ownership.\n\n(3)The percent of class set forth in row 13 above is based on 21,824,948 shares of common stock outstanding as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026 (and including the up to 5,500 shares potentially issuable pursuant to the RSUs)." }, { "accession_no": "0000779335-26-000006", "person_seq": 0, "reporting_person_cik": 779335, "reporting_person_name": "GOULD INVESTORS L P", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 4249693.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4249693.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4249693.0, "percent_of_class": 22.7, "type_of_reporting_person": "PN", "comment_content": "(1)The managing general partner of Gould Investors L.P. (the Partnership) is Georgetown Partners LLC (Georgetown), a Delaware limited liability company. Matthew J. Gould and Jeffrey A. Gould indirectly control Georgetown. Messrs. M. Gould, J. Gould and the Partnership may be deemed to share voting power and dispositive power with respect to the shares owned by the Partnership.\n(2)The percent of class set forth in row 13 above is based on 18,761,937 shares of common stock outstanding as of June 30, 2026." }, { "accession_no": "0000779335-26-000006", "person_seq": 1, "reporting_person_cik": 1187903, "reporting_person_name": "GOULD JEFFREY", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 564453.0, "shared_voting_power": 4307422.0, "sole_dispositive_power": 564453.0, "shared_dispositive_power": 4307422.0, "aggregate_amount_owned": 4871875.0, "percent_of_class": 25.9, "type_of_reporting_person": "IN", "comment_content": "(1)The amounts set forth in rows 7, 9 and 11 above include 23,625 shares potentially issuable pursuant to restricted stock units (\"RSUs\") scheduled to vest on June 30, 2026, subject to a determination by the Issuer's compensation committee that the metrics applicable to the vesting of such awards has been satisfied.\n(2)The amounts set forth in rows 8, 10 and 11 above include 25,825 shares owned by the Gould Shenfeld Family Foundation, 31,903 shares owned by 130 Store Company LLC, 1 share owned by the Gould Family Trust and 4,249,693 shares owned by the Partnership.\n(3)The percent of class set forth in row 13 above is based on 18,785,562 shares of common stock outstanding as of June 30, 2026 (including up to 23,625 shares potentially issuable pursuant to the RSUs)." }, { "accession_no": "0000779335-26-000006", "person_seq": 2, "reporting_person_cik": 1187904, "reporting_person_name": "GOULD MATTHEW J", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 547880.0, "shared_voting_power": 4328296.0, "sole_dispositive_power": 547880.0, "shared_dispositive_power": 4328296.0, "aggregate_amount_owned": 4876176.0, "percent_of_class": 26.0, "type_of_reporting_person": "IN", "comment_content": "(1)The amounts set forth in rows 7, 9 and 11 above include 23,625 shares potentially issuable pursuant to restricted stock units (\"RSUs\") scheduled to vest on June 30, 2026, subject to a determination by the Issuer's compensation committee that the metrics applicable to the vesting of such awards has been satisfied.\n(2)The amounts set forth in rows 8, 10 and 11 above, includes 20,874 shares owned by a pension trust, 25,825 shares owned by the Gould Shenfeld Family Foundation, 31,903 shares owned by 130 Store Company LLC, 1 share owned by the Gould Family Trust and 4,249,693 shares owned by the Partnership.\n(3)The percent of class set forth in row 13 above is based on 18,785,562 shares of common stock outstanding as of June 30, 2026 (including up to 23,625 shares potentially issuable pursuant to the RSUs)." }, { "accession_no": "0000807249-26-000051", "person_seq": 0, "reporting_person_cik": 807249, "reporting_person_name": "GAMCO INVESTORS, INC. ET AL", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000051", "person_seq": 1, "reporting_person_cik": 1081407, "reporting_person_name": "GABELLI FUNDS LLC", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 275000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 275000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 275000.0, "percent_of_class": 1.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000051", "person_seq": 2, "reporting_person_cik": 1460612, "reporting_person_name": "GAMCO Asset Management Inc.", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 364200.0, "shared_voting_power": 0.0, "sole_dispositive_power": 364200.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 364200.0, "percent_of_class": 1.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000051", "person_seq": 3, "reporting_person_cik": 2086025, "reporting_person_name": "Teton Advisors, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 190000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 190000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 190000.0, "percent_of_class": 0.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000051", "person_seq": 4, "reporting_person_cik": 1238894, "reporting_person_name": "GGCP, INC.", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000051", "person_seq": 5, "reporting_person_cik": 1642122, "reporting_person_name": "Associated Capital Group, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000051", "person_seq": 6, "reporting_person_cik": 1185533, "reporting_person_name": "GABELLI MARIO J", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000807249-26-000054", "person_seq": 0, "reporting_person_cik": 807249, "reporting_person_name": "GAMCO INVESTORS, INC. ET AL", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000054", "person_seq": 1, "reporting_person_cik": 1460612, "reporting_person_name": "GAMCO Asset Management Inc.", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 37210.0, "shared_voting_power": 0.0, "sole_dispositive_power": 37210.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 37210.0, "percent_of_class": 0.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000054", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "GABELLI FOUNDATION, INC.", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 160304.0, "shared_voting_power": 0.0, "sole_dispositive_power": 160304.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 160304.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000807249-26-000054", "person_seq": 3, "reporting_person_cik": 1238894, "reporting_person_name": "GGCP, INC.", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 1144648.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1144648.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1144648.0, "percent_of_class": 9.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000054", "person_seq": 4, "reporting_person_cik": 1642122, "reporting_person_name": "Associated Capital Group, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000054", "person_seq": 5, "reporting_person_cik": 1185533, "reporting_person_name": "GABELLI MARIO J", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1292596.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1292596.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1292596.0, "percent_of_class": 10.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000807249-26-000058", "person_seq": 0, "reporting_person_cik": 1233348, "reporting_person_name": "GABELLI MARC", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 4387727.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4387727.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4387727.0, "percent_of_class": 34.8, "type_of_reporting_person": "IN", "comment_content": "Consists of 2,009,121 shares held directly by Mr. Gabelli and 2,378,606 shares held by Venator Merchant Fund, L.P. Venator Global, LLC, which is the sole general partner of Venator Merchant Fund, L.P., may be deemed to beneficially own the Securities owned by Venator Merchant Fund, L.P. Mr. Gabelli, who is the President and Sole Member of Venator Global, LLC, may be deemed to beneficially own the Securities owned by Venator Merchant Fund, L.P. Mr. Gabelli disclaims beneficial ownership of the Securities owned by Venator Merchant Fund, L.P., except to the extent of his pecuniary interest therein." }, { "accession_no": "0000807249-26-000058", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Venator Global, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 2378606.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2378606.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2378606.0, "percent_of_class": 18.9, "type_of_reporting_person": "OO", "comment_content": "Consists of shares of the Issuer held by Venator Merchant Fund, L.P. Venator Global LLC, which is the sole general partner of Venator Merchant Fund, L.P., may be deemed to beneficially own the Securities owned by Venator Merchant Fund, L.P., Venator Global, LLC disclaims beneficial ownership of the Securities owned by Venator Merchant Fund, L.P., except to the extent of its pecuniary interest therein." }, { "accession_no": "0000807249-26-000058", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Venator Merchant Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 2378606.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2378606.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2378606.0, "percent_of_class": 18.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 0, "reporting_person_cik": 807249, "reporting_person_name": "GAMCO INVESTORS, INC. ET AL", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 1, "reporting_person_cik": 1081407, "reporting_person_name": "GABELLI FUNDS LLC", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 1426650.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1426650.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1426650.0, "percent_of_class": 3.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 2, "reporting_person_cik": 1460612, "reporting_person_name": "GAMCO Asset Management Inc.", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 3188959.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3321059.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3321059.0, "percent_of_class": 8.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "GABELLI FOUNDATION, INC.", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 49000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 49000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 49000.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "MJG ASSOCIATES, INC.", "fund_type": "OO", "citizenship_or_org": "CT", "sole_voting_power": 22000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22000.0, "percent_of_class": 0.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 5, "reporting_person_cik": 2086025, "reporting_person_name": "Teton Advisors, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 234300.0, "shared_voting_power": 0.0, "sole_dispositive_power": 234300.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 234300.0, "percent_of_class": 0.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 6, "reporting_person_cik": 1238894, "reporting_person_name": "GGCP, INC.", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 7, "reporting_person_cik": 1642122, "reporting_person_name": "Associated Capital Group, Inc.", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 1700.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1700.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1700.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000059", "person_seq": 8, "reporting_person_cik": 1185533, "reporting_person_name": "GABELLI MARIO J", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 0, "reporting_person_cik": 807249, "reporting_person_name": "GAMCO INVESTORS, INC. ET AL", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 1, "reporting_person_cik": 1081407, "reporting_person_name": "GABELLI FUNDS LLC", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 446000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 446000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 446000.0, "percent_of_class": 1.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 2, "reporting_person_cik": 1460612, "reporting_person_name": "GAMCO Asset Management Inc.", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 1138496.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1161496.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1161496.0, "percent_of_class": 4.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 3, "reporting_person_cik": 932724, "reporting_person_name": "GABELLI & Co INVESTMENT ADVISERS, INC.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 300.0, "shared_voting_power": 0.0, "sole_dispositive_power": 300.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 300.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "MJG ASSOCIATES, INC.", "fund_type": "OO", "citizenship_or_org": "CT", "sole_voting_power": 1000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1000.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 5, "reporting_person_cik": 2086025, "reporting_person_name": "Teton Advisors, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 33571.0, "shared_voting_power": 0.0, "sole_dispositive_power": 33571.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 33571.0, "percent_of_class": 0.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 6, "reporting_person_cik": 1238894, "reporting_person_name": "GGCP, INC.", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 7, "reporting_person_cik": 1642122, "reporting_person_name": "Associated Capital Group, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000807249-26-000060", "person_seq": 8, "reporting_person_cik": 1185533, "reporting_person_name": "GABELLI MARIO J", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000820478-26-000009", "person_seq": 0, "reporting_person_cik": 820478, "reporting_person_name": "STRS OHIO", "fund_type": "WC", "citizenship_or_org": "OH", "sole_voting_power": 1138351.59, "shared_voting_power": 0.0, "sole_dispositive_power": 1138351.59, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1138351.59, "percent_of_class": 7.9, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0000869178-26-000036", "person_seq": 0, "reporting_person_cik": 869178, "reporting_person_name": "Van Eck Associates Corporation", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1000000.0, "percent_of_class": 100.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000891839-26-000327", "person_seq": 0, "reporting_person_cik": 1723447, "reporting_person_name": "Stedham Adam H", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1171674.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1171674.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1171674.0, "percent_of_class": 8.4, "type_of_reporting_person": "IN", "comment_content": "The figures included in rows 7, 9 and 11 above include (i) 440,908 shares of VerifyMe, Inc. Common Stock (\"Shares\") held directly by Mr. Stedham, (ii) 550,000 Shares underlying restricted stock units (RSUs) that are convertible within 60 days, (iii) 28,592 vested RSUs that become payable, on a one-for-one basis, in Shares upon separation of Mr. Stedham's service as a director of VerifyMe, Inc., and (iv) 152,174 Shares that are issuable upon the conversion of a presently convertible promissory note.\n\nThe percentage in row 13 above is based on (i) 13,165,196 Shares outstanding as of August 7, 2026, (ii) 550,000 shares underlying RSUs that are convertible within 60 days, (iii) 28,592 vested RSUs that become payable, on a one-for-one basis, in Shares upon separation of Mr. Stedham's service as a director of VerifyMe, Inc., and (iv) 152,174 Shares that are issuable upon the conversion of a presently convertible promissory note." }, { "accession_no": "0000892712-26-000247", "person_seq": 0, "reporting_person_cik": 1649740, "reporting_person_name": "PUGLIESE STEPHANIE L.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2265225.0, "shared_voting_power": 0.0, "sole_dispositive_power": 749142.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2265225.0, "percent_of_class": 6.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000897069-26-001456", "person_seq": 0, "reporting_person_cik": 1542769, "reporting_person_name": "AO Partners I, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 922204.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 922204.0, "aggregate_amount_owned": 922204.0, "percent_of_class": 28.88, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000897069-26-001456", "person_seq": 1, "reporting_person_cik": 1549244, "reporting_person_name": "AO Partners, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 922204.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 922204.0, "aggregate_amount_owned": 922204.0, "percent_of_class": 28.88, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000897069-26-001456", "person_seq": 2, "reporting_person_cik": 1478067, "reporting_person_name": "Swenson Nicholas John", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 61297.0, "shared_voting_power": 956520.0, "sole_dispositive_power": 61297.0, "shared_dispositive_power": 956520.0, "aggregate_amount_owned": 1017817.0, "percent_of_class": 31.88, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000897069-26-001456", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Groveland DST LLC", "fund_type": "OO", "citizenship_or_org": "SD", "sole_voting_power": 0.0, "shared_voting_power": 34316.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34316.0, "aggregate_amount_owned": 34316.0, "percent_of_class": 1.07, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000897069-26-001520", "person_seq": 0, "reporting_person_cik": 1542769, "reporting_person_name": "AO Partners I, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 920954.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 920954.0, "aggregate_amount_owned": 920954.0, "percent_of_class": 34.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000897069-26-001520", "person_seq": 1, "reporting_person_cik": 1479268, "reporting_person_name": "AO Partners LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 920954.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 920954.0, "aggregate_amount_owned": 920954.0, "percent_of_class": 34.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000897069-26-001520", "person_seq": 2, "reporting_person_cik": 1478067, "reporting_person_name": "Swenson Nicholas John", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 3750.0, "shared_voting_power": 1299589.0, "sole_dispositive_power": 3750.0, "shared_dispositive_power": 1299589.0, "aggregate_amount_owned": 1303339.0, "percent_of_class": 48.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000897069-26-001520", "person_seq": 3, "reporting_person_cik": 1617807, "reporting_person_name": "Groveland Capital, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 51099.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 51099.0, "aggregate_amount_owned": 51099.0, "percent_of_class": 1.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000897069-26-001520", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Glenhurst Co.", "fund_type": "WC", "citizenship_or_org": "MN", "sole_voting_power": 94438.0, "shared_voting_power": 0.0, "sole_dispositive_power": 94438.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 94438.0, "percent_of_class": 3.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000897069-26-001520", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Groveland DST LLC", "fund_type": "WC", "citizenship_or_org": null, "sole_voting_power": 0.0, "shared_voting_power": 233098.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 233098.0, "aggregate_amount_owned": 233098.0, "percent_of_class": 8.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000897069-26-001544", "person_seq": 0, "reporting_person_cik": 1804360, "reporting_person_name": "Sobelman David", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 185562.77, "shared_voting_power": 0.0, "sole_dispositive_power": 185562.77, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 185562.77, "percent_of_class": 15.56, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000897101-26-000160", "person_seq": 0, "reporting_person_cik": 769317, "reporting_person_name": "SIT INVESTMENT ASSOCIATES INC", "fund_type": "OO", "citizenship_or_org": "MN", "sole_voting_power": 0.0, "shared_voting_power": 32822243.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32822243.0, "aggregate_amount_owned": 32822243.0, "percent_of_class": 28.8, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000160", "person_seq": 1, "reporting_person_cik": 1053046, "reporting_person_name": "SIT FIXED INCOME ADVISORS II LLC /ADV", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32822243.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32822243.0, "aggregate_amount_owned": 32822243.0, "percent_of_class": 28.8, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000164", "person_seq": 0, "reporting_person_cik": 769317, "reporting_person_name": "Sit Investment Associates, Inc.", "fund_type": "OO", "citizenship_or_org": "MN", "sole_voting_power": 0.0, "shared_voting_power": 9913156.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9913156.0, "aggregate_amount_owned": 9913156.0, "percent_of_class": 30.4, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000164", "person_seq": 1, "reporting_person_cik": 1053046, "reporting_person_name": "Sit Fixed Income Advisors II, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9913156.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9913156.0, "aggregate_amount_owned": 9913156.0, "percent_of_class": 30.4, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000184", "person_seq": 0, "reporting_person_cik": 769317, "reporting_person_name": "SIT INVESTMENT ASSOCIATES INC", "fund_type": "OO", "citizenship_or_org": "MN", "sole_voting_power": 0.0, "shared_voting_power": 10256201.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10256201.0, "aggregate_amount_owned": 10256201.0, "percent_of_class": 31.5, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000184", "person_seq": 1, "reporting_person_cik": 1053046, "reporting_person_name": "SIT FIXED INCOME ADVISORS II LLC /ADV", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10256201.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10256201.0, "aggregate_amount_owned": 10256201.0, "percent_of_class": 31.5, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000203", "person_seq": 0, "reporting_person_cik": 2082289, "reporting_person_name": "Stephanie Foglia", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1606324.0, "shared_voting_power": 4722686.0, "sole_dispositive_power": 1606324.0, "shared_dispositive_power": 4722686.0, "aggregate_amount_owned": 6329010.0, "percent_of_class": 19.89, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000897101-26-000203", "person_seq": 1, "reporting_person_cik": 2102046, "reporting_person_name": "2025 Irrevocable Two-Year Grantor Retained Annuity Trust of Aspasia F. Vahaviolos", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4722686.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4722686.0, "aggregate_amount_owned": 4722686.0, "percent_of_class": 14.84, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000897101-26-000219", "person_seq": 0, "reporting_person_cik": 769317, "reporting_person_name": "SIT INVESTMENT ASSOCIATES INC", "fund_type": "OO", "citizenship_or_org": "MN", "sole_voting_power": 0.0, "shared_voting_power": 10641285.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10641285.0, "aggregate_amount_owned": 10641285.0, "percent_of_class": 32.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000219", "person_seq": 1, "reporting_person_cik": 1053046, "reporting_person_name": "SIT FIXED INCOME ADVISORS II LLC /ADV", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10641285.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10641285.0, "aggregate_amount_owned": 10641285.0, "percent_of_class": 32.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000331", "person_seq": 0, "reporting_person_cik": 769317, "reporting_person_name": "SIT INVESTMENT ASSOCIATES INC", "fund_type": "OO", "citizenship_or_org": "MN", "sole_voting_power": 0.0, "shared_voting_power": 10985233.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10985233.0, "aggregate_amount_owned": 10985233.0, "percent_of_class": 33.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000331", "person_seq": 1, "reporting_person_cik": 1053046, "reporting_person_name": "SIT FIXED INCOME ADVISORS II LLC /ADV", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10985233.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10985233.0, "aggregate_amount_owned": 10985233.0, "percent_of_class": 33.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000340", "person_seq": 0, "reporting_person_cik": 769317, "reporting_person_name": "Sit Investment Associates, Inc.", "fund_type": "OO", "citizenship_or_org": "MN", "sole_voting_power": 0.0, "shared_voting_power": 28756835.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28756835.0, "aggregate_amount_owned": 28756835.0, "percent_of_class": 30.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000340", "person_seq": 1, "reporting_person_cik": 1053046, "reporting_person_name": "Sit Fixed Income Advisors II, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 28756835.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28756835.0, "aggregate_amount_owned": 28756835.0, "percent_of_class": 30.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000346", "person_seq": 0, "reporting_person_cik": 769317, "reporting_person_name": "Sit Investment Associates, Inc.", "fund_type": "OO", "citizenship_or_org": "MN", "sole_voting_power": 0.0, "shared_voting_power": 9432271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9432271.0, "aggregate_amount_owned": 9432271.0, "percent_of_class": 24.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000897101-26-000346", "person_seq": 1, "reporting_person_cik": 1053046, "reporting_person_name": "Sit Fixed Income Advisors II, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9432271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9432271.0, "aggregate_amount_owned": 9432271.0, "percent_of_class": 24.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000898432-26-000394", "person_seq": 0, "reporting_person_cik": 2054128, "reporting_person_name": "Cao Yu", "fund_type": "PF", "citizenship_or_org": "F4", "sole_voting_power": 4615012.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3568371.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4615012.0, "percent_of_class": 40.6, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7 and 11: The above-referenced shares of common stock, $0.01 par value per share (the \"Common Stock\"), of FiEE, Inc. (the \"Issuer\") beneficially owned by Cao Yu consist of (i) 1,604,166 shares of Common Stock issuable upon conversion of 1,145,833 shares of Series A Convertible Preferred Stock, $0.001 par value per share (the \"Series A Convertible Preferred Stock\"), which are convertible into shares of Common Stock at a ratio of 1.4 shares of Common Stock for each share of Series A Convertible Preferred Stock (the \"Ratio\"), (ii) 1,425,480 shares of Common Stock issuable upon the exercise of warrants to purchase Common Stock, and (iii) 1,585,366 shares of Common Stock. The shares of Series A Convertible Preferred Stock vote on an as-converted basis without regard to the Preferred Blocker (as defined below).\n\nNote to Row 9: The above-referenced shares of Common Stock beneficially owned by Cao Yu consist of (i) 557,525 shares of Common Stock issuable upon conversion of Series A Convertible Preferred Stock per the Ratio, (ii) 1,425,480 shares of Common Stock issuable upon the exercise of warrants to purchase Common Stock, and (iii) 1,585,366 shares of Common Stock. The shares of Series A Convertible Preferred Stock are not convertible into more than 19.99% of the number of shares of Common Stock outstanding immediately prior to the original issuance date of the Series A Convertible Preferred Stock (the \"Preferred Blocker\"); therefore, the Series A Convertible Preferred Stock cannot, in the aggregate, convert into more than 557,525 shares of Common Stock.\n\nNote to Row 13: The percentages reported in this Amendment No. 7 to the Schedule 13D (\"Amendment No. 7\") are based on 11,358,244 shares of Common Stock deemed outstanding pursuant to Rule 13d-3(d)(1) (\"Rule 13d-3(d)(1)\") of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\"), calculated as the sum of 8,328,598 shares of Common Stock outstanding according to the Quarterly Report on Form 10-Q filed by the Issuer with the U.S. Securities and Exchange Commission (the \"SEC\") on April 30, 2026 (the \"Form 10-Q\"), plus (i) 1,604,166 shares of Common Stock that are issuable upon conversion of the Series A Convertible Preferred Stock held by Cao Yu and (ii) 1,425,480 shares of Common Stock that are issuable upon the exercise of warrants to purchase Common Stock held by Cao Yu." }, { "accession_no": "0000898432-26-000394", "person_seq": 1, "reporting_person_cik": 2053987, "reporting_person_name": "Hu Bin", "fund_type": "PF", "citizenship_or_org": "2M", "sole_voting_power": 3125745.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2480224.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3125745.0, "percent_of_class": 29.5, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7 and 11: The above-referenced shares of Common Stock beneficially owned by Hu Bin consist of (i) 1,203,046 shares of Common Stock issuable upon conversion of 859,319 shares of Series A Convertible Preferred Stock, which are convertible into shares of Common Stock per the Ratio, (ii) 1,069,040 shares of Common Stock issuable upon the exercise of warrants to purchase Common Stock, and (iii) 853,659 shares of Common Stock. The shares of Series A Convertible Preferred Stock vote on an as-converted basis without regard to the Preferred Blocker.\n\nNote to Row 9: The above-referenced shares of Common Stock beneficially owned by Hu Bin consist of (i) 557,525 shares of Common Stock issuable upon conversion of Series A Convertible Preferred Stock, (ii) 1,069,040 shares of Common Stock issuable upon the exercise of warrants to purchase Common Stock, and (iii) 853,659 shares of Common Stock. The shares of Series A Convertible Preferred Stock are subject to the Preferred Blocker; therefore, the Series A Convertible Preferred Stock cannot, in the aggregate, convert into more than 557,525 shares of Common Stock.\n\nNote to Row 13: The percentages reported in this Amendment No. 7 are based on 10,600,684 shares of Common Stock deemed outstanding pursuant to Rule 13d-3(d)(1), calculated as the sum of 8,328,598 shares of Common Stock outstanding according to the Form 10-Q, plus (i) 1,203,046 shares of Common Stock that are issuable upon conversion of the Series A Convertible Preferred Stock held by Hu Bin and (ii) 1,069,040 shares of Common Stock that are issuable upon the exercise of warrants to purchase Common Stock held by Hu Bin." }, { "accession_no": "0000898432-26-000394", "person_seq": 2, "reporting_person_cik": 2053977, "reporting_person_name": "Youxin Consulting Ltd.", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 649254.0, "shared_voting_power": 0.0, "sole_dispositive_power": 649254.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 649254.0, "percent_of_class": 7.2, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 7, 9 and 11: The above-referenced shares of Common Stock beneficially owned by Youxin Consulting Limited (\"Youxin Consulting\") consist of (i) 343,774 shares of Common Stock issuable upon conversion of 245,553 shares of Series A Convertible Preferred Stock, which are convertible into shares of Common Stock per the Ratio and (ii) 305,480 shares of Common Stock issuable upon the exercise of warrants to purchase Common Stock. The shares of Series A Convertible Preferred Stock vote on an as-converted basis.\n\nNote to Row 13: The percentages reported in this Amendment No. 7 are based on 8,977,852 shares of Common Stock deemed outstanding pursuant to Rule 13d-3(d)(1), calculated as the sum of 8,328,598 shares of Common Stock outstanding according to the Form 10-Q, plus (i) 343,774 shares of Common Stock that are issuable upon conversion of the Series A Convertible Preferred Stock held by Youxin Consulting and (ii) 305,480 shares of Common Stock that are issuable upon the exercise of warrants to purchase Common Stock held by Youxin Consulting." }, { "accession_no": "0000898432-26-000394", "person_seq": 3, "reporting_person_cik": 2056059, "reporting_person_name": "Li Wai Chung", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 649254.0, "shared_voting_power": 0.0, "sole_dispositive_power": 649254.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 649254.0, "percent_of_class": 7.2, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7, 9 and 11: The above-referenced shares of Common Stock beneficially owned by Li Wai Chung consist of (i) 343,774 shares of Common Stock issuable upon conversion of 245,553 shares of Series A Convertible Preferred Stock, which are convertible into shares of Common Stock per the Ratio and (ii) 305,480 shares of Common Stock issuable upon the exercise of warrants to purchase Common Stock. The shares of Series A Convertible Preferred Stock vote on an as-converted basis.\n\nNote to Row 13: The percentages reported in this Amendment No. 7 are based on 8,977,852 shares of Common Stock deemed outstanding pursuant to Rule 13d-3(d)(1), calculated as the sum of 8,328,598 shares of Common Stock outstanding according to the Form 10-Q, plus (i) 343,774 shares of Common Stock that are issuable upon conversion of the Series A Convertible Preferred Stock held by Li Wai Chung and (ii) 305,480 shares of Common Stock that are issuable upon the exercise of warrants to purchase Common Stock held by Li Wai Chung." }, { "accession_no": "0000898860-26-000006", "person_seq": 0, "reporting_person_cik": 898860, "reporting_person_name": "FROST PHILLIP MD ET AL", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 252577576.0, "shared_voting_power": 2851830.0, "sole_dispositive_power": 252577576.0, "shared_dispositive_power": 2851830.0, "aggregate_amount_owned": 255429406.0, "percent_of_class": 34.1, "type_of_reporting_person": "IN", "comment_content": "(1) The amount provided in Item 11 includes (i) 3,068,951 shares of Common Stock held individually by Dr. Frost; (ii) 30,127,177 shares of Common Stock held by the Frost Nevada Investments Trust, which is controlled by Dr. Frost as sole trustee; (iii) options to acquire 2,425,000 shares of Common Stock, which are exercisable within 60 days; (iv) 216,706,448 shares of Common Stock held by the Gamma Trust, which is controlled by Dr. Frost as sole trustee; (v) 2,851,830 shares of Common Stock held by the Phillip and Patricia Frost Philanthropic Foundation, Inc., which is controlled by Dr. Frost and his wife, and (vi) 250,000 restricted stock units that give him a contingent right to receive up to 250,000 shares of Common Stock that will vest within 60 days. Dr. Frost's ownership position excludes restricted stock units that give him a contingent right to receive up to 250,000 shares of Common Stock.\n\n(2) The percentage provided in Item 13 is calculated based on (i) 746,328,225 shares outstanding as of June 29, 2026, as communicated by the Issuer to the Reporting Person; (ii) options to acquire 2,425,000 shares of Common Stock, which are exercisable within 60 days; and (iii) 250,000 restricted stock units that give him a contingent right to receive up to 250,000 shares of Common Stock that will vest within 60 days." }, { "accession_no": "0000898860-26-000006", "person_seq": 1, "reporting_person_cik": 1380896, "reporting_person_name": "Frost Gamma Investments Trust", "fund_type": "WC", "citizenship_or_org": "FL", "sole_voting_power": 216706448.0, "shared_voting_power": 0.0, "sole_dispositive_power": 216706448.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 216706448.0, "percent_of_class": 29.0, "type_of_reporting_person": "OO", "comment_content": "(1) The percentage provided in Item 13 is calculated based on 746,328,225 shares outstanding as of June 29, 2026, as communicated by the Issuer to the Reporting Person." }, { "accession_no": "0000898860-26-000006", "person_seq": 2, "reporting_person_cik": 1464124, "reporting_person_name": "Frost Nevada Investments Trust", "fund_type": "WC", "citizenship_or_org": "FL", "sole_voting_power": 30127177.0, "shared_voting_power": 0.0, "sole_dispositive_power": 30127177.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 30127177.0, "percent_of_class": 4.0, "type_of_reporting_person": "OO", "comment_content": "(1) The percentage provided in Item 13 is calculated based on 746,328,225 shares outstanding as of June 29, 2026, as communicated by the Issuer to the Reporting Person." }, { "accession_no": "0000899140-26-000618", "person_seq": 0, "reporting_person_cik": 2069986, "reporting_person_name": "Globalharvest Holdings Venture Ltd", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 10540937.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10540937.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10540937.0, "percent_of_class": 11.93, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000899140-26-000621", "person_seq": 0, "reporting_person_cik": 1804598, "reporting_person_name": "GMS Ventures & Investments", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 37580638.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37580638.0, "aggregate_amount_owned": 37580638.0, "percent_of_class": 22.9, "type_of_reporting_person": "IV", "comment_content": "Comment relating to rows 8, 10, and 11: Includes warrants (the \"Warrants\") to purchase up to an aggregate of 15,488,570 shares of common stock, par value $0.01 per share (the \"Shares\"), of Outlook Therapeutics, Inc., a Delaware corporation (the \"Issuer\").\r\n\r\nComment relating to row 13: This percentage is calculated based upon 148,587,119 Shares outstanding immediately following the May 2026 Offering (as defined below), based on the Issuer's prospectus supplement relating to the May 2026 Offering filed with the Securities and Exchange Commission (the \"SEC\") on May 29, 2026, plus 15,488,570 Shares underlying the Warrants." }, { "accession_no": "0000899140-26-000621", "person_seq": 1, "reporting_person_cik": 1717441, "reporting_person_name": "SUKHTIAN GHIATH M.", "fund_type": "OO", "citizenship_or_org": "M2", "sole_voting_power": 0.0, "shared_voting_power": 37580638.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37580638.0, "aggregate_amount_owned": 37580638.0, "percent_of_class": 22.9, "type_of_reporting_person": "OO", "comment_content": "Comment relating to rows 8, 10, and 11: Includes Warrants to purchase up to an aggregate of 15,488,570 Shares.\r\n\r\nComment relating to row 13: This percentage is calculated based upon 148,587,119 Shares outstanding immediately following the May 2026 Offering, based on the Issuer's prospectus supplement relating to the May 2026 Offering filed with the SEC on May 29, 2026, plus 15,488,570 Shares underlying the Warrants." }, { "accession_no": "0000899140-26-000635", "person_seq": 0, "reporting_person_cik": 2055322, "reporting_person_name": "Dialectic Technology SPV LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16863839.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16863839.0, "aggregate_amount_owned": 16863839.0, "percent_of_class": 40.0, "type_of_reporting_person": "IV", "comment_content": "The amount listed in Rows 8, 10 and 11 consists of 2,653,308 shares of Common Stock of the Issuer, par value $0.01 per share (\"Common Stock\"), issuable on the exercise of the Forbearance Warrant (as defined herein) (\"Forbearance Warrant Shares\"), 11,020,645 shares of Common Stock issued on the conversion of the Convertible Notes (as defined herein) (\"Convert Shares\"), 3,083,975 shares of Common Stock issued in connection with the Conversion (as described below) (the \"Consideration Shares\") and 105,911 shares of Common Stock issuable on the exercise of the Conversion Warrant (as defined herein) (\"Conversion Warrant Shares\"). The Reporting Persons will not have the power to vote or dispose of (i) the Forbearance Warrant Shares unless, and to the extent, Dialectic Technology SPV LLC (\"Dialectic\") exercises its right to acquire Forbearance Warrant Shares in accordance with the terms of the Forbearance Warrant and (ii) the Conversion Warrant Shares unless, and to the extent, Dialectic exercises its right to acquire Conversion Warrant Shares in accordance with the terms of the Conversion Warrant.\n\nThe percentage calculated in Row 13 is based on a total of (i) 14,638,029 shares of Common Stock issued and outstanding of the Issuer as set forth in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on February 17, 2026 and (ii) 10,615,712 shares of Common Stock issued by the Issuer in connection with the private placement to certain investors as set forth in the Issuer's Current Report on Form 8-K filed with the SEC on June 2, 2026." }, { "accession_no": "0000899140-26-000635", "person_seq": 1, "reporting_person_cik": 2105254, "reporting_person_name": "Dialectic Technology Manager LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16863839.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16863839.0, "aggregate_amount_owned": 16863839.0, "percent_of_class": 40.0, "type_of_reporting_person": "IV", "comment_content": "The amount listed in Rows 8, 10 and 11 consists of 2,653,308 Forbearance Warrant Shares, 11,020,645 Convert Shares, 3,083,975 Consideration Shares and 105,911 Conversion Warrant Shares. The Reporting Persons will not have the power to vote or dispose of (i) the Forbearance Warrant Shares unless, and to the extent, Dialectic exercises its right to acquire Forbearance Warrant Shares in accordance with the terms of the Forbearance Warrant and (ii) the Conversion Warrant Shares unless, and to the extent, Dialectic exercises its right to acquire Conversion Warrant Shares in accordance with the terms of the Conversion Warrant.\n\nThe percentage calculated in Row 13 is based on a total of (i) 14,638,029 shares of Common Stock issued and outstanding of the Issuer as set forth in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on February 17, 2026 and (ii) 10,615,712 shares of Common Stock issued by the Issuer in connection with the private placement to certain investors as set forth in the Issuer's Current Report on Form 8-K filed with the SEC on June 2, 2026." }, { "accession_no": "0000899140-26-000635", "person_seq": 2, "reporting_person_cik": 1411509, "reporting_person_name": "JOHN FICHTHORN", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 28896.0, "shared_voting_power": 16863839.0, "sole_dispositive_power": 28896.0, "shared_dispositive_power": 16863839.0, "aggregate_amount_owned": 16892735.0, "percent_of_class": 40.0, "type_of_reporting_person": "EP", "comment_content": "The amount listed in Rows 8, 10 and 11 consists of 2,653,308 Forbearance Warrant Shares, 11,020,645 Convert Shares, 3,083,975 Consideration Shares and 105,911 Conversion Warrant Shares. The Reporting Persons will not have the power to vote or dispose of (i) the Forbearance Warrant Shares unless, and to the extent, Dialectic exercises its right to acquire Forbearance Warrant Shares in accordance with the terms of the Forbearance Warrant and (ii) the Conversion Warrant Shares unless, and to the extent, Dialectic exercises its right to acquire Conversion Warrant Shares in accordance with the terms of the Conversion Warrant.\n\nThe amount listed in Rows 7 and 9 consists of (i) 12,491 shares of Common Stock directly held by Mr. Fichthorn; and (ii) 16,405 restricted stock units (\"RSUs\") issued to Mr. Fichthorn in his capacity as a director of the Issuer.\n\nThe percentage calculated in Row 13 is based on a total of (i) 14,638,029 shares of Common Stock issued and outstanding of the Issuer as set forth in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on February 17, 2026 and (ii) 10,615,712 shares of Common Stock issued by the Issuer in connection with the private placement to certain investors as set forth in the Issuer's Current Report on Form 8-K filed with the SEC on June 2, 2026." }, { "accession_no": "0000899140-26-000707", "person_seq": 0, "reporting_person_cik": 2069986, "reporting_person_name": "Globalharvest Holdings Venture Ltd", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 12370439.0, "shared_voting_power": 0.0, "sole_dispositive_power": 12370439.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 12370439.0, "percent_of_class": 14.01, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000902664-26-002393", "person_seq": 0, "reporting_person_cik": 1998597, "reporting_person_name": "JANA Partners Management, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5339388.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5339388.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5339388.0, "percent_of_class": 4.99, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002450", "person_seq": 0, "reporting_person_cik": 1633313, "reporting_person_name": "Avoro Capital Advisors LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 15893516.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15893516.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15893516.0, "percent_of_class": 19.99, "type_of_reporting_person": "IA", "comment_content": "The amounts in rows (7), (9) and (11) include 13,044,114 shares of Common Stock issuable upon exercise of Pre-Funded Warrants. As more fully described in Item 5, the Pre-Funded Warrants are subject to the 19.99% Blocker (as defined in Item 5(a)) and the percentage set forth on row (13) gives effect to the 19.99% Blocker. The percentage set forth on row (13) and the number of shares of Common Stock set forth on rows (7), (9) and (11) reflect the full exercise of the Pre-Funded Warrants reported on this cover page; however, the ability to exercise such Pre-Funded Warrants at any given time is subject to the 19.99% Blocker which applies to the beneficial ownership of the Reporting Persons in the aggregate." }, { "accession_no": "0000902664-26-002450", "person_seq": 1, "reporting_person_cik": 1879253, "reporting_person_name": "Avoro Ventures LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 2288950.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2288950.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2288950.0, "percent_of_class": 4.1, "type_of_reporting_person": "IA", "comment_content": "The amounts in rows (7), (9) and (11) include 1,666,600 shares of Common Stock issuable upon exercise of Pre-Funded Warrants. As more fully described in Item 5, Avoro Ventures beneficially owns Pre-Funded Warrants subject to the19.99% Blocker. The percentage set forth on row (13) and the number of shares of Common Stock set forth on rows (7), (9) and (11) reflect the full exercise of the Pre-Funded Warrants reported on this cover page; however, the ability to exercise such Pre-Funded Warrants at any given time is subject to the 19.99% Blocker which applies to the beneficial ownership of the Reporting Persons in the aggregate." }, { "accession_no": "0000902664-26-002450", "person_seq": 2, "reporting_person_cik": 1701815, "reporting_person_name": "Behzad Aghazadeh", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 18292675.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18292675.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18292675.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "The amounts in rows (7), (9) and (11) include 110,209 shares of Common Stock underlying director stock options and 14,710,714 shares of Common Stock issuable upon exercise of Pre-Funded Warrants. As more fully described in Item 5, the Pre-Funded Warrants are subject to the 19.99% Blocker and the percentage set forth on row (13) gives effect to the 19.99% Blocker. However, rows (7), (9) and (11) show the number of shares of Common Stock that would be issuable upon the full exercise of the Pre-Funded Warrants and does not give effect to the 19.99% Blocker. Therefore, the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to the 19.99% Blocker, is less than the number of securities reported on rows (7), (9) and (11)." }, { "accession_no": "0000902664-26-002681", "person_seq": 0, "reporting_person_cik": 1365341, "reporting_person_name": "Cevian Capital II GP LTD", "fund_type": "AF", "citizenship_or_org": "Y9", "sole_voting_power": 101046788.0, "shared_voting_power": 0.0, "sole_dispositive_power": 101046788.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 101046788.0, "percent_of_class": 11.88, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002722", "person_seq": 0, "reporting_person_cik": 2040467, "reporting_person_name": "Trend International Holding AG", "fund_type": "WC", "citizenship_or_org": "V8", "sole_voting_power": 0.0, "shared_voting_power": 4170667.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4170667.0, "aggregate_amount_owned": 4170667.0, "percent_of_class": 11.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000902664-26-002722", "person_seq": 1, "reporting_person_cik": 1321614, "reporting_person_name": "Shawn Sedaghat", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 7633.0, "shared_voting_power": 6054425.0, "sole_dispositive_power": 7633.0, "shared_dispositive_power": 6054425.0, "aggregate_amount_owned": 6054425.0, "percent_of_class": 16.9, "type_of_reporting_person": "IN", "comment_content": "The 6,062,058 shares of Common Stock include a total of (i) 7,633 shares of Common Stock directly held by Mr. Sedaghat (including 2,853 shares of Common Stock underlying RSUs directly held by Mr. Sedaghat) and (ii) 6,054,425 shares of Common Stock held by Trend and Swan." }, { "accession_no": "0000902664-26-002759", "person_seq": 0, "reporting_person_cik": 1885245, "reporting_person_name": "Politan Capital Management LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002759", "person_seq": 1, "reporting_person_cik": 1984176, "reporting_person_name": "Politan Capital Management GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002759", "person_seq": 2, "reporting_person_cik": 1984175, "reporting_person_name": "Politan Capital Partners GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002759", "person_seq": 3, "reporting_person_cik": 1984174, "reporting_person_name": "Quentin Koffey", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000902664-26-002794", "person_seq": 0, "reporting_person_cik": 2096490, "reporting_person_name": "GreenWood Investors LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1312986.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1352490.0, "aggregate_amount_owned": 1352490.0, "percent_of_class": 7.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002794", "person_seq": 1, "reporting_person_cik": 2001007, "reporting_person_name": "Steven D Wood", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1312986.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1352490.0, "aggregate_amount_owned": 1352490.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000902664-26-002807", "person_seq": 0, "reporting_person_cik": 1704697, "reporting_person_name": "White Hat Strategic Partners LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3987090.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3987090.0, "aggregate_amount_owned": 3987090.0, "percent_of_class": 9.99, "type_of_reporting_person": "PN", "comment_content": "Includes 3,739,451 shares of Common Stock issuable upon conversion of shares of Series B-3 Convertible Preferred Stock (as defined in Item 5(a)). The conversion of shares of Series B-3 Convertible Preferred Stock reported herein is subject to the Blocker (as defined in Item 4 below) and the percentage set forth in row (13) gives effect to the Blocker. However, rows (8), (10) and (11) show the number of shares of Common Stock that would be issuable upon the conversion of the shares of Series B-3 Convertible Preferred Stock in full and does not give effect to the Blocker. Therefore, the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to the Blocker, is less than the number of securities reported in rows (8), (10) and (11). In addition, the voting power of the shares of Common Stock issuable upon conversion of the Series B-3 Preferred Stock is subject to restrictions set forth in the Voting Agreement (as defined and as described in Item 4)." }, { "accession_no": "0000902664-26-002807", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "White Hat SP GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3987090.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3987090.0, "aggregate_amount_owned": 3987090.0, "percent_of_class": 9.99, "type_of_reporting_person": "OO", "comment_content": "Includes 3,739,451 shares of Common Stock issuable upon conversion of shares of Series B-3 Convertible Preferred Stock. The conversion of shares of Series B-3 Convertible Preferred Stock reported herein is subject to the Blocker and the percentage set forth in row (13) gives effect to the Blocker. However, rows (8), (10) and (11) show the number of shares of Common Stock that would be issuable upon the conversion of the shares of Series B-3 Convertible Preferred Stock in full and does not give effect to the Blocker. Therefore, the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to the Blocker, is less than the number of securities reported in rows (8), (10) and (11). In addition, the voting power of the shares of Common Stock issuable upon conversion of the Series B-3 Preferred Stock is subject to restrictions set forth in the Voting Agreement." }, { "accession_no": "0000902664-26-002807", "person_seq": 2, "reporting_person_cik": 1929421, "reporting_person_name": "White Hat Strategic Partners II LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1069430.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1069430.0, "aggregate_amount_owned": 1069430.0, "percent_of_class": 3.46, "type_of_reporting_person": "PN", "comment_content": "Includes 969,430 shares of Common Stock issuable upon conversion of shares of Series B-3 Convertible Preferred Stock. The conversion of the shares of Series B-3 Convertible Preferred Stock reported herein is subject to the Blocker. The number of shares of Common Stock in rows (8), (10) and (11) and the percentage set forth in row (13) reflect the conversion in full of the Series B-3 Convertible Preferred Stock reported on this cover page, however, the ability to convert such Series B-3 Convertible Preferred Stock at any given time is subject to the Blocker which applies to the beneficial ownership of the Reporting Persons in the aggregate. In addition, the voting power of the shares of Common Stock issuable upon conversion of the Series B-3 Preferred Stock is subject to restrictions set forth in the Voting Agreement." }, { "accession_no": "0000902664-26-002807", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "White Hat SP GP II LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1069430.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1069430.0, "aggregate_amount_owned": 1069430.0, "percent_of_class": 3.46, "type_of_reporting_person": "OO", "comment_content": "Includes 969,430 shares of Common Stock issuable upon conversion of shares of Series B-3 Convertible Preferred Stock. The conversion of the shares of Series B-3 Convertible Preferred Stock reported herein is subject to the Blocker. The number of shares of Common Stock in rows (8), (10) and (11) and the percentage set forth in row (13) reflect the conversion in full of the Series B-3 Convertible Preferred Stock reported on this cover page, however, the ability to convert such Series B-3 Convertible Preferred Stock at any given time is subject to the Blocker which applies to the beneficial ownership of the Reporting Persons in the aggregate. In addition, the voting power of the shares of Common Stock issuable upon conversion of the Series B-3 Preferred Stock is subject to restrictions set forth in the Voting Agreement." }, { "accession_no": "0000902664-26-002807", "person_seq": 4, "reporting_person_cik": 2005699, "reporting_person_name": "White Hat Capital Partners LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5056520.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5056520.0, "aggregate_amount_owned": 5056520.0, "percent_of_class": 9.99, "type_of_reporting_person": "PN", "comment_content": "Includes 4,708,881 shares of Common Stock issuable upon conversion of shares of Series B-3 Convertible Preferred Stock. The conversion of shares of Series B-3 Convertible Preferred Stock reported herein is subject to the Blocker and the percentage set forth in row (13) gives effect to the Blocker. However, rows (8), (10) and (11) show the number of shares of Common Stock that would be issuable upon the conversion of the shares of Series B-3 Convertible Preferred Stock in full and does not give effect to the Blocker. Therefore, the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to the Blocker, is less than the number of securities reported in rows (8), (10) and (11). In addition, the voting power of the shares of Common Stock issuable upon conversion of the Series B-3 Preferred Stock is subject to restrictions set forth in the Voting Agreement." }, { "accession_no": "0000902664-26-002807", "person_seq": 5, "reporting_person_cik": 2004735, "reporting_person_name": "David J. Chanley", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 5056520.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5056520.0, "aggregate_amount_owned": 5056520.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": "Includes 4,708,881 shares of Common Stock issuable upon conversion of shares of Series B-3 Convertible Preferred Stock. The conversion of shares of Series B-3 Convertible Preferred Stock reported herein is subject to the Blocker and the percentage set forth in row (13) gives effect to the Blocker. However, rows (8), (10) and (11) show the number of shares of Common Stock that would be issuable upon the conversion of the shares of Series B-3 Convertible Preferred Stock in full and does not give effect to the Blocker. Therefore, the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to the Blocker, is less than the number of securities reported in rows (8), (10) and (11). In addition, the voting power of the shares of Common Stock issuable upon conversion of the Series B-3 Preferred Stock is subject to restrictions set forth in the Voting Agreement." }, { "accession_no": "0000902664-26-002807", "person_seq": 6, "reporting_person_cik": 1889157, "reporting_person_name": "Mark R. Quinlan", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 54054.0, "shared_voting_power": 5056520.0, "sole_dispositive_power": 54054.0, "shared_dispositive_power": 5056520.0, "aggregate_amount_owned": 5110574.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": "Includes 4,708,881 shares of Common Stock issuable upon conversion of shares of Series B-3 Convertible Preferred Stock and 54,054 shares of Common Stock underlying restricted stock units (see Item 6 of the Schedule 13D). The conversion of shares of Series B-3 Convertible Preferred Stock reported herein is subject to the Blocker and the percentage set forth in row (13) gives effect to the Blocker. However, rows (8), (10) and (11) show the number of shares of Common Stock that would be issuable upon the conversion of the shares of Series B-3 Convertible Preferred Stock in full and does not give effect to the Blocker. Therefore, the actual number of shares of Common Stock beneficially owned by such Reporting Person, after giving effect to the Blocker, is less than the number of securities reported in rows (8), (10) and (11). In addition, the voting power of the shares of Common Stock issuable upon conversion of the Series B-3 Preferred Stock is subject to restrictions set forth in the Voting Agreement." }, { "accession_no": "0000902664-26-002882", "person_seq": 0, "reporting_person_cik": 1365341, "reporting_person_name": "Cevian Capital II GP Limited", "fund_type": "AF", "citizenship_or_org": "Y9", "sole_voting_power": 110804501.0, "shared_voting_power": 0.0, "sole_dispositive_power": 110804501.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 110804501.0, "percent_of_class": 13.09, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002944", "person_seq": 0, "reporting_person_cik": 1998597, "reporting_person_name": "JANA Partners Management, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 6747707.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6747707.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6747707.0, "percent_of_class": 6.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002963", "person_seq": 0, "reporting_person_cik": 1458994, "reporting_person_name": "HMI Capital Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4990713.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4990713.0, "aggregate_amount_owned": 4990713.0, "percent_of_class": 4.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000902664-26-002963", "person_seq": 1, "reporting_person_cik": 1469026, "reporting_person_name": "HMI Capital Management, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4990713.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4990713.0, "aggregate_amount_owned": 4990713.0, "percent_of_class": 4.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-002963", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "HMI Capital Fund GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4990713.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4990713.0, "aggregate_amount_owned": 4990713.0, "percent_of_class": 4.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000902664-26-002963", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Members GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4990713.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4990713.0, "aggregate_amount_owned": 4990713.0, "percent_of_class": 4.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000902664-26-002963", "person_seq": 4, "reporting_person_cik": 1294991, "reporting_person_name": "Marco W. Hellman", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4990713.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4990713.0, "aggregate_amount_owned": 4990713.0, "percent_of_class": 4.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000902664-26-002998", "person_seq": 0, "reporting_person_cik": 1163368, "reporting_person_name": "PACIFIC INVESTMENT MANAGEMENT CO LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 16815361.0, "shared_voting_power": 0.0, "sole_dispositive_power": 16815361.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 16815361.0, "percent_of_class": 48.8, "type_of_reporting_person": "IA", "comment_content": "The amounts reported on Rows 7, 9, and 11 include (a) 15,166,643 shares of Common Stock, (b) a warrant exercisable for an indeterminate number of shares of Common Stock equal to (i) 23.0% of the Common Stock Deemed Outstanding (as defined in the Replacement 2020 Warrant (as defined below)) less 9,506,723 shares of Common Stock (representing the shares of Common Stock issued upon the partial exercise of the 2020 Warrant (defined below) described in Item 3), (c) a warrant exercisable for an indeterminate number of shares of Common Stock equal to 5.0% of the Common Stock Deemed Outstanding (as defined in the Replacement 2021 Warrant (as defined below)) less 2,063,443 shares of Common Stock (representing the shares of Common Stock issued upon the partial exercise of the 2021 Warrant (as defined below) described in Item 3), (d) a warrant exercisable for an indeterminate number of shares of Common Stock equal to 5.0% of the Common Stock Deemed Outstanding (as defined in the Replacement 2022 Warrant (as defined below) less 2,063,443 shares of Common Stock (representing the shares of Common Stock issued upon the partial exercise of the 2022 Warrant (as defined below) described in Item 3), and (e) the 2023 Warrant exercisable for 1,636,313 shares of Common Stock.\n\nThe percentage reported in Row 13 is based on 32,773,750 shares of Common Stock outstanding as of June 30, 2026, as reported in the Issuer's current report on Form 8-K, filed with the SEC on July 2, 2026, plus 12,405 shares of Common Stock underlying the warrants referred to in clauses (b), (c) and (d) of footnote 1 above, plus 1,636,313 shares of Common Stock underlying the warrant referred to in clause (e) of footnote 1 above. Except with respect to the 2023 Warrant, the number of shares of Common Stock that will actually be issued upon exercise of the warrants described in this statement will not be known with certainty until the time such warrants are exercised. The number of shares of Common Stock actually issued upon exercise of such warrants may be materially different than the number of shares reflected in this statement." }, { "accession_no": "0000902664-26-003000", "person_seq": 0, "reporting_person_cik": 1910456, "reporting_person_name": "Lynx1 Capital Management LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 673759.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 673759.0, "aggregate_amount_owned": 673759.0, "percent_of_class": 21.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000902664-26-003000", "person_seq": 1, "reporting_person_cik": 1746376, "reporting_person_name": "Weston Nichols", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 673759.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 673759.0, "aggregate_amount_owned": 673759.0, "percent_of_class": 21.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000902664-26-003018", "person_seq": 0, "reporting_person_cik": 1317904, "reporting_person_name": "Oasis Management Co Ltd.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 843517.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 843517.0, "aggregate_amount_owned": 843517.0, "percent_of_class": 10.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000902664-26-003018", "person_seq": 1, "reporting_person_cik": 1530803, "reporting_person_name": "Oasis Investments II Master Fund Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 843517.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 843517.0, "aggregate_amount_owned": 843517.0, "percent_of_class": 10.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000902664-26-003018", "person_seq": 2, "reporting_person_cik": 1456474, "reporting_person_name": "Seth Fischer", "fund_type": "AF", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 843517.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 843517.0, "aggregate_amount_owned": 843517.0, "percent_of_class": 10.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000902664-26-003041", "person_seq": 0, "reporting_person_cik": 1313756, "reporting_person_name": "Owl Creek Asset Management, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5411776.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5411776.0, "aggregate_amount_owned": 5411776.0, "percent_of_class": 27.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000902664-26-003041", "person_seq": 1, "reporting_person_cik": 1269751, "reporting_person_name": "Jeffrey A. Altman", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 139908.0, "shared_voting_power": 5411776.0, "sole_dispositive_power": 139908.0, "shared_dispositive_power": 5411776.0, "aggregate_amount_owned": 5551684.0, "percent_of_class": 28.5, "type_of_reporting_person": "IN", "comment_content": "Note to rows (7)(9)(11)(13): Includes a total of (i) 15,416 vested and unvested restricted stock awards held by Mr. Altman and (ii) 124,492 shares of Common Stock directly held by Mr. Altman." }, { "accession_no": "0000902664-26-003126", "person_seq": 0, "reporting_person_cik": 2060465, "reporting_person_name": "Celadon Partners SPV 24", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 25748890.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25748890.0, "aggregate_amount_owned": 25748890.0, "percent_of_class": 54.6, "type_of_reporting_person": "OO", "comment_content": "Includes 15,971,890 shares of issuable upon the exchange of the Initial Notes (as defined in Item 3 of the Schedule 13D) issued on May 20, 2026, assuming the requisite stockholder approval of the Issuer's stockholders is obtained, and immediate exchange of such Initial Notes for Common Stock pursuant to the Securities Purchase Agreement (as defined in Item 3 of the Schedule 13D)." }, { "accession_no": "0000902664-26-003126", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Celadon Partners, LLC", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 25748890.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25748890.0, "aggregate_amount_owned": 25748890.0, "percent_of_class": 54.6, "type_of_reporting_person": "OO", "comment_content": "Includes 15,971,890 shares of Common Stock issuable upon the exchange of the Initial Notes (as defined in Item 3 of the Schedule 13D) issued on May 20, 2026, assuming the requisite stockholder approval of the Issuer's stockholders is obtained, and immediate exchange of such Initial Notes for Common Stock pursuant to the Securities Purchase Agreement (as defined in Item 3 of the Schedule 13D)." }, { "accession_no": "0000902664-26-003126", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "CPIF II-7 Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 25748890.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25748890.0, "aggregate_amount_owned": 25748890.0, "percent_of_class": 54.6, "type_of_reporting_person": "OO", "comment_content": "Includes 15,971,890 shares of Common Stock issuable upon the exchange of the Initial Notes (as defined in Item 3 of the Schedule 13D) issued on May 20, 2026, assuming the requisite stockholder approval of the Issuer's stockholders is obtained, and immediate exchange of such Initial Notes for Common Stock pursuant to the Securities Purchase Agreement (as defined in Item 3 of the Schedule 13D)." }, { "accession_no": "0000902664-26-003225", "person_seq": 0, "reporting_person_cik": 1273782, "reporting_person_name": "GLENBROOK CAPITAL MANAGEMENT", "fund_type": "AF", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 1057804.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1057804.0, "aggregate_amount_owned": 1057804.0, "percent_of_class": 19.95, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000902664-26-003252", "person_seq": 0, "reporting_person_cik": 1365341, "reporting_person_name": "Cevian Capital II GP Limited", "fund_type": "AF", "citizenship_or_org": "Y9", "sole_voting_power": 119179419.0, "shared_voting_power": 0.0, "sole_dispositive_power": 119179419.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 119179419.0, "percent_of_class": 14.18, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-003281", "person_seq": 0, "reporting_person_cik": 1633313, "reporting_person_name": "Avoro Capital Advisors LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2598973.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2598973.0, "aggregate_amount_owned": 2598973.0, "percent_of_class": 13.78, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-003281", "person_seq": 1, "reporting_person_cik": 1879253, "reporting_person_name": "Avoro Ventures LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 489915.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 489915.0, "aggregate_amount_owned": 489915.0, "percent_of_class": 2.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000902664-26-003281", "person_seq": 2, "reporting_person_cik": 1701815, "reporting_person_name": "Aghazadeh Behzad", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3088888.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3088888.0, "aggregate_amount_owned": 3088888.0, "percent_of_class": 16.37, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000902664-26-003314", "person_seq": 0, "reporting_person_cik": 1317904, "reporting_person_name": "Oasis Management Co Ltd.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 666575.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 666575.0, "aggregate_amount_owned": 666575.0, "percent_of_class": 8.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000902664-26-003314", "person_seq": 1, "reporting_person_cik": 1530803, "reporting_person_name": "Oasis Investments II Master Fund Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 666575.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 666575.0, "aggregate_amount_owned": 666575.0, "percent_of_class": 8.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000902664-26-003314", "person_seq": 2, "reporting_person_cik": 1456474, "reporting_person_name": "Seth Fischer", "fund_type": "AF", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 666575.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 666575.0, "aggregate_amount_owned": 666575.0, "percent_of_class": 8.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 0, "reporting_person_cik": 1103804, "reporting_person_name": "VIKING GLOBAL INVESTORS LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 58651170.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58651170.0, "aggregate_amount_owned": 58651170.0, "percent_of_class": 15.0, "type_of_reporting_person": "PN", "comment_content": "All share percentage calculations in this Schedule 13D are based on 390,368,119 shares of Common Stock outstanding as of May 4, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on May 6, 2026." }, { "accession_no": "0000905148-26-002940", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Viking Global Opportunities Parent GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 58651170.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58651170.0, "aggregate_amount_owned": 58651170.0, "percent_of_class": 15.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Viking Global Opportunities GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39296310.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39296310.0, "aggregate_amount_owned": 39296310.0, "percent_of_class": 10.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Viking Global Opportunities Portfolio GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39296310.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39296310.0, "aggregate_amount_owned": 39296310.0, "percent_of_class": 10.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Viking Global Opportunities Illiquid Investments Sub-Master LP", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 39296310.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39296310.0, "aggregate_amount_owned": 39296310.0, "percent_of_class": 10.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Viking Global Opportunities Drawdown GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19354860.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19354860.0, "aggregate_amount_owned": 19354860.0, "percent_of_class": 5.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Viking Global Opportunities Drawdown Portfolio GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19354860.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19354860.0, "aggregate_amount_owned": 19354860.0, "percent_of_class": 5.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Viking Global Opportunities Drawdown (Aggregator) LP", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 19354860.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19354860.0, "aggregate_amount_owned": 19354860.0, "percent_of_class": 5.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "HALVORSEN OLE ANDREAS", "fund_type": "AF", "citizenship_or_org": "Q8", "sole_voting_power": 0.0, "shared_voting_power": 58651170.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58651170.0, "aggregate_amount_owned": 58651170.0, "percent_of_class": 15.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000905148-26-002940", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Shabet Rose Sharon", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 58651170.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58651170.0, "aggregate_amount_owned": 58651170.0, "percent_of_class": 15.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000905148-26-002994", "person_seq": 0, "reporting_person_cik": 1744219, "reporting_person_name": "Eldridge Industries, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000905148-26-002994", "person_seq": 1, "reporting_person_cik": 1744269, "reporting_person_name": "Boehly Todd L", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000905148-26-002994", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Security Benefit Life Insurance Company", "fund_type": "OO", "citizenship_or_org": "KS", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000905148-26-002994", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Dust Bowl Capital, LLC", "fund_type": "OO", "citizenship_or_org": "KS", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000905148-26-002996", "person_seq": 0, "reporting_person_cik": 1827235, "reporting_person_name": "TCM Strategic Partners L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000905148-26-002996", "person_seq": 1, "reporting_person_cik": 1827269, "reporting_person_name": "TCM Strategic GP LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000905148-26-002996", "person_seq": 2, "reporting_person_cik": 1536534, "reporting_person_name": "mccormack riley", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 64659.0, "shared_voting_power": 0.0, "sole_dispositive_power": 64659.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 64659.0, "percent_of_class": 0.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000905148-26-003214", "person_seq": 0, "reporting_person_cik": 1781002, "reporting_person_name": "Bleichroeder LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1249141.59, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1249141.59, "aggregate_amount_owned": 1249141.59, "percent_of_class": 41.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000905148-26-003214", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bleichroeder Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1249141.59, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1249141.59, "aggregate_amount_owned": 1249141.59, "percent_of_class": 41.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000905148-26-003214", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Andrew Gundlach", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1249141.59, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1249141.59, "aggregate_amount_owned": 1249141.59, "percent_of_class": 41.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000905148-26-003216", "person_seq": 0, "reporting_person_cik": 703361, "reporting_person_name": "Renesas Electronics America Inc.", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 3558691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3558691.0, "aggregate_amount_owned": 3558691.0, "percent_of_class": 11.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000905148-26-003216", "person_seq": 1, "reporting_person_cik": 1774474, "reporting_person_name": "Renesas Electronics Corporation", "fund_type": "OO", "citizenship_or_org": "M0", "sole_voting_power": 0.0, "shared_voting_power": 3558691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3558691.0, "aggregate_amount_owned": 3558691.0, "percent_of_class": 11.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000905148-26-003237", "person_seq": 0, "reporting_person_cik": 1103804, "reporting_person_name": "VIKING GLOBAL INVESTORS LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9792219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9792219.0, "aggregate_amount_owned": 9792219.0, "percent_of_class": 5.0, "type_of_reporting_person": "PN", "comment_content": "Each of the Reporting Persons beneficially owns approximately 4.9951% of the outstanding shares of the Common Stock, par value $0.001 per share (the \"Common Stock\"), of BridgeBio Pharma, Inc. (the \"Issuer\"). The percent of class reported in Row 13 has been rounded to 5% in accordance with the instructions to Schedule 13D in Rule 13d-101.\n\nAll share percentage calculations in this Amendment No. 12 to the Schedule 13D are based on 196,036,786 shares of Common Stock of the Issuer outstanding as of May 31, 2026, as reported in exhibit 10.1 to the Issuer's current report on Form 8-K filed with the Securities and Exchange Commission (the \"Commission\") on July 2, 2026." }, { "accession_no": "0000905148-26-003237", "person_seq": 1, "reporting_person_cik": 1886738, "reporting_person_name": "Viking Global Opportunities Parent GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9792219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9792219.0, "aggregate_amount_owned": 9792219.0, "percent_of_class": 5.0, "type_of_reporting_person": "OO", "comment_content": "Each of the Reporting Persons beneficially owns approximately 4.9951% of the outstanding shares of the Issuer's Common Stock. The percent of class reported in Row 13 has been rounded to 5% in accordance with the instructions to Schedule 13D in Rule 13d-101." }, { "accession_no": "0000905148-26-003237", "person_seq": 2, "reporting_person_cik": 1629476, "reporting_person_name": "Viking Global Opportunities GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9792219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9792219.0, "aggregate_amount_owned": 9792219.0, "percent_of_class": 5.0, "type_of_reporting_person": "OO", "comment_content": "Each of the Reporting Persons beneficially owns approximately 4.9951% of the outstanding shares of the Issuer's Common Stock. The percent of class reported in Row 13 has been rounded to 5% in accordance with the instructions to Schedule 13D in Rule 13d-101." }, { "accession_no": "0000905148-26-003237", "person_seq": 3, "reporting_person_cik": 1629472, "reporting_person_name": "Viking Global Opportunities Portfolio GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9792219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9792219.0, "aggregate_amount_owned": 9792219.0, "percent_of_class": 5.0, "type_of_reporting_person": "OO", "comment_content": "Each of the Reporting Persons beneficially owns approximately 4.9951% of the outstanding shares of the Issuer's Common Stock. The percent of class reported in Row 13 has been rounded to 5% in accordance with the instructions to Schedule 13D in Rule 13d-101." }, { "accession_no": "0000905148-26-003237", "person_seq": 4, "reporting_person_cik": 1629482, "reporting_person_name": "Viking Global Opportunities Illiquid Investments Sub-Master LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 9792219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9792219.0, "aggregate_amount_owned": 9792219.0, "percent_of_class": 5.0, "type_of_reporting_person": "PN", "comment_content": "Each of the Reporting Persons beneficially owns approximately 4.9951% of the outstanding shares of the Issuer's Common Stock. The percent of class reported in Row 13 has been rounded to 5% in accordance with the instructions to Schedule 13D in Rule 13d-101." }, { "accession_no": "0000905148-26-003237", "person_seq": 5, "reporting_person_cik": 1133006, "reporting_person_name": "HALVORSEN OLE ANDREAS", "fund_type": "OO", "citizenship_or_org": "Q8", "sole_voting_power": 0.0, "shared_voting_power": 9792219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9792219.0, "aggregate_amount_owned": 9792219.0, "percent_of_class": 5.0, "type_of_reporting_person": "IN", "comment_content": "Each of the Reporting Persons beneficially owns approximately 4.9951% of the outstanding shares of the Issuer's Common Stock. The percent of class reported in Row 13 has been rounded to 5% in accordance with the instructions to Schedule 13D in Rule 13d-101." }, { "accession_no": "0000905148-26-003237", "person_seq": 6, "reporting_person_cik": 1711393, "reporting_person_name": "Shabet Rose Sharon", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9792219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9792219.0, "aggregate_amount_owned": 9792219.0, "percent_of_class": 5.0, "type_of_reporting_person": "IN", "comment_content": "Each of the Reporting Persons beneficially owns approximately 4.9951% of the outstanding shares of the Issuer's Common Stock. The percent of class reported in Row 13 has been rounded to 5% in accordance with the instructions to Schedule 13D in Rule 13d-101." }, { "accession_no": "0000905148-26-003279", "person_seq": 0, "reporting_person_cik": 1513021, "reporting_person_name": "Achillefs Konstantakopoulos", "fund_type": "PF", "citizenship_or_org": "J3", "sole_voting_power": 4823706.0, "shared_voting_power": 156000.0, "sole_dispositive_power": 4823706.0, "shared_dispositive_power": 156000.0, "aggregate_amount_owned": 4979706.0, "percent_of_class": 20.5, "type_of_reporting_person": "IN", "comment_content": "Note to 11: Achillefs Konstantakopoulos personally owns 4,979,706 shares. This number also includes (i) 156,000 shares owned by the reporting person's spouse and (ii) half of the shares (810,612) of Costamare Shipping Services Ltd. The reporting person disclaims beneficial ownership of the shares owned by the reporting person's spouse, and the reporting thereof shall not constitute an admission that the reporting person is a beneficial owner of such shares.\n\nNote to 13: The percent ownership is calculated based upon an aggregate of 24,301,490 shares outstanding." }, { "accession_no": "0000905148-26-003279", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Costamare Shipping Services Ltd.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 810612.0, "shared_voting_power": 0.0, "sole_dispositive_power": 810612.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 810612.0, "percent_of_class": 3.3, "type_of_reporting_person": "CO", "comment_content": "Note to 11: Achillefs Konstantakopoulos owns 50% of the outstanding equity of Costamare Shipping Services Ltd., resulting in his indirect ownership of half of the stock (810,612 shares) owned by Costamare Shipping Services Ltd.\n\nNote to 13: The percent ownership is calculated based upon an aggregate of 24,301,490 shares outstanding." }, { "accession_no": "0000908834-26-000312", "person_seq": 0, "reporting_person_cik": 909661, "reporting_person_name": "FARALLON CAPITAL MANAGEMENT, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Dapice Joshua J.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Dreyfuss, Philip D.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Dunn Hannah E.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Gehani, Varun N.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Giauque, Nicolas", "fund_type": "AF", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Husen, Avner A.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Kim, David T.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Linn, Michael G.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Luo Patrick (Cheng)", "fund_type": "AF", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000312", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Roberts, Jr., Thomas G.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9370093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9370093.0, "aggregate_amount_owned": 9370093.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": 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"type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000323", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Dreyfuss, Philip D.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000323", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Dunn Hannah E.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000323", "person_seq": 4, "reporting_person_cik": null, 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"comment_content": null }, { "accession_no": "0000908834-26-000323", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Luo Patrick (Cheng)", "fund_type": "AF", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000323", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Roberts, Jr., Thomas G.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000323", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Saito Edric 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0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Steven Sarracino", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1290178.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1290178.0, "aggregate_amount_owned": 1290178.0, "percent_of_class": 9.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 1, "reporting_person_cik": 1992147, "reporting_person_name": "Activant Ventures Advisors III, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1217972.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1217972.0, "aggregate_amount_owned": 1217972.0, "percent_of_class": 8.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Activant Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1217972.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1217972.0, "aggregate_amount_owned": 1217972.0, "percent_of_class": 8.5, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Activant Ventures III, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 673960.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 673960.0, "aggregate_amount_owned": 673960.0, "percent_of_class": 4.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Activant Holdings I, Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Activant Ventures III Opportunities Fund 1, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 142084.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 142084.0, "aggregate_amount_owned": 142084.0, "percent_of_class": 1.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Activant Ventures III Opportunities Fund 2, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 235332.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 235332.0, "aggregate_amount_owned": 235332.0, "percent_of_class": 1.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Activant Ventures III Opportunities Fund 3, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17350.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17350.0, "aggregate_amount_owned": 17350.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Activant Ventures III Opportunities Fund 4, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 27832.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 27832.0, "aggregate_amount_owned": 27832.0, "percent_of_class": 0.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Activant Ventures III Opportunities Fund 6, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 121414.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 121414.0, "aggregate_amount_owned": 121414.0, "percent_of_class": 0.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "PAVF Holding Company Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 72206.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 72206.0, "aggregate_amount_owned": 72206.0, "percent_of_class": 0.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000908834-26-000334", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Better Voyager Partners Company Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 72206.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 72206.0, "aggregate_amount_owned": 72206.0, "percent_of_class": 0.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000908834-26-000356", "person_seq": 0, "reporting_person_cik": 2077938, "reporting_person_name": "Michael Bernard Hess", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 2500000.0, "shared_voting_power": 1000000.0, "sole_dispositive_power": 2500000.0, "shared_dispositive_power": 1000000.0, "aggregate_amount_owned": 3500000.0, "percent_of_class": 5.55, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000908834-26-000356", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "SS3H Ventures LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1000000.0, "aggregate_amount_owned": 1000000.0, "percent_of_class": 1.59, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000908834-26-000356", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Kelly J. Engel", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1000000.0, "aggregate_amount_owned": 1000000.0, "percent_of_class": 1.59, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000766", "person_seq": 0, "reporting_person_cik": 2047012, "reporting_person_name": "Trina Solar (Schweiz) AG", "fund_type": "OO", "citizenship_or_org": "V8", "sole_voting_power": 30652664.0, "shared_voting_power": 0.0, "sole_dispositive_power": 30652664.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 30652664.0, "percent_of_class": 11.0, "type_of_reporting_person": "CO", "comment_content": "Percent of class calculated based on 279,271,380 shares of common stock of the Issuer outstanding as of May 8, 2026, as reported by the Issuer on the 10-Q filed with the Securities and Exchange Commission on May 12, 2026." }, { "accession_no": "0000912282-26-000772", "person_seq": 0, "reporting_person_cik": 1515184, "reporting_person_name": "Ehrlichman Matt", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 24280995.0, "shared_voting_power": 0.0, "sole_dispositive_power": 24280995.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 24280995.0, "percent_of_class": 21.0, "type_of_reporting_person": "IN", "comment_content": "The numbers reported in Items 7, 9, and 11 include 21,538,060 shares of Common Stock beneficially owned by Mr. Ehrlichman, options exercisable for 1,892,203 shares of Common Stock and 850,732 restricted stock units, none of which vest within 60 days. The percentage reported in Item 13 is calculated based on 113,051,663 shares outstanding as of May 21, 2026, plus 1,892,203 options and 850,732 restricted stock units. The number of Issuer shares outstanding excludes 18,312,208 shares held by Porch Reciprocal Exchange, an affiliate of the Issuer, which are considered treasury shares for GAAP accounting purposes and under Delaware law and are not considered outstanding for quorum and are not entitled to vote." }, { "accession_no": "0000912282-26-000837", "person_seq": 0, "reporting_person_cik": 2101945, "reporting_person_name": "Endeavor Blockchain, LLC", "fund_type": "WC", "citizenship_or_org": "AR", "sole_voting_power": 1550000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1550000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1550000.0, "percent_of_class": 28.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000912282-26-000837", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Joshua Kilgore", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8000.0, "shared_voting_power": 1550000.0, "sole_dispositive_power": 8000.0, "shared_dispositive_power": 1550000.0, "aggregate_amount_owned": 1558000.0, "percent_of_class": 28.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000837", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Cody Smith", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 85000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85000.0, "percent_of_class": 1.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000837", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "PM Squared, LLC", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 14067.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14067.0, "aggregate_amount_owned": 14067.0, "percent_of_class": 0.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000912282-26-000837", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Phillip Stanley", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 14067.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14067.0, "aggregate_amount_owned": 14067.0, "percent_of_class": 0.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000883", "person_seq": 0, "reporting_person_cik": 1812080, "reporting_person_name": "Valence Investments SPV IV, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 356989.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 356989.0, "aggregate_amount_owned": 356989.0, "percent_of_class": 1.2, "type_of_reporting_person": "PN", "comment_content": "The calculation of percentage ownership is based on a total of 30,736,401 shares of Issuer common stock as of June 25, 2026, as set forth by the Issuer." }, { "accession_no": "0000912282-26-000883", "person_seq": 1, "reporting_person_cik": 1854361, "reporting_person_name": "Valence Investments SPV V, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 86098.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 86098.0, "aggregate_amount_owned": 86098.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "(1) Includes 66,228 shares of common stock and 19,870 immediately exercisable warrants to purchase common stock at an exercise price of $27.94 per share received pursuant to the Merger Agreement.\n(2) The calculation of percentage ownership is based on a total of 30,736,401 shares of Issuer common stock as of June 25, 2026, as set forth by the Issuer." }, { "accession_no": "0000912282-26-000883", "person_seq": 2, "reporting_person_cik": 1971787, "reporting_person_name": "Valence Investments SPV VI, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 316109.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 316109.0, "aggregate_amount_owned": 316109.0, "percent_of_class": 1.0, "type_of_reporting_person": "PN", "comment_content": "The calculation of percentage ownership is based on a total of 30,736,401 shares of Issuer common stock as of June 25, 2026, as set forth by the Issuer." }, { "accession_no": "0000912282-26-000883", "person_seq": 3, "reporting_person_cik": 1576244, "reporting_person_name": "Eric W. Roberts", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1206720.0, "shared_voting_power": 759196.0, "sole_dispositive_power": 1206720.0, "shared_dispositive_power": 759196.0, "aggregate_amount_owned": 1965916.0, "percent_of_class": 6.4, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 366,435 shares of common stock held directly by Mr. Roberts, 144,705 shares of common stock held in individual retirement accounts for the benefit of Mr. Roberts,317,608 Employee Stock Options to purchase common stock at an exercise price ranging from $0.585 to $17.34, and 421,143 warrants to purchase common stock at an exercise price ranging from $0.8033 to $10.42 per share.\n\n(2) Includes 19,870 warrants to purchase common stock at an exercise price of $27.94 held by Valence Investments SPV V, LLC, 356,989 shares of common stock held by Valence Investments SPV IV, LLC, 66,228 shares of common stock held by Valence Investments SPV V, LLC, and 316,109 shares of common stock held by Valence Investments SPV VI, LLC. Mr. Roberts is a co-founder and managing director of Valence Investments SPV IV, LLC, Valence Investments SPV V, LLC, and Valence Investments SPV VI, LLC.\n\n(3) The calculation of percentage ownership is based on a total of 30,736,401 shares of Issuer common stock as of June 25, 2026, as set forth by the Issuer." }, { "accession_no": "0000912282-26-000883", "person_seq": 4, "reporting_person_cik": 1484729, "reporting_person_name": "A. Rachel Leheny", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1167151.0, "shared_voting_power": 759196.0, "sole_dispositive_power": 1167151.0, "shared_dispositive_power": 759196.0, "aggregate_amount_owned": 1926347.0, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 317,655 shares of common stock held directly by Ms. Leheny, 3,500 shares of common stock held by Ms. Leheny's revocable trust, 1,000 shares of common stock held by Ms. Leheny's spouse, 792,120 Employee Stock Options to purchase common stock at an exercise price ranging from $0.585 to $17.34, and 419,001 warrants to purchase common stock at an exercise price ranging from $0.8033 to $7.15 per share.\n\n(2) Includes 19,870 warrants to purchase common stock at an exercise price of $27.94 held by Valence Investments SPV V, LLC, 356,989 shares of common stock held by Valence Investments SPV IV, LLC, 66,228 shares of common stock held by Valence Investments SPV V, LLC, and 316,109 shares of common stock held by Valence Investments SPV VI, LLC. Ms. Leheny is a co-founder and managing director of Valence Investments SPV IV, LLC, Valence Investments SPV V, LLC, and Valence Investments SPV VI, LLC.\n\n(3) The calculation of percentage ownership is based on a total of 30,736,401 shares of Issuer common stock as of June 25, 2026, as set forth by the Issuer." }, { "accession_no": "0000912282-26-000917", "person_seq": 0, "reporting_person_cik": 2101945, "reporting_person_name": "Endeavor Blockchain, LLC", "fund_type": "WC", "citizenship_or_org": "AR", "sole_voting_power": 0.0, "shared_voting_power": 3545221.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3545221.0, "aggregate_amount_owned": 3545221.0, "percent_of_class": 46.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000912282-26-000917", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Joshua Kilgore", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8000.0, "shared_voting_power": 3545221.0, "sole_dispositive_power": 8000.0, "shared_dispositive_power": 3545221.0, "aggregate_amount_owned": 3553221.0, "percent_of_class": 46.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000917", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Cody Smith", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 85000.0, "shared_voting_power": 1995221.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 1995221.0, "aggregate_amount_owned": 2080221.0, "percent_of_class": 27.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000917", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "PM Squared, LLC", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 2009288.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2009288.0, "aggregate_amount_owned": 2099288.0, "percent_of_class": 26.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000912282-26-000917", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Phillip Stanley", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2009288.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2009288.0, "aggregate_amount_owned": 2009288.0, "percent_of_class": 26.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000917", "person_seq": 5, "reporting_person_cik": 0, "reporting_person_name": "Six Thirty AI, LLC", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 1995221.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1995221.0, "aggregate_amount_owned": 1995221.0, "percent_of_class": 26.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000912282-26-000961", "person_seq": 0, "reporting_person_cik": 1216017, "reporting_person_name": "Alafi Capital Company LLC", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 5242996.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5242996.0, "aggregate_amount_owned": 5242996.0, "percent_of_class": 17.1, "type_of_reporting_person": "OO", "comment_content": "Includes 5,112,345 shares of common stock held directly by the Reporting Person and 130,651 warrants to purchase common stock at an exercise price of $7.15 held by the Reporting Issuer.\n\nThe calculation of percentage ownership is based on a total of 30,736,401 shares of Issuer common stock as of June 25, 2026, as set forth by the Issuer." }, { "accession_no": "0000912282-26-000961", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Christopher D. Alafi", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5242996.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5242996.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5242996.0, "percent_of_class": 17.1, "type_of_reporting_person": "IN", "comment_content": "Includes 5,112,345 shares of common stock held directly by the Reporting Person and 130,651 warrants to purchase common stock at an exercise price of $7.15 held by the Reporting Issuer. The calculation of percentage ownership is based on a total of 30,736,401 shares of Issuer common stock as of June 25, 2026, as set forth by the Issuer." }, { "accession_no": "0000912282-26-000965", "person_seq": 0, "reporting_person_cik": 2101945, "reporting_person_name": "Endeavor Blockchain, LLC", "fund_type": "WC", "citizenship_or_org": "AR", "sole_voting_power": 0.0, "shared_voting_power": 3545221.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3545221.0, "aggregate_amount_owned": 3545221.0, "percent_of_class": 46.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000912282-26-000965", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Joshua Kilgore", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8000.0, "shared_voting_power": 3545221.0, "sole_dispositive_power": 8000.0, "shared_dispositive_power": 3545221.0, "aggregate_amount_owned": 3553221.0, "percent_of_class": 46.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000965", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Cody Smith", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 85000.0, "shared_voting_power": 1995221.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 1995221.0, "aggregate_amount_owned": 2080221.0, "percent_of_class": 27.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000965", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "PM Squared, LLC", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 2009288.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2009288.0, "aggregate_amount_owned": 2099288.0, "percent_of_class": 26.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000912282-26-000965", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Phillip Stanley", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2009288.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2009288.0, "aggregate_amount_owned": 2009288.0, "percent_of_class": 26.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-000965", "person_seq": 5, "reporting_person_cik": 2144081, "reporting_person_name": "Six Thirty AI, LLC", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 1995221.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1995221.0, "aggregate_amount_owned": 1995221.0, "percent_of_class": 26.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000912282-26-001003", "person_seq": 0, "reporting_person_cik": 2093136, "reporting_person_name": "Heinrich Michael", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5579783.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5579783.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5579783.0, "percent_of_class": 30.2, "type_of_reporting_person": "IN", "comment_content": "Percentage of class is based on 17,489,828 outstanding Issuer shares as of July 20, 2026, and has been calculated on a partially-diluted basis." }, { "accession_no": "0000912282-26-001003", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Zero Gravity Labs Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4608575.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4608575.0, "aggregate_amount_owned": 4607575.0, "percent_of_class": 26.4, "type_of_reporting_person": "CO", "comment_content": "Percentage of class is based on 17,489,828 outstanding Issuer shares as of July 20, 2026." }, { "accession_no": "0000912282-26-001005", "person_seq": 0, "reporting_person_cik": 1955467, "reporting_person_name": "Vaiman Dany", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 513249.0, "shared_voting_power": 0.0, "sole_dispositive_power": 513249.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 513249.0, "percent_of_class": 2.9, "type_of_reporting_person": "IN", "comment_content": "Percentage of class is based on 17,489,828 outstanding Issuer shares as of July 20, 2026, and has been calculated on a partially-diluted basis." }, { "accession_no": "0000912282-26-001007", "person_seq": 0, "reporting_person_cik": 2089970, "reporting_person_name": "Reis-Faria Daniel", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 6925951.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6925951.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6925951.0, "percent_of_class": 37.5, "type_of_reporting_person": "IN", "comment_content": "Percentage of class is based on 17,489,828 outstanding Issuer shares as of July 20, 2026, and has been calculated on a partially-diluted basis." }, { "accession_no": "0000912282-26-001018", "person_seq": 0, "reporting_person_cik": 2101945, "reporting_person_name": "Endeavor Blockchain, LLC", "fund_type": "WC", "citizenship_or_org": "AR", "sole_voting_power": 0.0, "shared_voting_power": 500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 500000.0, "aggregate_amount_owned": 500000.0, "percent_of_class": 6.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000912282-26-001018", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Joshua Kilgore", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 500000.0, "aggregate_amount_owned": 500000.0, "percent_of_class": 6.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-001051", "person_seq": 0, "reporting_person_cik": 1719611, "reporting_person_name": "Kernwood Ltd", "fund_type": "WC", "citizenship_or_org": "A6", "sole_voting_power": 4083414.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4083414.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4083414.0, "percent_of_class": 6.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000912282-26-001051", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Edward H. Kernaghan", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 85352.0, "shared_voting_power": 4083414.0, "sole_dispositive_power": 85352.0, "shared_dispositive_power": 4083414.0, "aggregate_amount_owned": 4168766.0, "percent_of_class": 6.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-001051", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Elizabeth Kernaghan", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 4083414.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4083414.0, "aggregate_amount_owned": 4083414.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-001051", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Jennifer Kernaghan", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 4570.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4570.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4570.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-001051", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Charlie Kernaghan", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 200.0, "shared_voting_power": 0.0, "sole_dispositive_power": 200.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 200.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000912282-26-001051", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Claire Kernaghan", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 85.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000919574-26-002832", "person_seq": 0, "reporting_person_cik": 1560220, "reporting_person_name": "Famatown Finance Limited", "fund_type": "WC", "citizenship_or_org": "G4", "sole_voting_power": 0.0, "shared_voting_power": 7254022.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7254022.0, "aggregate_amount_owned": 7254022.0, "percent_of_class": 14.65, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-002832", "person_seq": 1, "reporting_person_cik": 1386989, "reporting_person_name": "Greenwich Holdings Limited", "fund_type": "OO", "citizenship_or_org": "G4", "sole_voting_power": 0.0, "shared_voting_power": 7254022.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7254022.0, "aggregate_amount_owned": 7254022.0, "percent_of_class": 14.65, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-002832", "person_seq": 2, "reporting_person_cik": 1731638, "reporting_person_name": "C.K. Limited", "fund_type": "OO", "citizenship_or_org": "Y9", "sole_voting_power": 0.0, "shared_voting_power": 7254022.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7254022.0, "aggregate_amount_owned": 7254022.0, "percent_of_class": 14.65, "type_of_reporting_person": "CO", "comment_content": "*C.K. Limited is the trustee of two trusts (the \"Trusts\") that indirectly hold all of the shares of Greenwich Holdings Limited and Famatown Finance Ltd. Accordingly, C.K. Limited, as trustee, may be deemed to beneficially own the shares of Common Stock of the Issuer that are beneficially owned by Greenwich Holdings Limited. Mr. Fredriksen established the trusts for the benefit of his immediate family. He is neither a beneficiary nor a trustee of either Trust. Therefore, Mr. Fredriksen has no economic interest in such shares of Common Stock and disclaims any control over such shares of Common Stock, save for any indirect influence he may have with C.K. Limited, as the trustee of the Trusts, in his capacity as the settlor of the Trusts." }, { "accession_no": "0000919574-26-003637", "person_seq": 0, "reporting_person_cik": 1868381, "reporting_person_name": "Xylem Finance LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1858320.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1858320.0, "aggregate_amount_owned": 1858320.0, "percent_of_class": 8.04, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000919574-26-003637", "person_seq": 1, "reporting_person_cik": 1595082, "reporting_person_name": "Davidson Kempner Capital Management LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1858320.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1858320.0, "aggregate_amount_owned": 1858320.0, "percent_of_class": 8.04, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000919574-26-003637", "person_seq": 2, "reporting_person_cik": 1308274, "reporting_person_name": "Anthony A. 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"comment_content": null }, { "accession_no": "0000919574-26-004268", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Astaris Capital Management (UK) Limited", "fund_type": "AF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 2741926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2741926.0, "aggregate_amount_owned": 2741926.0, "percent_of_class": 8.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004268", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Astaris Capital Management (Cayman) Limited", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2741926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2741926.0, "aggregate_amount_owned": 2741926.0, "percent_of_class": 8.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004268", "person_seq": 3, "reporting_person_cik": 1989485, "reporting_person_name": "Astaris Special Situations Master Fund Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1705438.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1705438.0, "aggregate_amount_owned": 1705438.0, "percent_of_class": 5.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004268", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Martin Beck", "fund_type": "AF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 2741926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2741926.0, "aggregate_amount_owned": 2741926.0, "percent_of_class": 8.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000919574-26-004450", "person_seq": 0, "reporting_person_cik": 1868381, "reporting_person_name": "Xylem Finance LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1158320.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1158320.0, "aggregate_amount_owned": 1158320.0, "percent_of_class": 5.01, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000919574-26-004450", "person_seq": 1, "reporting_person_cik": 1595082, "reporting_person_name": "Davidson Kempner Capital Management LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1158320.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1158320.0, "aggregate_amount_owned": 1158320.0, "percent_of_class": 5.01, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000919574-26-004450", "person_seq": 2, "reporting_person_cik": 1308274, "reporting_person_name": "Anthony A. Yoseloff", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1158320.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1158320.0, "aggregate_amount_owned": 1158320.0, "percent_of_class": 5.01, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000919574-26-004576", "person_seq": 0, "reporting_person_cik": 1316622, "reporting_person_name": "Redwood Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4327521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4327521.0, "aggregate_amount_owned": 4327521.0, "percent_of_class": 19.7, "type_of_reporting_person": "IA", "comment_content": "The original 13D is being amended to update the beneficial ownership information for each of the Reporting Persons listed herein." }, { "accession_no": "0000919574-26-004576", "person_seq": 1, "reporting_person_cik": 1737513, "reporting_person_name": "Redwood Capital Management Holdings, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4327521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4327521.0, "aggregate_amount_owned": 4327521.0, "percent_of_class": 19.7, "type_of_reporting_person": "HC", "comment_content": "The original 13D is being amended to update the beneficial ownership information for each of the Reporting Persons listed herein." }, { "accession_no": "0000919574-26-004576", "person_seq": 2, "reporting_person_cik": 2142105, "reporting_person_name": "Double Twins K, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4327521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4327521.0, "aggregate_amount_owned": 4327521.0, "percent_of_class": 19.7, "type_of_reporting_person": "HC", "comment_content": "The original 13D is being amended to update the beneficial ownership information for each of the Reporting Persons listed herein." }, { "accession_no": "0000919574-26-004576", "person_seq": 3, "reporting_person_cik": 1930856, "reporting_person_name": "Ruben Kliksberg", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4327521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4327521.0, "aggregate_amount_owned": 4327521.0, "percent_of_class": 19.7, "type_of_reporting_person": "IN", "comment_content": "The original 13D is being amended to update the beneficial ownership information for each of the Reporting Persons listed herein." }, { "accession_no": "0000919574-26-004669", "person_seq": 0, "reporting_person_cik": 1910283, "reporting_person_name": "Compagnie Maritime Belge NV", "fund_type": "BK", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 178726458.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178726458.0, "aggregate_amount_owned": 178726458.0, "percent_of_class": 61.6, "type_of_reporting_person": "CO", "comment_content": "The reported percentage in line 13 is based on 290,169,769 Ordinary Shares outstanding as of April 1, 2026 (not including the Treasury Shares), as reported in the Issuer's annual report on Form 20-F, as filed with the U.S. Securities and Exchange Commission (the \"Commission\") on April 21, 2026." }, { "accession_no": "0000919574-26-004669", "person_seq": 1, "reporting_person_cik": 1910284, "reporting_person_name": "Saverco NV", "fund_type": "WC", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 178750858.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178750858.0, "aggregate_amount_owned": 178750858.0, "percent_of_class": 61.6, "type_of_reporting_person": "CO", "comment_content": "The Source of Funds in line 4 is as to 24,400 Ordinary Shares owned directly by Saverco NV.\n\nThe reported percentage in line 13 is based on 290,169,769 Ordinary Shares outstanding as of April 1, 2026 (not including the Treasury Shares), as reported in the Issuer's annual report on Form 20-F, as filed with the Commission on April 21, 2026." }, { "accession_no": "0000919574-26-004669", "person_seq": 2, "reporting_person_cik": 1910281, "reporting_person_name": "Alexander Saverys", "fund_type": "OO", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 178750858.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178750858.0, "aggregate_amount_owned": 178750858.0, "percent_of_class": 61.6, "type_of_reporting_person": "IN", "comment_content": "The reported percentage in line 13 is based on 290,169,769 Ordinary Shares outstanding as of April 1, 2026 (not including the Treasury Shares), as reported in the Issuer's annual report on Form 20-F, as filed with the Commission on April 21, 2026." }, { "accession_no": "0000919574-26-004669", "person_seq": 3, "reporting_person_cik": 1910282, "reporting_person_name": "Ludovic Saverys", "fund_type": "OO", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 178750858.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178750858.0, "aggregate_amount_owned": 178750858.0, "percent_of_class": 61.6, "type_of_reporting_person": "IN", "comment_content": "The reported percentage in line 13 is based on 290,169,769 Ordinary Shares outstanding as of April 1, 2026 (not including the Treasury Shares), as reported in the Issuer's annual report on Form 20-F, as filed with the Commission on April 21, 2026." }, { "accession_no": "0000919574-26-004669", "person_seq": 4, "reporting_person_cik": 1910280, "reporting_person_name": "Michael Saverys", "fund_type": "OO", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 178750858.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178750858.0, "aggregate_amount_owned": 178750858.0, "percent_of_class": 61.6, "type_of_reporting_person": "IN", "comment_content": "The reported percentage in line 13 is based on 290,169,769 Ordinary Shares outstanding as of April 1, 2026 (not including the Treasury Shares), as reported in the Issuer's annual report on Form 20-F, as filed with the Commission on April 21, 2026." }, { "accession_no": "0000919574-26-004689", "person_seq": 0, "reporting_person_cik": 2040734, "reporting_person_name": "Astaris Capital Management LLP", "fund_type": "AF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 2741926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2741926.0, "aggregate_amount_owned": 2741926.0, "percent_of_class": 8.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000919574-26-004689", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Astaris Capital Management (UK) Limited", "fund_type": "AF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 2741926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2741926.0, "aggregate_amount_owned": 2741926.0, "percent_of_class": 8.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004689", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Astaris Capital Management (Cayman) Limited", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2741926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2741926.0, "aggregate_amount_owned": 2741926.0, "percent_of_class": 8.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004689", "person_seq": 3, "reporting_person_cik": 1989485, "reporting_person_name": "Astaris Special Situations Master Fund Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1705438.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1705438.0, "aggregate_amount_owned": 1705438.0, "percent_of_class": 5.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004689", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Martin Beck", "fund_type": "AF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 2741926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2741926.0, "aggregate_amount_owned": 2741926.0, "percent_of_class": 8.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000919574-26-004693", "person_seq": 0, "reporting_person_cik": 1666682, "reporting_person_name": "Edenbrook Capital, LLC", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 1221636.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1221636.0, "aggregate_amount_owned": 1221636.0, "percent_of_class": 11.15, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000919574-26-004693", "person_seq": 1, "reporting_person_cik": 1665975, "reporting_person_name": "Edenbrook Long Only Value Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1047958.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1047958.0, "aggregate_amount_owned": 1047958.0, "percent_of_class": 9.56, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000919574-26-004693", "person_seq": 2, "reporting_person_cik": 1712127, "reporting_person_name": "Jonathan Brolin", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 21305.0, "shared_voting_power": 1221636.0, "sole_dispositive_power": 21305.0, "shared_dispositive_power": 1221636.0, "aggregate_amount_owned": 1242941.0, "percent_of_class": 11.33, "type_of_reporting_person": "IN", "comment_content": "Includes 21,305 restricted stock units (\"RSUs\") held by Mr. Brolin, of which 7,901 RSUs have vested as of the date hereof." }, { "accession_no": "0000919574-26-004787", "person_seq": 0, "reporting_person_cik": 1771346, "reporting_person_name": "Abra Marinvest Inc.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004787", "person_seq": 1, "reporting_person_cik": 2120911, "reporting_person_name": "Zafirakis Ioannis", "fund_type": "OO", "citizenship_or_org": "J3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000919574-26-004788", "person_seq": 0, "reporting_person_cik": 1390775, "reporting_person_name": "Papatrifon Eleftherios", "fund_type": "OO", "citizenship_or_org": "J3", "sole_voting_power": 23529.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23529.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23529.0, "percent_of_class": 1.25, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000919574-26-004789", "person_seq": 0, "reporting_person_cik": 2120982, "reporting_person_name": "Semiramis Paliou", "fund_type": "OO", "citizenship_or_org": "J3", "sole_voting_power": 0.0, "shared_voting_power": 70082.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 70082.0, "aggregate_amount_owned": 70082.0, "percent_of_class": 3.74, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000919574-26-004789", "person_seq": 1, "reporting_person_cik": 1823719, "reporting_person_name": "Tuscany Shipping Corp.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004789", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "4 Sweet Dreams S.A.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 0.0, "shared_voting_power": 70082.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 70082.0, "aggregate_amount_owned": 70082.0, "percent_of_class": 3.74, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000919574-26-004796", "person_seq": 0, "reporting_person_cik": 2045724, "reporting_person_name": "Situational Awareness LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14089395.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14089395.0, "aggregate_amount_owned": 14089395.0, "percent_of_class": 4.4, "type_of_reporting_person": "IA", "comment_content": "The information set forth on this cover page reflects information as of the close of business on August 4, 2026. As of July 15, 2026, the Reporting Person may have been deemed to beneficially own 25,608,473 shares of Common Stock, representing 8.1% of the shares of Common Stock outstanding as of such time." }, { "accession_no": "0000919574-26-004796", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "SAF AI GP LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14089395.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14089395.0, "aggregate_amount_owned": 14089395.0, "percent_of_class": 4.4, "type_of_reporting_person": "PN", "comment_content": "The information set forth on this cover page reflects information as of the close of business on August 4, 2026. As of July 15, 2026, the Reporting Person may have been deemed to beneficially own 25,608,473 shares of Common Stock, representing 8.1% of the shares of Common Stock outstanding as of such time." }, { "accession_no": "0000919574-26-004796", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Situational Awareness LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14089395.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14089395.0, "aggregate_amount_owned": 14089395.0, "percent_of_class": 4.4, "type_of_reporting_person": "HC", "comment_content": "The information set forth on this cover page reflects information as of the close of business on August 4, 2026. As of July 15, 2026, the Reporting Person may have been deemed to beneficially own 25,608,473 shares of Common Stock, representing 8.1% of the shares of Common Stock outstanding as of such time." }, { "accession_no": "0000919574-26-004796", "person_seq": 3, "reporting_person_cik": 2038540, "reporting_person_name": "Situational Awareness Partners LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14089395.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14089395.0, "aggregate_amount_owned": 14089395.0, "percent_of_class": 4.4, "type_of_reporting_person": "PN", "comment_content": "The information set forth on this cover page reflects information as of the close of business on August 4, 2026. As of July 15, 2026, the Reporting Person may have been deemed to beneficially own 25,608,473 shares of Common Stock, representing 8.1% of the shares of Common Stock outstanding as of such time." }, { "accession_no": "0000919574-26-004796", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Leopold Aschenbrenner", "fund_type": "AF", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 14089395.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14089395.0, "aggregate_amount_owned": 14089395.0, "percent_of_class": 4.4, "type_of_reporting_person": "IN", "comment_content": "The information set forth on this cover page reflects information as of the close of business on August 4, 2026. As of July 15, 2026, the Reporting Person may have been deemed to beneficially own 25,608,473 shares of Common Stock, representing 8.1% of the shares of Common Stock outstanding as of such time." }, { "accession_no": "0000919574-26-004796", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Carl Shulman", "fund_type": "AF", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 14089395.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14089395.0, "aggregate_amount_owned": 14089395.0, "percent_of_class": 4.4, "type_of_reporting_person": "IN", "comment_content": "The information set forth on this cover page reflects information as of the close of business on August 4, 2026. 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"aggregate_amount_owned": 4116050.0, "percent_of_class": 7.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000921895-26-001602", "person_seq": 0, "reporting_person_cik": 1589943, "reporting_person_name": "STONE HOUSE CAPITAL MANAGEMENT, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7000000.0, "aggregate_amount_owned": 7000000.0, "percent_of_class": 16.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000921895-26-001602", "person_seq": 1, "reporting_person_cik": 1497279, "reporting_person_name": "SH CAPITAL PARTNERS, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7000000.0, "aggregate_amount_owned": 7000000.0, "percent_of_class": 16.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000921895-26-001602", "person_seq": 2, "reporting_person_cik": 1591240, "reporting_person_name": "Cohen Mark A.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 7000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7000000.0, "aggregate_amount_owned": 7000000.0, "percent_of_class": 16.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000921895-26-001603", "person_seq": 0, "reporting_person_cik": 1595909, "reporting_person_name": "Legion Partners, L.P. 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Each share of Series C Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $183.58 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. Each share of Series G Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $6.74 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. Each share of Series H Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $0.79645 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. For purposes of this Schedule 13D filing, the calculations for the number of Class A Shares issuable upon conversion of the Series C Preferred Stock, Series G Preferred Stock and Series H Preferred Stock are based upon a conversion price of $0.1155." }, { "accession_no": "0000921895-26-001606", "person_seq": 1, "reporting_person_cik": 1212502, "reporting_person_name": "AULT MILTON C III", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 1848021.0, "shared_voting_power": 493862908.0, "sole_dispositive_power": 1848021.0, "shared_dispositive_power": 493862908.0, "aggregate_amount_owned": 495710929.0, "percent_of_class": 53.3, "type_of_reporting_person": "IN", "comment_content": "(1) Sole voting power represents (i) 1,125,000 Class A Shares issuable upon exercise of stock options that are currently exercisable or exercisable within 60 days, (ii) 721,300 Class A Shares and (iii) 1,721 Class A Share issuable upon conversion of 1,721 Class B Shares.\n\n(2) Shared voting power represents (i) 2,700,005 Class A Shares held by Ault & Company, Inc. (\"Ault & Company\"), (ii) 14,679,698 shares of Class A Shares issuable upon conversion of 14,679,698 Class B Shares held by Ault & Company, (iii) 432,900,430 Class A Shares issuable upon conversion of 50,000 shares of Series C Convertible Preferred Stock held by Ault & Company, (iv) 8,311,688 Class A Shares issuable upon conversion of 960 shares of Series G Convertible Preferred Stock held by Ault & Company, (v) 34,632,035 Class A Shares issuable upon conversion of 4,000 shares of Series H Convertible Preferred Stock held by Ault & Company and (vi) 639,052 Class A Shares issuable upon exercise of outstanding warrants held by Ault & Company. Each share of Series C Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $183.58 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. Each share of Series G Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $6.74 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. Each share of Series H Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $0.79645 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. For purposes of this Schedule 13D filing, the calculations for the number of Class A Shares issuable upon conversion of the Series C Preferred Stock, Series G Preferred Stock and Series H Preferred Stock are based upon a conversion price of $0.1155." }, { "accession_no": "0000921895-26-001606", "person_seq": 2, "reporting_person_cik": 1333268, "reporting_person_name": "HORNE WILLIAM B", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1325001.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1325001.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1325001.0, "percent_of_class": 0.3, "type_of_reporting_person": "IN", "comment_content": "Represents (i) 1,125,000 Class A Shares issuable upon exercise of stock options that are currently exercisable or exercisable within 60 days, (ii) 200,000 Class A Shares and (iii) one Class A Share issuable upon conversion of one Class B Share." }, { "accession_no": "0000921895-26-001606", "person_seq": 3, 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6254715.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6254715.0, "aggregate_amount_owned": 6254715.0, "percent_of_class": 18.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000929638-26-002101", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "DME 2022 Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4864227.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4864227.0, "aggregate_amount_owned": 4864227.0, "percent_of_class": 14.7, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0000929638-26-002101", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "The David M. Einhorn 2021-07 Family Trust", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 1390488.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1390488.0, "aggregate_amount_owned": 1390488.0, "percent_of_class": 4.2, "type_of_reporting_person": "OO", "comment_content": "Trust" }, { "accession_no": "0000929638-26-002179", "person_seq": 0, "reporting_person_cik": 1899229, "reporting_person_name": "BMW Holding B.V.", "fund_type": "WC", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 10488518.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10488518.0, "aggregate_amount_owned": 10488518.0, "percent_of_class": 4.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000929638-26-002179", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "BMW INTEC Beteiligungs GmbH", "fund_type": "AF", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 10488518.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10488518.0, "aggregate_amount_owned": 10488518.0, "percent_of_class": 4.7, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000929638-26-002179", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Bayerische Motoren Werke AG", "fund_type": "AF", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 10488518.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10488518.0, "aggregate_amount_owned": 10488518.0, "percent_of_class": 4.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000929638-26-002223", "person_seq": 0, "reporting_person_cik": 922147, "reporting_person_name": "PRIOR CORNELIUS B JR", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 4002530.0, "shared_voting_power": 451860.0, "sole_dispositive_power": 4002530.0, "shared_dispositive_power": 451860.0, "aggregate_amount_owned": 4454390.0, "percent_of_class": 28.96, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000929638-26-002369", "person_seq": 0, "reporting_person_cik": 1590729, "reporting_person_name": "Millstreet Capital Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4204432.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4204432.0, "aggregate_amount_owned": 4204432.0, "percent_of_class": 12.14, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000929638-26-002369", "person_seq": 1, "reporting_person_cik": 1539642, "reporting_person_name": "Connolly Brian D", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4204432.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4204432.0, "aggregate_amount_owned": 4204432.0, "percent_of_class": 12.14, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000929638-26-002369", "person_seq": 2, "reporting_person_cik": 1876454, "reporting_person_name": "Kelleher Craig", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4204432.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4204432.0, "aggregate_amount_owned": 4204432.0, "percent_of_class": 12.14, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000929638-26-002599", "person_seq": 0, "reporting_person_cik": 14661, "reporting_person_name": "BROWN BROTHERS HARRIMAN & CO", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 614790.04, "shared_voting_power": 354720.47, "sole_dispositive_power": 614790.04, "shared_dispositive_power": 354720.47, "aggregate_amount_owned": 969510.51, "percent_of_class": 40.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000929638-26-002599", "person_seq": 1, "reporting_person_cik": 2102651, "reporting_person_name": "BROWN BROTHERS HARRIMAN CREDIT PARTNERS, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 354720.47, "sole_dispositive_power": 0.0, "shared_dispositive_power": 354720.47, "aggregate_amount_owned": 354720.47, "percent_of_class": 15.0, "type_of_reporting_person": "BK", "comment_content": null }, { "accession_no": "0000929638-26-002882", "person_seq": 0, "reporting_person_cik": 1240451, "reporting_person_name": "EINHORN DAVID", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6148655.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6148655.0, "aggregate_amount_owned": 6148655.0, "percent_of_class": 18.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000929638-26-002882", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "DME 2022 Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4864227.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4864227.0, "aggregate_amount_owned": 4864227.0, "percent_of_class": 14.9, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0000929638-26-002882", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "The David M. Einhorn 2021-07 Family Trust", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 1284428.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1284428.0, "aggregate_amount_owned": 1284428.0, "percent_of_class": 3.9, "type_of_reporting_person": "OO", "comment_content": "Trust" }, { "accession_no": "0000929638-26-002925", "person_seq": 0, "reporting_person_cik": 14661, "reporting_person_name": "BROWN BROTHERS HARRIMAN & CO", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 991863.04, "shared_voting_power": 390440.52, "sole_dispositive_power": 991863.04, "shared_dispositive_power": 390440.52, "aggregate_amount_owned": 1382303.55, "percent_of_class": 47.27, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000929638-26-002925", "person_seq": 1, "reporting_person_cik": 2102651, "reporting_person_name": "BROWN BROTHERS HARRIMAN CREDIT PARTNERS, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 390440.52, "sole_dispositive_power": 0.0, "shared_dispositive_power": 390440.52, "aggregate_amount_owned": 390440.52, "percent_of_class": 13.35, "type_of_reporting_person": "BK", "comment_content": null }, { "accession_no": "0000930413-26-001660", "person_seq": 0, "reporting_person_cik": 1454685, "reporting_person_name": "Vorini Holdings Inc.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 19426015.0, "shared_voting_power": 0.0, "sole_dispositive_power": 19426015.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 19426015.0, "percent_of_class": 19.1, "type_of_reporting_person": "CO", "comment_content": "This calculation is based on 101,826,580 shares of common stock, par value $0.001 (the \"Common Stock\") of Safe Bulkers, Inc. (the \"Issuer\") outstanding as of May 15, 2026." }, { "accession_no": "0000930413-26-001660", "person_seq": 1, "reporting_person_cik": 1969781, "reporting_person_name": "Polys Hajioanno", "fund_type": "OO", "citizenship_or_org": "G4", "sole_voting_power": 48381427.0, "shared_voting_power": 0.0, "sole_dispositive_power": 48381427.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 48381427.0, "percent_of_class": 47.5, "type_of_reporting_person": "IN", "comment_content": "* Includes shares owned indirectly through Vorini Holdings Inc. (\"Vorini\"), which is controlled by Polys Hajioannou, and Bellapais Maritime Inc. (\"Bellapais\"), Kyperounta Maritime Inc. (\"Kyperounta\"), Lefkoniko Maritime Inc. (\"Lefkoniko\"), Akamas Maritime Inc. (\"Akamas\") and Chalkoessa Maritime Inc. (\"Chalkoessa\"), which are each wholly owned\nby Polys Hajioannou.\n\nThis calculation is based on 101,826,580 shares of Common Stock outstanding as of May 15, 2026." }, { "accession_no": "0000930413-26-001660", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Bellapais Maritime Inc.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 5000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5000000.0, "percent_of_class": 4.9, "type_of_reporting_person": "CO", "comment_content": "* This calculation is based on 101,826,580 shares of Common Stock outstanding as of May 15, 2026." }, { "accession_no": "0000930413-26-001660", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Kyperounta Maritime Inc.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 5000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5000000.0, "percent_of_class": 4.9, "type_of_reporting_person": "CO", "comment_content": "* This calculation is based on 101,826,580 shares of Common Stock outstanding as of May 15, 2026." }, { "accession_no": "0000930413-26-001660", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Lefkoniko Maritime Inc.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 5000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5000000.0, "percent_of_class": 4.9, "type_of_reporting_person": "CO", "comment_content": "* This calculation is based on 101,826,580 shares of Common Stock outstanding as of May 15, 2026." }, { "accession_no": "0000930413-26-001660", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Akamas Maritime Inc.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 8555412.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8555412.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8555412.0, "percent_of_class": 8.4, "type_of_reporting_person": "CO", "comment_content": "* This calculation is based on 101,826,580 shares of Common Stock outstanding as of May 15, 2026." }, { "accession_no": "0000930413-26-001660", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Chalkoessa Maritime Inc.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 5400000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5400000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5400000.0, "percent_of_class": 5.3, "type_of_reporting_person": "CO", "comment_content": "* This calculation is based on 101,826,580 shares of Common Stock outstanding as of May 15, 2026." }, { "accession_no": "0000930413-26-001914", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Nelson Peltz", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "IN", "comment_content": "The percentage in Row 13 was calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026 (the \"Form 10-Q\")." }, { "accession_no": "0000930413-26-001914", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Peter W. May", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "IN", "comment_content": "The percentage in Row 13 was calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in the Form 10-Q." }, { "accession_no": "0000930413-26-001914", "person_seq": 2, "reporting_person_cik": 1345471, "reporting_person_name": "TRIAN FUND MANAGEMENT, L.P.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row 13 was calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in the Form 10-Q." }, { "accession_no": "0000930413-26-001914", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Trian Fund Management GP, LLC", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row 13 was calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in the Form 10-Q." }, { "accession_no": "0000930413-26-001914", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Trian Partners AM Holdco II, Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row 13 was calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in the Form 10-Q." }, { "accession_no": "0000930413-26-002004", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Nelson Peltz", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000930413-26-002004", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Peter W. May", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000930413-26-002004", "person_seq": 2, "reporting_person_cik": 1345471, "reporting_person_name": "Trian Fund Management, L.P.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 13.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000930413-26-002004", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Trian Fund Management GP, LLC", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000930413-26-002004", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Trian Partners AM Holdco II, Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000935836-26-000289", "person_seq": 0, "reporting_person_cik": 1582844, "reporting_person_name": "ACUTA CAPITAL PARTNERS, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4685912.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4685912.0, "aggregate_amount_owned": 4685912.0, "percent_of_class": 8.7, "type_of_reporting_person": "IA", "comment_content": "Percentage calculated based on 53,783,329 shares of Common Stock outstanding following the closing of the private placement of the Issuer's Common Stock on May 14, 2026." }, { "accession_no": "0000935836-26-000289", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "ANUPAM DALAL", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 157863.0, "shared_voting_power": 4685912.0, "sole_dispositive_power": 157863.0, "shared_dispositive_power": 4685912.0, "aggregate_amount_owned": 4843775.0, "percent_of_class": 9.0, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated based on 53,783,329 shares of Common Stock outstanding following the closing of the private placement of the Issuer's Common Stock on May 14, 2026." }, { "accession_no": "0000935836-26-000289", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Acuta Capital Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3538288.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3538288.0, "aggregate_amount_owned": 3538288.0, "percent_of_class": 6.6, "type_of_reporting_person": "PN", "comment_content": "Percentage calculated based on 53,783,329 shares of Common Stock outstanding following the closing of the private placement of the Issuer's Common Stock on May 14, 2026." }, { "accession_no": "0000937797-26-000007", "person_seq": 0, "reporting_person_cik": 937797, "reporting_person_name": "Malone John C", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 3442579.0, "shared_voting_power": 19249.0, "sole_dispositive_power": 3442579.0, "shared_dispositive_power": 19249.0, "aggregate_amount_owned": 3461828.0, "percent_of_class": 8.8, "type_of_reporting_person": "IN", "comment_content": "Note (1) to Rows 7, 9 and 11: Consists of (i) 49,729 Class A common shares and 742,148 Class B common shares held in a revocable trust (the \"LM Revocable Trust\") with respect to which the Reporting Person and his wife, Mrs. Leslie Malone (\"Mrs. Malone\") are trustees (Mrs. Malone has the right to revoke such trust at any time, and Mr. Malone disclaims beneficial ownership of the shares held by the LM Revocable Trust), (ii) 1,815,283 Class A common shares and 7,421 Class B common shares beneficially owned by the Reporting Person, (iii) 766,939 Class B common shares held by a trust (the \"Malone Trust\") with respect to which the Reporting Person is a co-trustee and, with his wife, retains a unitrust interest in the trust (the Reporting Person retains sole voting and dispositive power with respect to the common shares held by the Malone Trust) and (iv) 61,059 Class A common shares currently held by GCI Liberty, Inc. (\"GCIL\"), of which the Reporting Person is Chairman of the Board of Directors and beneficially owns voting shares representing approximately 53.7% of the voting power based on outstanding shares as of April 30, 2026, which the Reporting Person intends to acquire from GCIL. Each Class B common share is convertible, at the option of the holder, into one Class A common share.\n\nNote (2) to Rows 8, 10 and 11: Consists of Class A common shares issuable upon conversion of (i) 11,108 Class B common shares held by a trust managed by an independent trustee and the Reporting Person's adult son, who is also the beneficiary of that trust and (ii) 8,141 Class B common shares held by another trust managed by an independent trustee, of which the beneficiary is the Reporting Person's adult daughter.\n\n\nNote (3) to Row 13: Based upon approximately 37.8 million Class A common shares and 2.5 million Class B common shares, in each case, outstanding as of April 30, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 7, 2026, and, as required by Rule 13d-3 under the Securities Exchange Act of 1934, as amended.\n\nNote (4) to Row 13: Each Class A common share is entitled to one vote, whereas each Class B common share is entitled to ten votes. Accordingly, in the election of directors of the Issuer, the Reporting Person may be deemed to beneficially own voting equity securities representing approximately 27.4% of the voting power of the Issuer, based on the number of shares outstanding specified above in Note 3 and assuming that the Reporting Person has not converted any of his Class B common shares into Class A common shares." }, { "accession_no": "0000937797-26-000011", "person_seq": 0, "reporting_person_cik": 937797, "reporting_person_name": "Malone John C", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 4937651.0, "shared_voting_power": 19249.0, "sole_dispositive_power": 4937651.0, "shared_dispositive_power": 19249.0, "aggregate_amount_owned": 4956900.0, "percent_of_class": 12.6, "type_of_reporting_person": "IN", "comment_content": "Note (1) to Rows 7, 9 and 11: Consists of (i) 49,729 Class A common shares and 742,148 Class B common shares held in a revocable trust (the \"LM Revocable Trust\") with respect to which the Reporting Person and his wife, Mrs. Leslie Malone (\"Mrs. Malone\") are trustees (Mrs. Malone has the right to revoke such trust at any time, and Mr. Malone disclaims beneficial ownership of the shares held by the LM Revocable Trust), (ii) 3,371,414 Class A common shares and 7,421 Class B common shares beneficially owned by the Reporting Person, and (iii) 766,939 Class B common shares held by a trust (the \"Malone Trust\") with respect to which the Reporting Person is a co-trustee and, with his wife, retains a unitrust interest in the trust (the Reporting Person retains sole voting and dispositive power with respect to the common shares held by the Malone Trust). Each Class B common share is convertible, at the option of the holder, into one Class A common share.\n\nNote (2) to Rows 8, 10 and 11: Consists of Class A common shares issuable upon conversion of (i) 11,108 Class B common shares held by a trust managed by an independent trustee and the Reporting Person's adult son, who is also the beneficiary of that trust and (ii) 8,141 Class B common shares held by another trust managed by an independent trustee, of which the beneficiary is the Reporting Person's adult daughter.\n\n\nNote (3) to Row 13: Based upon approximately 37.8 million Class A common shares and 2.5 million Class B common shares, in each case, outstanding as of April 30, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 7, 2026, and, as required by Rule 13d-3 under the Securities Exchange Act of 1934, as amended.\n\nNote (4) to Row 13: Each Class A common share is entitled to one vote, whereas each Class B common share is entitled to ten votes. Accordingly, in the election of directors of the Issuer, the Reporting Person may be deemed to beneficially own voting equity securities representing approximately 29.8% of the voting power of the Issuer, based on the number of shares outstanding specified above in Note 3 and assuming that the Reporting Person has not converted any of his Class B common shares into Class A common shares." }, { "accession_no": "0000943374-26-000321", "person_seq": 0, "reporting_person_cik": 2037909, "reporting_person_name": "James E. Mangold", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 88068.0, "shared_voting_power": 10000.0, "sole_dispositive_power": 88068.0, "shared_dispositive_power": 10000.0, "aggregate_amount_owned": 98068.0, "percent_of_class": 9.67, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000943374-26-000321", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Sara Mangold", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1698.0, "shared_voting_power": 96370.0, "sole_dispositive_power": 1698.0, "shared_dispositive_power": 96370.0, "aggregate_amount_owned": 98068.0, "percent_of_class": 9.67, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000943374-26-000322", "person_seq": 0, "reporting_person_cik": 2037911, "reporting_person_name": "Kory J. Schneider", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 72131.0, "shared_voting_power": 25040.0, "sole_dispositive_power": 72131.0, "shared_dispositive_power": 25040.0, "aggregate_amount_owned": 97171.0, "percent_of_class": 9.58, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000943374-26-000322", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Carrie A. Schneider", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 25040.0, "shared_voting_power": 72131.0, "sole_dispositive_power": 25040.0, "shared_dispositive_power": 72131.0, "aggregate_amount_owned": 97171.0, "percent_of_class": 9.58, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000944809-26-000002", "person_seq": 0, "reporting_person_cik": 944809, "reporting_person_name": "OPKO HEALTH, INC.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 5692916.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5692916.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5692916.0, "percent_of_class": 29.6, "type_of_reporting_person": "CO", "comment_content": "(1) The percentage provided in Item 13 is calculated based on 19,263,200 shares outstanding as of August 6, 2026, as communicated by the Issuer to the Reporting Person." }, { "accession_no": "0000944809-26-000002", "person_seq": 1, "reporting_person_cik": 898860, "reporting_person_name": "FROST PHILLIP MD ET AL", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2786412.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2786412.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2786412.0, "percent_of_class": 13.9, "type_of_reporting_person": "IN", "comment_content": "(1) The amounts provided in Items 7, 9, and 11 include (i) 1,993,551 shares of Common Stock held by Frost Gamma Investments Trust (\"FGIT\"), which is controlled by Dr. Frost as sole trustee; (ii) 719,425 shares of Common Stock issuable upon exercise of warrants held by FGIT, which are exercisable within 60 days; (iii) 20,325 shares of Common Stock held by Dr. Frost, options to acquire 51,417 shares of Common Stock, which are exercisable within 60 days; and (iv) 1,693 shares of Common Stock issuable upon the vesting of restricted stock units within 60 days.\n\n(2) The percentage provided in Item 13 is calculated based on (i) 19,263,200 shares outstanding as of August 6, 2026, as communicated by the Issuer to the Reporting Person; (ii) 719,425 shares of Common Stock issuable upon exercise of warrants, which are exercisable within 60 days; (iii) options to acquire 51,417 share of Common Stock, which are exercisable within 60 days; and (iv) 1,693 shares of Common Stock issuable upon the vesting of restricted stock units within 60 days." }, { "accession_no": "0000944809-26-000002", "person_seq": 2, "reporting_person_cik": 1380896, "reporting_person_name": "Frost Gamma Investments Trust", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 2712977.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2712977.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2712977.0, "percent_of_class": 13.6, "type_of_reporting_person": "OO", "comment_content": "(1) The amounts provided in Items 7, 9, and 11 include (i) 1,993,551 shares of Common Stock; and (ii) 719,425 shares of Common Stock issuable upon exercise of warrants, which are exercisable within 60 days.\n\n(2) The percentage provided in Item 13 is calculated based on (i) 19,263,200 shares outstanding as of August 6, 2026, as communicated by the Issuer to the Reporting Person; and (ii) 719,425 shares of Common Stock issuable upon exercise of warrants, which are exercisable within 60 days." }, { "accession_no": "0000944809-26-000002", "person_seq": 3, "reporting_person_cik": 1381874, "reporting_person_name": "Rubin Steven D", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2724860.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2724860.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2724860.0, "percent_of_class": 14.1, "type_of_reporting_person": "IN", "comment_content": "(1) The amounts provided in Items 7, 9, and 11 include (i) 2,660,242 shares of Common Stock; (ii) options to acquire 50,402 shares of Common Stock, which are exercisable within 60 days; and (iii) 14,217 shares of Common Stock issuable upon the vesting of restricted stock units within 60 days.\n\n(2) The percentage provided in Item 13 is calculated based on (i) 19,263,200 shares outstanding as of August 6, 2026, as communicated by the Issuer to the Reporting Person; (ii) options to acquire 50,401 shares of Common Stock, which are exercisable within 60 days; and (iii) 14,217 shares of Common Stock issuable upon the vesting of restricted stock units within 60 days." }, { "accession_no": "0000947871-26-000556", "person_seq": 0, "reporting_person_cik": 938869, "reporting_person_name": "V. PREM WATSA", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 45300872.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 45300872.0, "aggregate_amount_owned": 45300872.0, "percent_of_class": 24.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "THE SECOND 810 HOLDCO LTD.", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 45300872.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 45300872.0, "aggregate_amount_owned": 45300872.0, "percent_of_class": 24.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "THE SECOND 1109 HOLDCO LTD.", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 45300872.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 45300872.0, "aggregate_amount_owned": 45300872.0, "percent_of_class": 24.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 3, "reporting_person_cik": 1217251, "reporting_person_name": "THE SIXTY TWO INVESTMENT COMPANY LIMITED", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 45300872.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 45300872.0, "aggregate_amount_owned": 45300872.0, "percent_of_class": 24.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 4, "reporting_person_cik": 915191, "reporting_person_name": "FAIRFAX FINANCIAL HOLDINGS LIMITED", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 45300872.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 45300872.0, "aggregate_amount_owned": 45300872.0, "percent_of_class": 24.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 5, "reporting_person_cik": 1275984, "reporting_person_name": "FFHL GROUP LTD.", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 34077356.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34077356.0, "aggregate_amount_owned": 34077356.0, "percent_of_class": 18.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 6, "reporting_person_cik": 1450019, "reporting_person_name": "FAIRFAX (BARBADOS) INTERNATIONAL CORP.", "fund_type": "OO", "citizenship_or_org": "C8", "sole_voting_power": 0.0, "shared_voting_power": 60950.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 60950.0, "aggregate_amount_owned": 60950.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "WENTWORTH INSURANCE COMPANY LTD.", "fund_type": "OO", "citizenship_or_org": "C8", "sole_voting_power": 0.0, "shared_voting_power": 60950.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 60950.0, "aggregate_amount_owned": 60950.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 8, "reporting_person_cik": 1275996, "reporting_person_name": "FAIRFAX (US) INC.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 31098326.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 31098326.0, "aggregate_amount_owned": 31098326.0, "percent_of_class": 16.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "ODYSSEY GROUP HOLDINGS, INC.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 11280564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11280564.0, "aggregate_amount_owned": 11280564.0, "percent_of_class": 6.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 10, "reporting_person_cik": 1243947, "reporting_person_name": "ODYSSEY REINSURANCE COMPANY", "fund_type": "OO", "citizenship_or_org": "CT", "sole_voting_power": 0.0, "shared_voting_power": 11280564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11280564.0, "aggregate_amount_owned": 11280564.0, "percent_of_class": 6.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "HUDSON INSURANCE COMPANY", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 265190.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 265190.0, "aggregate_amount_owned": 265190.0, "percent_of_class": 0.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "HUDSON EXCESS INSURANCE COMPANY", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 167670.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 167670.0, "aggregate_amount_owned": 167670.0, "percent_of_class": 0.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 13, "reporting_person_cik": 109261, "reporting_person_name": "ZENITH NATIONAL INSURANCE CORP.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 75440.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 75440.0, "aggregate_amount_owned": 75440.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 14, "reporting_person_cik": 1499301, "reporting_person_name": "ZENITH INSURANCE COMPANY", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 75440.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 75440.0, "aggregate_amount_owned": 75440.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000947871-26-000556", "person_seq": 15, "reporting_person_cik": 1168338, "reporting_person_name": "CRUM & FORSTER HOLDINGS CORP.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19742322.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19742322.0, 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Quarterly Report on Form 10-Q filed by the Issuer with the Commission on May 1, 2026, (ii) 6,042,619 shares of Class A Common Stock issued in connection with the Q2 2026 Exchange, and (iii) 217,809,708 shares of Class A Common Stock issuable upon exchange of 217,809,708 Common Units and the cancellation of a corresponding number of shares of Class B Common Stock." }, { "accession_no": "0000947871-26-000557", "person_seq": 2, "reporting_person_cik": 1366946, "reporting_person_name": "Winkelried Jon", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 863541.0, "shared_voting_power": 217809708.0, "sole_dispositive_power": 863541.0, "shared_dispositive_power": 217809708.0, "aggregate_amount_owned": 218673249.0, "percent_of_class": 57.9, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above assumes that there is a total of 377,706,381 shares of Class A Common Stock outstanding, which is the sum of 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Kennedy Frierson, Jr.", "fund_type": "PF", "citizenship_or_org": "TN", "sole_voting_power": 454601.0, "shared_voting_power": 0.0, "sole_dispositive_power": 454601.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 454601.0, "percent_of_class": 3.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000950103-26-007074", "person_seq": 0, "reporting_person_cik": 1635075, "reporting_person_name": "Vivek Ramaswamy", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5693897.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5693897.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5693897.0, "percent_of_class": 8.4, "type_of_reporting_person": "IN", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007074", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Ramaswamy 2021 Irrevocable Trust", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1418942.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1418942.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1418942.0, "percent_of_class": 2.2, "type_of_reporting_person": "OO", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007074", "person_seq": 2, "reporting_person_cik": 2084252, "reporting_person_name": "Matthew Cole", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 416352.0, "shared_voting_power": 0.0, "sole_dispositive_power": 416352.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 416352.0, "percent_of_class": 0.7, "type_of_reporting_person": "IN", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below" }, { "accession_no": "0000950103-26-007074", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "2025-10 Investments LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3704.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3704.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3704.0, "percent_of_class": 0.01, "type_of_reporting_person": "OO", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock.\nSee Item 5 below." }, { "accession_no": "0000950103-26-007074", "person_seq": 4, "reporting_person_cik": 2084255, "reporting_person_name": "Logan Beirne", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 36983.0, "shared_voting_power": 0.0, "sole_dispositive_power": 36983.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 36983.0, "percent_of_class": 0.06, "type_of_reporting_person": "IN", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007074", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Virtuous Industries LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 106245.0, "shared_voting_power": 0.0, "sole_dispositive_power": 106245.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 106245.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007074", "person_seq": 6, "reporting_person_cik": 2084539, "reporting_person_name": "Benjamin Pham", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 239343.1, "shared_voting_power": 0.0, "sole_dispositive_power": 239343.1, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 239343.1, "percent_of_class": 0.4, "type_of_reporting_person": "IN", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007074", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "LT&C LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 18336.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18336.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18336.0, "percent_of_class": 0.03, "type_of_reporting_person": "OO", "comment_content": "Reporting Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007074", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Liberty Pier Foundation", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 184596.0, "shared_voting_power": 0.0, "sole_dispositive_power": 184596.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 184596.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "Reporting Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007076", "person_seq": 0, "reporting_person_cik": 1635075, "reporting_person_name": "Vivek Ramaswamy", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5693897.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5693897.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5693897.0, "percent_of_class": 8.8, "type_of_reporting_person": "IN", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007076", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Virtuous Industries LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 106245.0, "shared_voting_power": 0.0, "sole_dispositive_power": 106245.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 106245.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-007273", "person_seq": 0, "reporting_person_cik": 2134396, "reporting_person_name": "Jeito II S.L.P.", "fund_type": "WC", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 3690145.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3690145.0, "aggregate_amount_owned": 3690145.0, "percent_of_class": 7.8, "type_of_reporting_person": "PN", "comment_content": "The percentage in row 13 is calculated based on 47,174,156 shares of common stock, reported to be outstanding in the Issuer's Form 424(b)(4) filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0000950103-26-007273", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Jeito Capital SAS", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 3690145.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3690145.0, "aggregate_amount_owned": 3690145.0, "percent_of_class": 7.8, "type_of_reporting_person": "IA", "comment_content": "The percentage in row 13 is calculated based on 47,174,156 shares of common stock, reported to be outstanding in the Issuer's Form 424(b)(4) filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0000950103-26-007273", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Rafaele Tordjman", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 3690145.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3690145.0, "aggregate_amount_owned": 3690145.0, "percent_of_class": 7.8, "type_of_reporting_person": "IN", "comment_content": "The percentage in row 13 is calculated based on 47,174,156 shares of common stock, reported to be outstanding in the Issuer's Form 424(b)(4) filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0000950103-26-007273", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Sabine Dandiguian", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 3690145.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3690145.0, "aggregate_amount_owned": 3690145.0, "percent_of_class": 7.8, "type_of_reporting_person": "IN", "comment_content": "The percentage in row 13 is calculated based on 47,174,156 shares of common stock, reported to be outstanding in the Issuer's Form 424(b)(4) filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0000950103-26-007553", "person_seq": 0, "reporting_person_cik": 2004244, "reporting_person_name": "Viessmann Generations Group GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 37979286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37979286.0, "aggregate_amount_owned": 37979286.0, "percent_of_class": 4.57, "type_of_reporting_person": "PN", "comment_content": "See Item 5." }, { "accession_no": "0000950103-26-007553", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Viessmann Komplementar B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 37979286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37979286.0, "aggregate_amount_owned": 37979286.0, "percent_of_class": 4.57, "type_of_reporting_person": "CO", "comment_content": "See Item 5." }, { "accession_no": "0000950103-26-007553", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Viessmann Zweite Beteiligungs B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 37979286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37979286.0, "aggregate_amount_owned": 37979286.0, "percent_of_class": 4.57, "type_of_reporting_person": "CO", "comment_content": "See Item 5." }, { "accession_no": "0000950103-26-007553", "person_seq": 3, "reporting_person_cik": 2004869, "reporting_person_name": "Maximilian Viessmann", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 37979286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37979286.0, "aggregate_amount_owned": 37979286.0, "percent_of_class": 4.57, "type_of_reporting_person": "IN", "comment_content": "See Item 5." }, { "accession_no": "0000950103-26-007553", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Viessmann Traeger HoldCo GmbH", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 37979286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37979286.0, "aggregate_amount_owned": 37979286.0, "percent_of_class": 4.57, "type_of_reporting_person": "OO", "comment_content": "See Item 5." }, { "accession_no": "0000950103-26-007622", "person_seq": 0, "reporting_person_cik": 903954, "reporting_person_name": "Credit Investments Group, a distinct business unit of UBS Asset Management (Americas) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2689527.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2689527.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2689527.0, "percent_of_class": 23.4, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000950103-26-007963", "person_seq": 0, "reporting_person_cik": 1008090, "reporting_person_name": "Aerin Lauder", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 14191415.0, "shared_voting_power": 4910594.0, "sole_dispositive_power": 14191415.0, "shared_dispositive_power": 4910594.0, "aggregate_amount_owned": 19102009.0, "percent_of_class": 7.2, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 9 (this \"Amendment\") is the ninth amendment to the Statement on Schedule 13D that was initially filed with the Securities and Exchange Commission on January 14, 2009 by The Aerin Lauder Zinterhofer 2008 Grantor Retained Annuity Trust (the \"ALZ 2008 GRAT\") and Aerin Lauder, a/k/a Aerin Lauder Zinterhofer (\"ALZ\" or the \"Reporting Person\"), as amended by Amendment No. 1 filed on April 26, 2010, Amendment No. 2 filed on May 27, 2010, Amendment No. 3 filed on April 23, 2015, Amendment No. 4 filed on May 8, 2019, Amendment No. 5 filed on June 14, 2021, Amendment No. 6 filed on August 30, 2021, Amendment No. 7 filed on December 10, 2024, and Amendment No. 8 filed on April 10, 2026 (the \"Schedule 13D\"). The ALZ 2008 GRAT ceased to be a reporting person on this Schedule 13D upon the filing of Amendment No. 3 described in the preceding sentence. Unless indicated otherwise, all items left blank remain unchanged and any items that are reported are deemed to amend and supplement the existing items in the Schedule 13D. Capitalized terms used in this Amendment and not defined herein have the respective meanings ascribed to such terms in the Schedule 13D." }, { "accession_no": "0000950103-26-008230", "person_seq": 0, "reporting_person_cik": 1635075, "reporting_person_name": "Vivek Ramaswamy", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5693897.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5693897.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5693897.0, "percent_of_class": 7.6, "type_of_reporting_person": "IN", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-008230", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Virtuous Industries LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 106245.0, "shared_voting_power": 0.0, "sole_dispositive_power": 106245.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 106245.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Assumes conversion of Class B Common Stock (as defined below) into Class A Common Stock. See Item 5 below." }, { "accession_no": "0000950103-26-009079", "person_seq": 0, "reporting_person_cik": 1087051, "reporting_person_name": "Bertelsmann SE & Co. KGaA", "fund_type": "WC", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 61076080.0, "sole_dispositive_power": 61076080.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 61076080.0, "percent_of_class": 72.27, "type_of_reporting_person": "CO", "comment_content": "With reference to Row 11: Aggregate amount beneficially owned by Bertelsmann SE & Co. KGaA (Bertelsmann) and Erste WV Gutersloh GmbH, a wholly-owned direct subsidiary of Bertelsmann (Erste, and collectively with Bertelsmann, the Reporting Person) consists of 34,074,134 Class B common shares and 27,001,946 Class A common shares held of record by the Reporting Person. Each Class B common share held of record by the Reporting Person is convertible into one Class A common share at the option of its holder at any time.\n\nWith reference to Row 13: Represents the quotient obtained by dividing (a) the number of Class B common shares and Class A common shares beneficially owned by the Reporting Person as set forth in Row 11 by (b) the sum of (i) 50,437,186 Class A common shares outstanding as of March 31, 2026 as reported by the Issuer in its Current Report on Form 6-K, filed with the Securities and Exchange Commission (the Commission) on May 7, 2026 (as reduced by the number of treasury shares reported therein), and (ii) the aggregate number of Class B common shares beneficially owned by the Reporting Person. The aggregate number of Class B common shares beneficially owned by the Reporting Person as set forth in clauses (a) and (b) of this footnote are treated as converted into Class A common shares only for the purpose of computing the percentage ownership of the Reporting Person. As of March 31, 2026, the number of Class A common shares outstanding was 50,437,186 and the percentage beneficially owned was 53.54%.\n\nWith reference to Row 13: Each Class A common share is entitled to one vote, and each Class B common share is entitled to ten votes. The percentage reported does not reflect the ten for one voting power of the Class B common shares because the Class B common shares are treated as converted into Class A common shares for the purpose of this report." }, { "accession_no": "0000950103-26-009079", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Erste WV Gutersloh GmbH", "fund_type": "WC", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 61076080.0, "sole_dispositive_power": 61076080.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 61076080.0, "percent_of_class": 72.27, "type_of_reporting_person": "CO", "comment_content": "With reference to Row 11: Aggregate amount beneficially owned by Bertelsmann SE & Co. KGaA (Bertelsmann) and Erste WV Gutersloh GmbH, a wholly-owned direct subsidiary of Bertelsmann (Erste, and collectively with Bertelsmann, the Reporting Person) consists of 34,074,134 Class B common shares and 27,001,946 Class A common shares held of record by the Reporting Person. Each Class B common share held of record by the Reporting Person is convertible into one Class A common share at the option of its holder at any time.\n\nWith reference to Row 13: Represents the quotient obtained by dividing (a) the number of Class B common shares and Class A common shares beneficially owned by the Reporting Person as set forth in Row 11 by (b) the sum of (i) 50,437,186 Class A common shares outstanding as of March 31, 2026 as reported by the Issuer in its Current Report on Form 6-K, filed with the Securities and Exchange Commission (the Commission) on May 7, 2026 (as reduced by the number of treasury shares reported therein), and (ii) the aggregate number of Class B common shares beneficially owned by the Reporting Person. The aggregate number of Class B common shares beneficially owned by the Reporting Person as set forth in clauses (a) and (b) of this footnote are treated as converted into Class A common shares only for the purpose of computing the percentage ownership of the Reporting Person. As of March 31, 2026, the number of Class A common shares outstanding was 50,437,186 and the percentage beneficially owned was 53.54%.\n\nWith reference to Row 13: Each Class A common share is entitled to one vote, and each Class B common share is entitled to ten votes. The percentage reported does not reflect the ten for one voting power of the Class B common shares because the Class B common shares are treated as converted into Class A common shares for the purpose of this report." }, { "accession_no": "0000950103-26-009395", "person_seq": 0, "reporting_person_cik": 2091677, "reporting_person_name": "Jabbok Schlacks", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 34828852.0, "sole_dispositive_power": 21236589.0, "shared_dispositive_power": 13592263.0, "aggregate_amount_owned": 34828852.0, "percent_of_class": 14.9, "type_of_reporting_person": "IN", "comment_content": "Note to rows 8 and 11:\n\n(1) Consists of (i) 50,000 shares of Class A common stock, (ii) 13,592,263 shares of Class A common stock held by EQS Heritage Holdings LLC, (iii) 714,285 shares of Class A common stock held by EQS Legacy Holdings LLC, (iv) 18,784,472 shares of Class B Common Stock and (v) 1,687,832 shares of Class B Common Stock underlying options that are currently exercisable. Each of Jabbok Schlacks and William J. Schlacks IV is a Managing Member of EQS Heritage Holdings LLC and EQS Legacy Holdings LLC and has controlling voting and dispositive power with regard to the shares held by such entities. Each share of Class B Common Stock is convertible into one share of the Issuer's Class A Common Stock at any time at the option of the holder thereof. Jabbok Schlacks and William J. Schlacks IV are parties to a voting agreement whereby each has agreed to vote their shares together as a group. Accordingly, each of Jabbok Schlacks and William J. Schlacks IV may be deemed to beneficially own each other's stock with shared voting power, currently consisting in the aggregate of 100,000 shares of Class A Common Stock and 37,568,944 shares of Class B Common Stock.\n\nNotes to row 13:\n\n(2) Based on the quotient obtained by dividing (a) the aggregate number of Class A Common Stock and Class B Common Stock, together, beneficially owned by the Reporting Person as set forth in Row 11 by (b) the sum of (i) 214,806,153 shares of Class A Common Stock outstanding as of May 10, 2026 and (ii) the aggregate number of shares of Class B Common Stock beneficially owned by the Reporting Person. The aggregate number of shares of Class B Common Stock beneficially owned by the Reporting Person as set forth in clauses \"(a)\" and \"(b)\" of this footnote are treated as converted into shares of Class A Common Stock solely for the purpose of computing the percentage ownership of the Reporting Person.\n\n(3) Each share of Class A Common Stock is entitled to one vote and each share of Class B Common Stock is entitled to 20 votes. Accordingly, each of Jabbok Schlacks and William J. Schlacks IV own 42.5% of the total outstanding voting power, and based on their voting agreement, their interests collectively represent 81% of the aggregate voting power of the Issuer's issued and outstanding share capital." }, { "accession_no": "0000950103-26-009395", "person_seq": 1, "reporting_person_cik": 2091309, "reporting_person_name": "William J. Schlacks IV", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 34828852.0, "sole_dispositive_power": 21236589.0, "shared_dispositive_power": 13592263.0, "aggregate_amount_owned": 34828852.0, "percent_of_class": 14.9, "type_of_reporting_person": "IN", "comment_content": "Note to rows 8 and 11:\n\n(1) Consists of (i) 50,000 shares of Class A common stock, (ii) 13,592,263 shares of Class A common stock held by EQS Heritage Holdings LLC, (iii) 714,285 shares of Class A common stock held by EQS Legacy Holdings LLC, (iv) 18,784,472 shares of Class B Common Stock and (v) 1,687,832 shares of Class B Common Stock underlying options that are currently exercisable. Each of William J. Schlacks IV and Jabbok Schlacks is a Managing Member of EQS Heritage Holdings LLC and EQS Legacy Holdings LLC and has controlling voting and dispositive power with regard to the shares held by such entities. Each share of Class B Common Stock is convertible into one share of the Issuer's Class A Common Stock at any time at the option of the holder thereof. William J. Schlacks IV and Jabbok Schlacks are parties to a voting agreement whereby each has agreed to vote their shares together as a group. Accordingly, each of William J. Schlacks IV and Jabbok Schlacks may be deemed to beneficially own each other's stock with shared voting power, currently consisting in the aggregate of 100,000 shares of Class A Common Stock and 37,568,944 shares of Class B Common Stock.\n\nNotes to row 13:\n\n(2) Based on the quotient obtained by dividing (a) the aggregate number of Class A Common Stock and Class B Common Stock, together, beneficially owned by the Reporting Person as set forth in Row 11 by (b) the sum of (i) 214,806,153 shares of Class A Common Stock outstanding as of May 10, 2026 and (ii) the aggregate number of shares of Class B Common Stock beneficially owned by the Reporting Person. The aggregate number of shares of Class B Common Stock beneficially owned by the Reporting Person as set forth in clauses \"(a)\" and \"(b)\" of this footnote are treated as converted into shares of Class A Common Stock solely for the purpose of computing the percentage ownership of the Reporting Person.\n\n(3) Each share of Class A Common Stock is entitled to one vote and each share of Class B Common Stock is entitled to 20 votes. Accordingly, each of William J. Schlacks IV and Jabbok Schlacks own 42.5% of the total outstanding voting power, and based on their voting agreement, their interests collectively represent 81% of the aggregate voting power of the Issuer's issued and outstanding share capital." }, { "accession_no": "0000950103-26-010461", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Blockchain Capital III Digital Liquid Venture Fund, LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1613818.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1613818.0, "aggregate_amount_owned": 1613818.0, "percent_of_class": 1.0, "type_of_reporting_person": "PN", "comment_content": "(1) Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026." }, { "accession_no": "0000950103-26-010461", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "BC III DLVF GP, LLC", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1613818.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1613818.0, "aggregate_amount_owned": 1613818.0, "percent_of_class": 1.0, "type_of_reporting_person": "CO", "comment_content": "(1) Consists of the shares held by Blockchain Capital III Digital Liquid Venture Fund, LP for which BC III DLVF GP, LLC is the general partner.\n(2) Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026." }, { "accession_no": "0000950103-26-010461", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Blockchain Capital IV, LP", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6848022.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6848022.0, "aggregate_amount_owned": 6848022.0, "percent_of_class": 4.2, "type_of_reporting_person": "PN", "comment_content": "(1) Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026" }, { "accession_no": "0000950103-26-010461", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Blockchain Capital Parallel IV, LP", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1369583.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1369583.0, "aggregate_amount_owned": 1369583.0, "percent_of_class": 0.8, "type_of_reporting_person": "PN", "comment_content": "(1) Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026." }, { "accession_no": "0000950103-26-010461", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Blockchain Capital IV GP, LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 8217605.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8217605.0, "aggregate_amount_owned": 8217605.0, "percent_of_class": 5.0, "type_of_reporting_person": "CO", "comment_content": "(1) Consists of 6,848,022 shares of common stock held by Blockchain Capital IV, LP and 1,369,583 shares of common stock held by Blockchain Capital Parallel IV, LP, for which Blockchain Capital IV GP, LLC is the general partner.\n(2) Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026" }, { "accession_no": "0000950103-26-010461", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Blockchain Capital, LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9831423.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9831423.0, "aggregate_amount_owned": 9831423.0, "percent_of_class": 6.0, "type_of_reporting_person": "CO", "comment_content": "(1) Includes: (a) 1,613,818 shares of common stock held by Blockchain Capital III Digital Liquid Venture Fund, LP, (b) 6,848,022 shares of common stock held by Blockchain Capital IV, LP and (c) 1,369,583 shares of common stock held by Blockchain Capital Parallel IV, LP (Blockchain Capital III Digital Liquid Venture Fund, LP, Blockchain Capital IV, LP and Blockchain Capital Parallel IV, LP, collectively the \"Blockchain Capital Funds\"). The general partner of each of the Blockchain Capital Funds is BC III DLVF GP, LLC or Blockchain Capital IV GP, LLC, as applicable (the \"Blockchain GP Entities\"). The managing member of each Blockchain GP Entity is Blockchain Capital, LLC.\n(2) Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026." }, { "accession_no": "0000950103-26-010461", "person_seq": 6, "reporting_person_cik": 1366498, "reporting_person_name": "W. Bradford Stephens", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9831423.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9831423.0, "aggregate_amount_owned": 9831423.0, "percent_of_class": 6.0, "type_of_reporting_person": "IN", "comment_content": "(1) Includes: (a) 1,613,818 shares of common stock held by Blockchain Capital III Digital Liquid Venture Fund, LP, (b) 6,848,022 shares of common stock held by Blockchain Capital IV, LP and (c) 1,369,583 shares of common stock held by Blockchain Capital Parallel IV, LP (Blockchain Capital III Digital Liquid Venture Fund, LP, Blockchain Capital IV, LP and Blockchain Capital Parallel IV, LP, collectively the \"Blockchain Capital Funds\"). The general partner of each of the Blockchain Capital Funds is BC III DLVF GP, LLC or Blockchain Capital IV GP, LLC, as applicable (the \"Blockchain GP Entities\"). The managing member of each Blockchain GP Entity is Blockchain Capital, LLC. Blockchain Capital, LLC is jointly managed by Brad Stephens and P. Bartlett Stephens, who share voting and dispositive power with respect to the securities held by the Blockchain Capital Funds. Accordingly, Messrs. Stephens may be deemed to have indirect voting and dispositive power over the securities held by the Blockchain Capital Funds.\n(2) Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026." }, { "accession_no": "0000950103-26-010461", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "P. Bartlett Stephens", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9831423.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9831423.0, "aggregate_amount_owned": 9831423.0, "percent_of_class": 6.0, "type_of_reporting_person": "IN", "comment_content": "(1) Includes: (a) 1,613,818 shares of common stock held by Blockchain Capital III Digital Liquid Venture Fund, LP, (b) 6,848,022 shares of common stock held by Blockchain Capital IV, LP and (c) 1,369,583 shares of common stock held by Blockchain Capital Parallel IV, LP (Blockchain Capital III Digital Liquid Venture Fund, LP, Blockchain Capital IV, LP and Blockchain Capital Parallel IV, LP, collectively the \"Blockchain Capital Funds\"). The general partner of each of the Blockchain Capital Funds is BC III DLVF GP, LLC or Blockchain Capital IV GP, LLC, as applicable (the \"Blockchain GP Entities\"). The managing member of each Blockchain GP Entity is Blockchain Capital, LLC. Blockchain Capital, LLC is jointly managed by Brad Stephens and P. Bartlett Stephens, who share voting and dispositive power with respect to the securities held by the Blockchain Capital Funds. Accordingly, Messrs. Stephens may be deemed to have indirect voting and dispositive power over the securities held by the Blockchain Capital Funds.\n(2) Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026." }, { "accession_no": "0000950103-26-010462", "person_seq": 0, "reporting_person_cik": 2117346, "reporting_person_name": "Carlos Domingo", "fund_type": "OO", "citizenship_or_org": "U3", "sole_voting_power": 9016960.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9016960.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9016960.0, "percent_of_class": 5.4, "type_of_reporting_person": "IN", "comment_content": "Percentage is calculated based on 163,218,683 shares of Common Stock deemed to be outstanding as of July 1, 2026, as reported on the Issuer's Current Report on Form 8-K, filed on July 8, 2026, and options to purchase 3,097,447 shares of Common Stock that are exercisable within 60 days of July 8, 2026." }, { "accession_no": "0000950103-26-010634", "person_seq": 0, "reporting_person_cik": 2048422, "reporting_person_name": "Lightship Capital III LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3400000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3400000.0, "aggregate_amount_owned": 3400000.0, "percent_of_class": 5.0416, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950103-26-010634", "person_seq": 1, "reporting_person_cik": 2048483, "reporting_person_name": "Lightship Capital III GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3400000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3400000.0, "aggregate_amount_owned": 3400000.0, "percent_of_class": 5.0416, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000950103-26-010634", "person_seq": 2, "reporting_person_cik": 2048359, "reporting_person_name": "AIPCF VIII (Cayman), L.P.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3400000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3400000.0, "aggregate_amount_owned": 3400000.0, "percent_of_class": 5.0416, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950103-26-010634", "person_seq": 3, "reporting_person_cik": 2048379, "reporting_person_name": "AIPCF VIII (Cayman), Ltd.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3400000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3400000.0, "aggregate_amount_owned": 3400000.0, "percent_of_class": 5.0416, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000950103-26-010634", "person_seq": 4, "reporting_person_cik": 2048424, "reporting_person_name": "AIPCF VIII Credit Opportunity Holding LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3400000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3400000.0, "aggregate_amount_owned": 3400000.0, "percent_of_class": 5.0416, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001345", "person_seq": 0, "reporting_person_cik": 1410830, "reporting_person_name": "Matrix Capital Management Company LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0000950142-26-001345", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "David E. Goel", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 0, "reporting_person_cik": 1017645, "reporting_person_name": "General Atlantic, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "General Atlantic (SPV) GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "General Atlantic Partners 100, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "General Atlantic (SP), L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "General Atlantic Partners (Lux) SCSp", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "General Atlantic GenPar, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "GAP Coinvestments III, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "GAP Coinvestments IV, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "GAP Coinvestments V, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "GAP Coinvestments CDA, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "General Atlantic GenPar (Lux) SCSp", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "General Atlantic (Lux) S.a r.l.", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "General Atlantic GenPar (Bermuda), L.P.", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001350", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "GAP (Bermuda) L.P.", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 6101582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6101582.0, "aggregate_amount_owned": 6101582.0, "percent_of_class": 11.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0000950142-26-001426", "person_seq": 0, "reporting_person_cik": 1017645, "reporting_person_name": "General Atlantic, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19420994.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19420994.0, "aggregate_amount_owned": 19420994.0, "percent_of_class": 18.1, "type_of_reporting_person": "OO", "comment_content": "Includes 34,731 shares and 7,225 restricted stock units held by Raphael Osnoss, who is an employee of General Atlantic Service Company, L.P. (\"GASC\"), solely for the benefit of GASC, which is controlled by the Partnership Committee (as defined below)." }, { "accession_no": "0000950142-26-001426", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "General Atlantic (SPV) GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9645318.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9645318.0, "aggregate_amount_owned": 9645318.0, "percent_of_class": 9.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000950142-26-001426", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "General Atlantic Partners 100, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9645318.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9645318.0, "aggregate_amount_owned": 9645318.0, "percent_of_class": 9.0, "type_of_reporting_person": "PN", 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The Reporting Person and Monex have no other voting agreement with respect to, share no power to dispose or direct the disposition of, and share no pecuniary interest in, any ordinary shares of the Issuer, including the Shares and the ordinary shares of the Issuer beneficially owned by Monex. The Reporting Person expressly disclaims formation of a group with Monex with respect to any ordinary shares of the Issuer, including the Shares and the ordinary shares of the Issuer beneficially owned by Monex." }, { "accession_no": "0000950142-26-001726", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "GASC GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16658563.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16658563.0, "aggregate_amount_owned": 16658563.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0000950142-26-001726", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "General Atlantic Partners, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16658563.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16658563.0, 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Schorsch 2016 Grantor Retained Annuity Trust", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 404114.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 404114.0, "aggregate_amount_owned": 404114.0, "percent_of_class": 0.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000950142-26-002274", "person_seq": 0, "reporting_person_cik": 2056592, "reporting_person_name": "Resolute ManCo Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4107534.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4107534.0, "aggregate_amount_owned": 4107534.0, "percent_of_class": 52.5, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row (13) is based on 7,819,595 shares of Common Stock that were outstanding as of August 5, 2026." }, { "accession_no": "0000950142-26-002274", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tungsten 2024 LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4180864.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4180864.0, "aggregate_amount_owned": 4180864.0, "percent_of_class": 53.5, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row (13) is based on 7,819,595 shares of Common Stock that were outstanding as of August 5, 2026." }, { "accession_no": "0000950142-26-002274", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Thomas R. Knott", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4107534.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4107534.0, "aggregate_amount_owned": 4107534.0, "percent_of_class": 52.5, "type_of_reporting_person": "IN", "comment_content": "The percentage in Row (13) is based on 7,819,595 shares of Common Stock that were outstanding as of August 5, 2026." }, { "accession_no": "0000950142-26-002274", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "C 323 Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4107534.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4107534.0, "aggregate_amount_owned": 4107534.0, "percent_of_class": 52.5, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row (13) is based on 7,819,595 shares of Common Stock that were outstanding as of August 5, 2026." }, { "accession_no": "0000950142-26-002274", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "John D. Cote", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 125000.0, "shared_voting_power": 4180864.0, "sole_dispositive_power": 125000.0, "shared_dispositive_power": 4180864.0, "aggregate_amount_owned": 4305864.0, "percent_of_class": 55.1, "type_of_reporting_person": "IN", "comment_content": "The percentage in Row (13) is based on 7,819,595 shares of Common Stock that were outstanding as of August 5, 2026." }, { "accession_no": "0000950157-26-000611", "person_seq": 0, "reporting_person_cik": 875045, "reporting_person_name": "Biogen Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "This Amendment No. 1 to Schedule 13D (this \"Amendment\") relates to the common stock, par value $0.0001 per share (the \"Shares\"), of Apellis Pharmaceuticals, Inc., a Delaware corporation (\"Apellis\") and amends and supplements the statement on Schedule 13D originally filed by Biogen Inc., a Delaware corporation (\"Biogen\"), on April 6, 2026 (the \"Prior Schedule 13D\"). The filing of this Amendment represents the final amendment to the Prior Schedule 13D and constitutes an exit filing for the Reporting Person.\n\nExcept as otherwise specified in this Amendment, all items left blank remain unchanged in all material respects and any items that are reported are deemed to amend and restate the corresponding items in the Prior Schedule 13D. Unless otherwise indicated, all capitalized terms used herein but not defined herein shall have the same meanings ascribed to them in the Prior Schedule 13D." }, { "accession_no": "0000950157-26-000662", "person_seq": 0, "reporting_person_cik": 1211679, "reporting_person_name": "Resolute Investments, Ltd.", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 31936012.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 31936012.0, "aggregate_amount_owned": 31936012.0, "percent_of_class": 36.71, "type_of_reporting_person": "CO", "comment_content": "Percentage ownership is based on an aggregate number of outstanding shares of common stock of Teekay Corporation of 87,004,134, as reported in the Form 6-K filed May 13, 2026." }, { "accession_no": "0000950157-26-000662", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Path Spirit Limited", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 31936012.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 31936012.0, "aggregate_amount_owned": 31936012.0, "percent_of_class": 36.71, "type_of_reporting_person": "OO", "comment_content": "Percentage ownership is based on an aggregate number of outstanding shares of common stock of Teekay Corporation of 87,004,134, as reported in the Form 6-K filed May 13, 2026." }, { "accession_no": "0000950157-26-000693", "person_seq": 0, "reporting_person_cik": 1974347, "reporting_person_name": "Pani Corp.", "fund_type": "AF", "citizenship_or_org": "N0", "sole_voting_power": 0.0, "shared_voting_power": 25649485.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22759485.0, "aggregate_amount_owned": 25649485.0, "percent_of_class": 74.2, "type_of_reporting_person": "CO", "comment_content": "Note to Row 8 and 11: Consists of (a) 8,500,000 common shares, par value $0.001 per share, of the Issuer (each common share of the Issuer, a \"Share\") acquired by Pani Corp. in a private placement on April 17, 2023, (b) 11,240 Shares acquired by Pani Corp. from Thalassa Investment Co. S.A., an entity controlled by Mr. Panagiotidis, on April 25, 2023, (c) 1,100,000 Shares underlying restricted stock (the \"Restricted Shares\"), which were granted to Mr. Panagiotidis on September 28, 2023 and transferred to Pani Corp. on October 2, 2023, (d) 760,000 Restricted Shares, which were granted to Mr. Panagiotidis on May 31, 2024 and transferred to Pani Corp. on June 3, 2024, (e) 2,340,000 Restricted Shares, which were granted to Mr. Panagiotidis on November 6, 2025 and transferred to Pani Corp. on November 7, 2025, (f) 5,794,995 Shares issued to Pani Corp. pursuant to a special dividend on January 16, 2026, (g) 2,315,971 Shares purchased by Pani Corp. through a series of transactions in the open market from April 22, 2026 to April 24, 2026 (inclusive) and (h) 4,827,279 Shares issued to Pani Corp. pursuant to the Special Dividend (as defined herein) on June 5, 2026. See Item 3 of this Amendment No. 6 for further information on the Special Dividend.\n\nNote to Row 10: Consists of (a) 8,500,000 Shares acquired by Pani Corp. in a private placement on April 17, 2023, (b) 11,240 Shares acquired by Pani Corp. from Thalassa Investment Co. S.A., an entity controlled by Mr. Panagiotidis, on April 25, 2023, (c) 1,310,000 Restricted Shares that have vested (500,000 Restricted Shares which vested on September 28, 2024, 260,000 Restricted Shares which vested on May 31, 2025, 300,000 Restricted Shares which vested on September 28, 2025 and 250,000 Restricted Shares which vested on May 31, 2026), (d) 5,794,995 Shares issued to Pani Corp. pursuant to a special dividend on January 16, 2026, (e) 2,315,971 Shares purchased by Pani Corp. through a series of transactions in the open market from April 22, 2026 to April 24, 2026 (inclusive) and (f) 4,827,279 Shares issued to Pani Corp. pursuant to the Special Dividend on June 5, 2026.\n\nNote to Row 13: Percentage ownership is calculated by using a denominator of 34,559,330 Shares, consisting of (a) 28,852,084 Shares outstanding as of May 28, 2026 as disclosed by the Issuer in its press release furnished on Form 6-K with the SEC on May 28, 2026, plus (b) 5,707,246 Shares issued by the Issuer on June 5, 2026 pursuant to the Special Dividend, as disclosed by the Issuer in its press release furnished on Form 6-K with the SEC on June 5, 2026." }, { "accession_no": "0000950157-26-000693", "person_seq": 1, "reporting_person_cik": 2118775, "reporting_person_name": "Petros Panagiotis Panagiotidis", "fund_type": "PF", "citizenship_or_org": "J3", "sole_voting_power": 0.0, "shared_voting_power": 25649485.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22759485.0, "aggregate_amount_owned": 25649485.0, "percent_of_class": 74.2, "type_of_reporting_person": "IN", "comment_content": "Notes to Row 8 and 11:\n\n(1) Consists of (a) 8,500,000 Shares acquired by Pani Corp. in a private placement on April 17, 2023, (b) 11,240 Shares acquired by Pani Corp. from Thalassa Investment Co. S.A., an entity controlled by Mr. Panagiotidis, on April 25, 2023, (c) 1,100,000 Restricted Shares which were granted to Mr. Panagiotidis on September 28, 2023 and transferred to Pani Corp. on October 2, 2023, (d) 760,000 Restricted Shares, which were granted to Mr. Panagiotidis on May 31, 2024 and transferred to Pani Corp. on June 3, 2024, (e) 2,340,000 Restricted Shares, which were granted to Mr. Panagiotidis on November 6, 2025 and transferred to Pani Corp. on November 7, 2025, (f) 5,794,995 Shares issued to Pani Corp. pursuant to a special dividend on January 16, 2026, (g) 2,315,971 Shares purchased by Pani Corp. through a series of transactions in the open market from April 22, 2026 to April 24, 2026 (inclusive) and (h) 4,827,279 Shares issued to Pani Corp. pursuant to the Special Dividend on June 5, 2026. See Item 3 of this Amendment No. 6 for further information on the Special Dividend.\n\n(2) Pelagos Holdings Corp, an entity controlled by Mr. Panagiotidis, also owns 40,000 Series B Preferred Shares of the Issuer. Each Series B Preferred Share has the voting power of 100,000 Shares.\n\n(3) Mr. Panagiotidis is the sole shareholder of Pani Corp. and he disclaims beneficial ownership of the 25,649,485 Shares held by Pani Corp., except to the extent of his pecuniary, voting and dispositive interests in such Shares.\n\nNote to Row 10: Consists of (a) 8,500,000 Shares acquired by Pani Corp. in a private placement on April 17, 2023, (b) 11,240 Shares acquired by Pani Corp. from Thalassa Investment Co. S.A., an entity controlled by Mr. Panagiotidis, on April 25, 2023, (c) 1,310,000 Restricted Shares that have vested (500,000 Restricted Shares which vested on September 28, 2024, 260,000 Restricted Shares which vested on May 31, 2025, 300,000 Restricted Shares which vested on September 28, 2025 and 250,000 Restricted Shares which vested on May 31, 2026), (d) 5,794,995 Shares issued to Pani Corp. pursuant to a special dividend on January 16, 2026, (e) 2,315,971 Shares purchased by Pani Corp. through a series of transactions in the open market from April 22, 2026 to April 24, 2026 (inclusive) and (f) 4,827,279 Shares issued to Pani Corp. pursuant to the Special Dividend on June 5, 2026.\n\nNote to Row 13: Percentage ownership is calculated by using a denominator of 34,559,330 Shares, consisting of (a) 28,852,084 Shares outstanding as of May 28, 2026 as disclosed by the Issuer in its press release furnished on Form 6-K with the SEC on May 28, 2026, plus (b) 5,707,246 Shares issued by the Issuer on June 5, 2026 pursuant to the Special Dividend, as disclosed by the Issuer in its press release furnished on Form 6-K with the SEC on June 5, 2026." }, { "accession_no": "0000950157-26-000772", "person_seq": 0, "reporting_person_cik": 1771044, "reporting_person_name": "INEOS Services Limited", "fund_type": "OO", "citizenship_or_org": "Y8", "sole_voting_power": 0.0, "shared_voting_power": 49880646.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 49880646.0, "aggregate_amount_owned": 49880646.0, "percent_of_class": 54.54, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000950157-26-000772", "person_seq": 1, "reporting_person_cik": 2139036, "reporting_person_name": "INEOS Limited", "fund_type": "OO", "citizenship_or_org": "Y8", "sole_voting_power": 0.0, "shared_voting_power": 49880646.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 49880646.0, "aggregate_amount_owned": 49880646.0, "percent_of_class": 54.54, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0000950157-26-000779", "person_seq": 0, "reporting_person_cik": 918697, "reporting_person_name": "ORTENZIO ROBERT A", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000950157-26-000779", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "JACKSON MARTIN F", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0000950157-26-000779", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Estate of Rocco A. Ortenzio", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001008886-26-000164", "person_seq": 0, "reporting_person_cik": 1847052, "reporting_person_name": "Common Property Trust", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8609601.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8609601.0, "aggregate_amount_owned": 8609601.0, "percent_of_class": 38.2, "type_of_reporting_person": "OO", "comment_content": "The percentage indicated in Row (13) is based upon 22,536,696 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q, as filed with the Securities and Exchange Commission on May 6, 2026." }, { "accession_no": "0001008886-26-000164", "person_seq": 1, "reporting_person_cik": 2065086, "reporting_person_name": "Common Property Trust LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3854284.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3854284.0, "aggregate_amount_owned": 3854284.0, "percent_of_class": 17.1, "type_of_reporting_person": "OO", "comment_content": "The percentage indicated in Row (13) is based upon 22,536,696 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q, as filed with the Securities and Exchange Commission on May 6, 2026." }, { "accession_no": "0001008886-26-000164", "person_seq": 2, "reporting_person_cik": 2064216, "reporting_person_name": "Amandla, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4755317.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4755317.0, "aggregate_amount_owned": 4755317.0, "percent_of_class": 21.1, "type_of_reporting_person": "OO", "comment_content": "The percentage indicated in Row (13) is based upon 22,536,696 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q, as filed with the Securities and Exchange Commission on May 6, 2026." }, { "accession_no": "0001008886-26-000164", "person_seq": 3, "reporting_person_cik": 1247187, "reporting_person_name": "Beans Patrick E.", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 35003.0, "shared_voting_power": 10270631.0, "sole_dispositive_power": 35003.0, "shared_dispositive_power": 10270631.0, "aggregate_amount_owned": 10305634.0, "percent_of_class": 45.7, "type_of_reporting_person": "IN", "comment_content": "The percentage indicated in Row (13) is based upon 22,536,696 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q, as filed with the Securities and Exchange Commission on May 6, 2026." }, { "accession_no": "0001008886-26-000164", "person_seq": 4, "reporting_person_cik": 1053133, "reporting_person_name": "Hays Michael D.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 45171.0, "shared_voting_power": 552128.0, "sole_dispositive_power": 45171.0, "shared_dispositive_power": 552128.0, "aggregate_amount_owned": 597299.0, "percent_of_class": 2.7, "type_of_reporting_person": "IN", "comment_content": "See footnote (4) to Item 5 herein for a detailed description of shares disclosed in this report with respect to which Mr. Hays disclaims beneficial ownership.\n\nThe percentage indicated in Row (13) is based upon 22,536,696 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q, as filed with the Securities and Exchange Commission on May 6, 2026." }, { "accession_no": "0001011438-26-000275", "person_seq": 0, "reporting_person_cik": 1822257, "reporting_person_name": "CMLS HOLDINGS LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 537285.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 537285.0, "aggregate_amount_owned": 537285.0, "percent_of_class": 1.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001011438-26-000275", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "C-LSH LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 537285.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 537285.0, "aggregate_amount_owned": 537285.0, "percent_of_class": 1.8, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001011438-26-000275", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "M-LSH LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 537285.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 537285.0, "aggregate_amount_owned": 537285.0, "percent_of_class": 1.8, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001011438-26-000275", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Casdin Capital, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3007164.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3007164.0, "aggregate_amount_owned": 3007164.0, "percent_of_class": 10.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001011438-26-000275", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Casdin Partners Master Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3007164.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3007164.0, "aggregate_amount_owned": 3007164.0, "percent_of_class": 10.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001011438-26-000275", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Casdin Partners GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3026411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3026411.0, "aggregate_amount_owned": 3026411.0, "percent_of_class": 10.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001011438-26-000275", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Eli Casdin", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 35975.0, "shared_voting_power": 3563696.0, "sole_dispositive_power": 35975.0, "shared_dispositive_power": 3563696.0, "aggregate_amount_owned": 3599671.0, "percent_of_class": 12.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001011438-26-000275", "person_seq": 7, "reporting_person_cik": 1307631, "reporting_person_name": "Meister, Keith A.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4468209.0, "shared_voting_power": 537285.0, "sole_dispositive_power": 4468209.0, "shared_dispositive_power": 537285.0, "aggregate_amount_owned": 5005494.0, "percent_of_class": 16.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001011438-26-000275", "person_seq": 8, "reporting_person_cik": 1535472, "reporting_person_name": "Corvex Management LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 4433297.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4433297.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4433297.0, "percent_of_class": 14.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001011438-26-000320", "person_seq": 0, "reporting_person_cik": 2027951, "reporting_person_name": "Cerberus 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Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 5843282.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5843282.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5843282.0, "percent_of_class": 16.4, "type_of_reporting_person": "CO", "comment_content": "Note to Items 7, 9, 11: See Note 1 to Item 5 below" }, { "accession_no": "0001013594-26-000736", "person_seq": 0, "reporting_person_cik": 1346543, "reporting_person_name": "Northern Right Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 3145702.0, "shared_voting_power": 2279478.0, "sole_dispositive_power": 3145702.0, "shared_dispositive_power": 2279478.0, "aggregate_amount_owned": 5425180.0, "percent_of_class": 16.7, "type_of_reporting_person": "IA", "comment_content": "Note to Rows 7 and 9: Northern Right Management (as defined herein) may be deemed to beneficially own 3,145,702 shares of Common Stock (as defined herein) currently held by the Managed Accounts (as defined herein), including 1,182,012 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued in the aggregate to the Managed Accounts in connection with the conversion of their PIK Notes (as defined herein), subject to adjustment as provided in the PIK Notes.\n\nNote to Rows 8 and 10: Northern Right Management may be deemed to beneficially own 2,279,478 shares of Common Stock currently held by Northern Right QP (as defined herein) and NRC LO (as defined herein), not including 1,083,511 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued in the aggregate to Northern Right QP and NRC LO in connection with the conversion of their PIK Notes, subject to adjustment as provided in the PIK Notes. Northern Right QP and NRC LO have agreed to forbear from exercising their right to convert their respective PIK Notes until July 15, 2027 under the terms of the Forbearance Agreement (as defined herein)." }, { "accession_no": "0001013594-26-000736", "person_seq": 1, "reporting_person_cik": 1451722, "reporting_person_name": "Northern Right Capital (QP), L.P.", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 1654444.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1654444.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1654444.0, "percent_of_class": 5.1, "type_of_reporting_person": "PN", "comment_content": "Note to Rows 7 and 9: Northern Right QP is the sole owner of 1,654,444 shares of Common Stock, not including a conversionary interest in 790,648 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued to Northern Right QP in connection with the conversion of its PIK Notes, subject to adjustment as provided in the PIK Notes. Northern Right QP has agreed to forbear from exercising its right to convert its PIK Notes until July 15, 2027 under the terms of the Forbearance Agreement." }, { "accession_no": "0001013594-26-000736", "person_seq": 2, "reporting_person_cik": 2052537, "reporting_person_name": "Northern Right Long Only Master Fund LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 625034.0, "shared_voting_power": 0.0, "sole_dispositive_power": 625034.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 625034.0, "percent_of_class": 1.9, "type_of_reporting_person": "PN", "comment_content": "Note to Rows 7 and 9: NRC LO is the sole owner of 625,034 shares of Common Stock, not including a conversionary interest in 292,863 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued to NRC LO in connection with the conversion of its PIK Notes, subject to adjustment as provided in the PIK Notes. NRC LO has agreed to forbear from exercising its right to convert its PIK Notes until July 15, 2027 under the terms of the Forbearance Agreement." }, { "accession_no": "0001013594-26-000736", "person_seq": 3, "reporting_person_cik": 2053060, "reporting_person_name": "Northern Right Fund GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 625034.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 625034.0, "aggregate_amount_owned": 625034.0, "percent_of_class": 1.9, "type_of_reporting_person": "OO", "comment_content": "Note to Rows 8 and 10: NRC Fund GP (as defined herein) may be deemed to beneficially own 625,034 shares of Common Stock currently held by NRC LO, not including a conversionary interest in 292,863 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued to NRC LO in connection with the conversion of its PIK Notes, subject to adjustment as provided in the PIK Notes. NRC LO has agreed to forbear from exercising its right to convert its PIK Notes until July 15, 2027 under the terms of the Forbearance Agreement." }, { "accession_no": "0001013594-26-000736", "person_seq": 4, "reporting_person_cik": 1349003, "reporting_person_name": "BC Advisors, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5425180.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5425180.0, "aggregate_amount_owned": 5425180.0, "percent_of_class": 16.7, "type_of_reporting_person": "IA", "comment_content": "Note to Rows 8 and 10: BCA (as defined herein) may be deemed to beneficially own 5,425,180 shares of Common Stock currently held by Northern Right QP, NRC LO and the Managed Accounts, including 1,182,012 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued in the aggregate to the Managed Accounts, and not including 1,083,511 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued in the aggregate to Northern Right QP and NRC LO, in connection with the conversion of their PIK Notes, subject to adjustment as provided in the PIK Notes. Northern Right QP and NRC LO have agreed to forbear from exercising their right to convert their respective PIK Notes until July 15, 2027 under the terms of the Forbearance Agreement." }, { "accession_no": "0001013594-26-000736", "person_seq": 5, "reporting_person_cik": 1458693, "reporting_person_name": "Drapkin Matthew A", "fund_type": null, "citizenship_or_org": null, "sole_voting_power": 785892.0, "shared_voting_power": 5425180.0, "sole_dispositive_power": 785892.0, "shared_dispositive_power": 5425180.0, "aggregate_amount_owned": 6211072.0, "percent_of_class": 19.1, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7 and 9: Mr. Drapkin is the sole owner of 785,892 shares of Common Stock. On January 8, 2026, Mr. Drapkin was awarded 114,286 restricted shares of Common Stock, which restricted shares have not been deferred. Of such restricted shares, 57,143 will remain unvested within 60 days of the date of this Statement, and 0 are currently unvested but will vest within 60 days of the date of this Statement. Mr. Drapkin also has a conversionary interest in 98,502 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued to Mr. Drapkin in connection with the conversion of his PIK Notes, subject to adjustment as provided in the PIK Notes. Mr. Drapkin has agreed to forbear from exercising his right to convert his PIK Notes until July 15, 2027 under the terms of the Forbearance Agreement.\n\nNote to Rows 8 and 10: Mr. Drapkin may be deemed to beneficially own 5,425,180 shares of Common Stock currently held by Northern Right QP, NRC LO and the Managed Accounts, including 1,182,012 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued in the aggregate to the Managed Accounts, and not including 1,083,511 shares of Common Stock, which represent the maximum number of shares of Common Stock that could be issued in the aggregate to Northern Right QP and NRC LO, in connection with the conversion of their PIK Notes, subject to adjustment as provided in the PIK Notes. Northern Right QP and NRC LO have agreed to forbear from exercising their right to convert their respective PIK Notes until July 15, 2027 under the terms of the Forbearance Agreement." }, { "accession_no": "0001056823-26-000016", "person_seq": 0, "reporting_person_cik": 1056823, "reporting_person_name": "HORIZON KINETICS ASSET MANAGEMENT LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 7400316.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7400316.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7400316.0, "percent_of_class": 7.8, "type_of_reporting_person": "IA", "comment_content": "Horizon Kinetics Asset Management LLC (\"HKAM\"), a Delaware limited liability company and a wholly owned subsidiary of Horizon Kinetics Holding Corporation (\"HKHC\"), a Delaware corporation, manages funds and accounts (\"Managed Accounts\") that hold securities of the Issuer.\n\nThe following constitutes Amendment No. 4 to the Schedule 13D filed by the undersigned. This Amendment No. 4 amends, supplements and to the extent inconsistent with, supersedes the initial Schedule 13D filed with the Securities and Exchange Commission on August 13, 2025, as amended by Amendment No. 1 filed November 24, 2025, Amendment No. 2 filed April 14, 2026, and Amendment No. 3 filed April 27, 2026." }, { "accession_no": "0001056823-26-000016", "person_seq": 1, "reporting_person_cik": 88000, "reporting_person_name": "Horizon Kinetics Holding Corp", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 7400316.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7400316.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7400316.0, "percent_of_class": 7.8, "type_of_reporting_person": "HC", "comment_content": "HKHC is the parent company to HKAM, a registered investment adviser. HKHC may be deemed to beneficially own the 7,400,316 shares beneficially owned by HKAM. HKHC has not entered into any separate transactions in the shares other than those listed under Schedule A, and as described in Item 4 below, which were effectuated by HKAM." }, { "accession_no": "0001062993-26-002475", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3500205.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3500205.0, "aggregate_amount_owned": 3500205.0, "percent_of_class": 8.18, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 42,766,222 shares of common stock outstanding as of 10/31/25, as disclosed in the company's N-CSR filed 1/6/26." }, { "accession_no": "0001062993-26-002475", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 3500205.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3500205.0, "aggregate_amount_owned": 3500205.0, "percent_of_class": 8.18, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 42,766,222 shares of common stock outstanding as of 10/31/25, as disclosed in the company's N-CSR filed 1/6/26." }, { "accession_no": "0001062993-26-002475", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3500205.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3500205.0, "aggregate_amount_owned": 3500205.0, "percent_of_class": 8.18, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 42,766,222 shares of common stock outstanding as of 10/31/25, as disclosed in the company's N-CSR filed 1/6/26." }, { "accession_no": "0001062993-26-002476", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20188874.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20188874.0, "aggregate_amount_owned": 20188874.0, "percent_of_class": 20.3, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-002476", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 20188874.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20188874.0, "aggregate_amount_owned": 20188874.0, "percent_of_class": 20.3, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-002476", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20188874.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20188874.0, "aggregate_amount_owned": 20188874.0, "percent_of_class": 20.3, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-002646", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 31.91, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 18,499,850 shares of common stock outstanding, as disclosed in the company's Form 144 filed 4/17/26." }, { "accession_no": "0001062993-26-002646", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 31.91, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 18,499,850 shares of common stock outstanding, as disclosed in the company's Form 144 filed 4/17/26." }, { "accession_no": "0001062993-26-002646", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 31.91, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 18,499,850 shares of common stock outstanding, as disclosed in the company's Form 144 filed 4/17/26." }, { "accession_no": "0001062993-26-002835", "person_seq": 0, "reporting_person_cik": 1563674, "reporting_person_name": "Yorkmont Capital Partners, LP", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 202745.0, "shared_voting_power": 0.0, "sole_dispositive_power": 202745.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 202745.0, "percent_of_class": 5.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001062993-26-002835", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Yorkmont Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 202745.0, "shared_voting_power": 0.0, "sole_dispositive_power": 202745.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 202745.0, "percent_of_class": 5.2, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001062993-26-002835", "person_seq": 2, "reporting_person_cik": 1674265, "reporting_person_name": "Graeme P. Rein", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 282478.0, "shared_voting_power": 0.0, "sole_dispositive_power": 282478.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 282478.0, "percent_of_class": 7.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001062993-26-002913", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 31.91, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 18,499,850 shares of common stock outstanding, as disclosed in the company's Form 144 filed 4/17/26." }, { "accession_no": "0001062993-26-002913", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 31.91, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 18,499,850 shares of common stock outstanding, as disclosed in the company's Form 144 filed 4/17/26." }, { "accession_no": "0001062993-26-002913", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 31.91, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 18,499,850 shares of common stock outstanding, as disclosed in the company's Form 144 filed 4/17/26." }, { "accession_no": "0001062993-26-002923", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2065923.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2065923.0, "aggregate_amount_owned": 2065923.0, "percent_of_class": 14.33, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 14,420,065 shares of common stock outstanding as of 4/30/26, as disclosed in the company's 8-K filed 5/7/26." }, { "accession_no": "0001062993-26-002923", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 2065923.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2065923.0, "aggregate_amount_owned": 2065923.0, "percent_of_class": 14.33, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 14,420,065 shares of common stock outstanding as of 4/30/26, as disclosed in the company's 8-K filed 5/7/26." }, { "accession_no": "0001062993-26-002923", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2065923.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2065923.0, "aggregate_amount_owned": 2065923.0, "percent_of_class": 14.33, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 14,420,065 shares of common stock outstanding as of 4/30/26, as disclosed in the company's 8-K filed 5/7/26." }, { "accession_no": "0001062993-26-002925", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3375282.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3375282.0, "aggregate_amount_owned": 3375282.0, "percent_of_class": 20.79, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 16,231,237.85 shares of common stock outstanding as of 5/15/26, as disclosed in the company's DEF 14A filed 5/20/26." }, { "accession_no": "0001062993-26-002925", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 3375282.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3375282.0, "aggregate_amount_owned": 3375282.0, "percent_of_class": 20.79, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 16,231,237.85 shares of common stock outstanding as of 5/15/26, as disclosed in the company's DEF 14A filed 5/20/26." }, { "accession_no": "0001062993-26-002925", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3375282.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3375282.0, "aggregate_amount_owned": 3375282.0, "percent_of_class": 20.79, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 16,231,237.85 shares of common stock outstanding as of 5/15/26, as disclosed in the company's DEF 14A filed 5/20/26." }, { "accession_no": "0001062993-26-003035", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19034941.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19034941.0, "aggregate_amount_owned": 19034941.0, "percent_of_class": 19.14, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003035", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 19034941.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19034941.0, "aggregate_amount_owned": 19034941.0, "percent_of_class": 19.14, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003035", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19034941.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19034941.0, "aggregate_amount_owned": 19034941.0, "percent_of_class": 19.14, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003057", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 881942.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 881942.0, "aggregate_amount_owned": 881942.0, "percent_of_class": 4.71, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 18,738,120.892 shares of common stock outstanding as of 5/8/26, as disclosed in the company's DEF 14A filed 5/18/26." }, { "accession_no": "0001062993-26-003057", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 881942.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 881942.0, "aggregate_amount_owned": 881942.0, "percent_of_class": 4.71, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 18,738,120.892 shares of common stock outstanding as of 5/8/26, as disclosed in the company's DEF 14A filed 5/18/26." }, { "accession_no": "0001062993-26-003057", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 881942.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 881942.0, "aggregate_amount_owned": 881942.0, "percent_of_class": 4.71, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 18,738,120.892 shares of common stock outstanding as of 5/8/26, as disclosed in the company's DEF 14A filed 5/18/26." }, { "accession_no": "0001062993-26-003063", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5799399.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5799399.0, "aggregate_amount_owned": 5799399.0, "percent_of_class": 10.47, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 55,406,502 shares of common stock outstanding as of 4/30/26, as disclosed in the company's DEF 14A filed 5/7/26." }, { "accession_no": "0001062993-26-003063", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 5799399.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5799399.0, "aggregate_amount_owned": 5799399.0, "percent_of_class": 10.47, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 55,406,502 shares of common stock outstanding as of 4/30/26, as disclosed in the company's DEF 14A filed 5/7/26." }, { "accession_no": "0001062993-26-003063", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5799399.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5799399.0, "aggregate_amount_owned": 5799399.0, "percent_of_class": 10.47, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 55,406,502 shares of common stock outstanding as of 4/30/26, as disclosed in the company's DEF 14A filed 5/7/26." }, { "accession_no": "0001062993-26-003215", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4715534.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4715534.0, "aggregate_amount_owned": 4715534.0, "percent_of_class": 5.35, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 88,167,468 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/4/26." }, { "accession_no": "0001062993-26-003215", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 4715534.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4715534.0, "aggregate_amount_owned": 4715534.0, "percent_of_class": 5.35, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 88,167,468 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/4/26." }, { "accession_no": "0001062993-26-003215", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4715534.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4715534.0, "aggregate_amount_owned": 4715534.0, "percent_of_class": 5.35, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 88,167,468 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/4/26." }, { "accession_no": "0001062993-26-003221", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2234685.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2234685.0, "aggregate_amount_owned": 2234685.0, "percent_of_class": 15.5, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 14,420,065 shares of common stock outstanding as of 5/31/26, as disclosed in the company's 8-K filed 6/5/26." }, { "accession_no": "0001062993-26-003221", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 2234685.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2234685.0, "aggregate_amount_owned": 2234685.0, "percent_of_class": 15.5, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 14,420,065 shares of common stock outstanding as of 5/31/26, as disclosed in the company's 8-K filed 6/5/26." }, { "accession_no": "0001062993-26-003221", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2234685.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2234685.0, "aggregate_amount_owned": 2234685.0, "percent_of_class": 15.5, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 14,420,065 shares of common stock outstanding as of 5/31/26, as disclosed in the company's 8-K filed 6/5/26." }, { "accession_no": "0001062993-26-003222", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3563777.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3563777.0, "aggregate_amount_owned": 3563777.0, "percent_of_class": 21.96, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 16,231,237.85 shares of common stock outstanding as of 5/15/26, as disclosed in the company's DEF 14A filed 5/20/26." }, { "accession_no": "0001062993-26-003222", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 3563777.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3563777.0, "aggregate_amount_owned": 3563777.0, "percent_of_class": 21.96, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 16,231,237.85 shares of common stock outstanding as of 5/15/26, as disclosed in the company's DEF 14A filed 5/20/26." }, { "accession_no": "0001062993-26-003222", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3563777.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3563777.0, "aggregate_amount_owned": 3563777.0, "percent_of_class": 21.96, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 16,231,237.85 shares of common stock outstanding as of 5/15/26, as disclosed in the company's DEF 14A filed 5/20/26." }, { "accession_no": "0001062993-26-003411", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3465327.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3465327.0, "aggregate_amount_owned": 3465327.0, "percent_of_class": 6.66, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 52,047,534 shares of common stock outstanding as of 11/30/25, as disclosed in the company's N-CSRS filed 2/2/26." }, { "accession_no": "0001062993-26-003411", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 3465327.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3465327.0, "aggregate_amount_owned": 3465327.0, "percent_of_class": 6.66, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 52,047,534 shares of common stock outstanding as of 11/30/25, as disclosed in the company's N-CSRS filed 2/2/26." }, { "accession_no": "0001062993-26-003411", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3465327.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3465327.0, "aggregate_amount_owned": 3465327.0, "percent_of_class": 6.66, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 52,047,534 shares of common stock outstanding as of 11/30/25, as disclosed in the company's N-CSRS filed 2/2/26." }, { "accession_no": "0001062993-26-003413", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1751470.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1751470.0, "aggregate_amount_owned": 1751470.0, "percent_of_class": 7.3, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 23,986,608 shares of common stock outstanding as of 2/18/26, as disclosed in the company's DEF 14A filed 2/23/26." }, { "accession_no": "0001062993-26-003413", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 1751470.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1751470.0, "aggregate_amount_owned": 1751470.0, "percent_of_class": 7.3, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 23,986,608 shares of common stock outstanding as of 2/18/26, as disclosed in the company's DEF 14A filed 2/23/26." }, { "accession_no": "0001062993-26-003413", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1751470.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1751470.0, "aggregate_amount_owned": 1751470.0, "percent_of_class": 7.3, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 23,986,608 shares of common stock outstanding as of 2/18/26, as disclosed in the company's DEF 14A filed 2/23/26." }, { "accession_no": "0001062993-26-003415", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17930744.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17930744.0, "aggregate_amount_owned": 17930744.0, "percent_of_class": 18.03, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003415", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 17930744.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17930744.0, "aggregate_amount_owned": 17930744.0, "percent_of_class": 18.03, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003415", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17930744.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17930744.0, "aggregate_amount_owned": 17930744.0, "percent_of_class": 18.03, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003506", "person_seq": 0, "reporting_person_cik": 2005665, "reporting_person_name": "Ian McDonald", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 1396665.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1396665.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1396665.0, "percent_of_class": 13.7, "type_of_reporting_person": "IN", "comment_content": "These 1,396,665 Common Shares under Items (7), (9) and (11) consist of (i) 1,004,900 Common Shares; (ii) 361,765 Common Shares issuable upon exercise of common share purchase warrants (the \"Warrants\"); and (iii) 30,000 restricted share units (the \"RSUs\" together with the Warrants, the \"Derivative Securities\").\n\nItem (13) is calculated based on 10,203,826 Common Shares, consisting of (i) 9,812,061 Common Shares issued and outstanding on May 19, 2026, as reported in the Management's Discussion and Analysis for the second quarter ended March 31, 2026, as furnished by the Issuer to the SEC on Form 6-K on May 20, 2026, plus (i) 361,765 Common Shares issuable to the Reporting Person upon exercise of the Warrants; and (ii) 30,000 Common Shares issuable to the Reporting Person upon settlement of the RSUs." }, { "accession_no": "0001062993-26-003780", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16865321.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16865321.0, "aggregate_amount_owned": 16865321.0, "percent_of_class": 16.96, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003780", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 16865321.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16865321.0, "aggregate_amount_owned": 16865321.0, "percent_of_class": 16.96, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003780", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16865321.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16865321.0, "aggregate_amount_owned": 16865321.0, "percent_of_class": 16.96, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003832", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3252976.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3252976.0, "aggregate_amount_owned": 3252976.0, "percent_of_class": 6.08, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 53,478,521 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 2/27/26." }, { "accession_no": "0001062993-26-003832", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 3252976.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3252976.0, "aggregate_amount_owned": 3252976.0, "percent_of_class": 6.08, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 53,478,521 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 2/27/26." }, { "accession_no": "0001062993-26-003832", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3252976.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3252976.0, "aggregate_amount_owned": 3252976.0, "percent_of_class": 6.08, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 53,478,521 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 2/27/26." }, { "accession_no": "0001062993-26-003938", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 853694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 853694.0, "aggregate_amount_owned": 853694.0, "percent_of_class": 9.04, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 9,443,167 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/2/26." }, { "accession_no": "0001062993-26-003938", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 853694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 853694.0, "aggregate_amount_owned": 853694.0, "percent_of_class": 9.04, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 9,443,167 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/2/26." }, { "accession_no": "0001062993-26-003938", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 853694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 853694.0, "aggregate_amount_owned": 853694.0, "percent_of_class": 9.04, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 9,443,167 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/2/26." }, { "accession_no": "0001062993-26-003983", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 32.16, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 18,356,816 shares of common stock outstanding as of 5/31/26, as disclosed in the company's N-CSRS filed 7/28/26." }, { "accession_no": "0001062993-26-003983", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 32.16, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 18,356,816 shares of common stock outstanding as of 5/31/26, as disclosed in the company's N-CSRS filed 7/28/26." }, { "accession_no": "0001062993-26-003983", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5903701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5903701.0, "aggregate_amount_owned": 5903701.0, "percent_of_class": 32.16, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 18,356,816 shares of common stock outstanding as of 5/31/26, as disclosed in the company's N-CSRS filed 7/28/26." }, { "accession_no": "0001062993-26-003985", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7201382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7201382.0, "aggregate_amount_owned": 7201382.0, "percent_of_class": 5.03, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 143,044,372.357 shares of common stock outstanding as of 6/15/26, as disclosed in the company's DEF 14A filed 6/30/26." }, { "accession_no": "0001062993-26-003985", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 7201382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7201382.0, "aggregate_amount_owned": 7201382.0, "percent_of_class": 5.03, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 143,044,372.357 shares of common stock outstanding as of 6/15/26, as disclosed in the company's DEF 14A filed 6/30/26." }, { "accession_no": "0001062993-26-003985", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7201382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7201382.0, "aggregate_amount_owned": 7201382.0, "percent_of_class": 5.03, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 143,044,372.357 shares of common stock outstanding as of 6/15/26, as disclosed in the company's DEF 14A filed 6/30/26." }, { "accession_no": "0001062993-26-003987", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15798219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15798219.0, "aggregate_amount_owned": 15798219.0, "percent_of_class": 15.88, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003987", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 15798219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15798219.0, "aggregate_amount_owned": 15798219.0, "percent_of_class": 15.88, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-003987", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15798219.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15798219.0, "aggregate_amount_owned": 15798219.0, "percent_of_class": 15.88, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 99,468,307 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 3/5/26." }, { "accession_no": "0001062993-26-004045", "person_seq": 0, "reporting_person_cik": 1510281, "reporting_person_name": "Saba Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3786726.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3786726.0, "aggregate_amount_owned": 3786726.0, "percent_of_class": 7.08, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 53,478,521 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 2/27/26." }, { "accession_no": "0001062993-26-004045", "person_seq": 1, "reporting_person_cik": 1608233, "reporting_person_name": "Boaz R. Weinstein", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 3786726.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3786726.0, "aggregate_amount_owned": 3786726.0, "percent_of_class": 7.08, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 53,478,521 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 2/27/26." }, { "accession_no": "0001062993-26-004045", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Saba Capital Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3786726.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3786726.0, "aggregate_amount_owned": 3786726.0, "percent_of_class": 7.08, "type_of_reporting_person": "OO", "comment_content": "The percentages used herein are calculated based upon 53,478,521 shares of common stock outstanding as of 12/31/25, as disclosed in the company's N-CSR filed 2/27/26." }, { "accession_no": "0001072613-26-000468", "person_seq": 0, "reporting_person_cik": 1853723, "reporting_person_name": "SR One Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3794883.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3794883.0, "aggregate_amount_owned": 3794883.0, "percent_of_class": 8.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001072613-26-000468", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "SR One Capital Fund I Aggregator, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1831383.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1831383.0, "aggregate_amount_owned": 1831383.0, "percent_of_class": 3.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000468", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "SR One Capital Partners I, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1831383.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1831383.0, "aggregate_amount_owned": 1831383.0, "percent_of_class": 3.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000468", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "SR One Co-Invest IV, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 374335.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 374335.0, "aggregate_amount_owned": 374335.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001072613-26-000468", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "SR One Co-Invest IV-A, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 574314.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 574314.0, "aggregate_amount_owned": 574314.0, "percent_of_class": 1.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001072613-26-000468", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "SR One Co-Invest IV Manager, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 948649.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 948649.0, "aggregate_amount_owned": 948649.0, "percent_of_class": 2.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001072613-26-000468", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "AMZL, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1014851.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1014851.0, "aggregate_amount_owned": 1014851.0, "percent_of_class": 2.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000468", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "SR One Capital SMA Partners, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1014851.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1014851.0, "aggregate_amount_owned": 1014851.0, "percent_of_class": 2.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000468", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Simeon George", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3794883.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3794883.0, "aggregate_amount_owned": 3794883.0, "percent_of_class": 8.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000486", "person_seq": 0, "reporting_person_cik": 1629794, "reporting_person_name": "New Enterprise Associates 15, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3568781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3568781.0, "aggregate_amount_owned": 3568781.0, "percent_of_class": 4.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000486", "person_seq": 1, "reporting_person_cik": 1640031, "reporting_person_name": "NEA Partners 15, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3568781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3568781.0, "aggregate_amount_owned": 3568781.0, "percent_of_class": 4.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000486", "person_seq": 2, "reporting_person_cik": 1640033, "reporting_person_name": "NEA 15 GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3568781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3568781.0, "aggregate_amount_owned": 3568781.0, "percent_of_class": 4.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001072613-26-000486", "person_seq": 3, "reporting_person_cik": 1277631, "reporting_person_name": "Forest Baskett", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3568781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3568781.0, "aggregate_amount_owned": 3568781.0, "percent_of_class": 4.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000486", "person_seq": 4, "reporting_person_cik": 1559827, "reporting_person_name": "Anthony A. Florence, Jr.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3568781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3568781.0, "aggregate_amount_owned": 3568781.0, "percent_of_class": 4.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000486", "person_seq": 5, "reporting_person_cik": 1630226, "reporting_person_name": "Mohamad H. Makhzoumi", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3568781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3568781.0, "aggregate_amount_owned": 3568781.0, "percent_of_class": 4.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000486", "person_seq": 6, "reporting_person_cik": 1237289, "reporting_person_name": "Scott D. Sandell", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3568781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3568781.0, "aggregate_amount_owned": 3568781.0, "percent_of_class": 4.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000520", "person_seq": 0, "reporting_person_cik": 1048703, "reporting_person_name": "KARPUS MANAGEMENT, INC.", "fund_type": "WC", "citizenship_or_org": "NY", "sole_voting_power": 8639783.8, "shared_voting_power": 0.0, "sole_dispositive_power": 8639783.8, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8639783.8, "percent_of_class": 37.05, "type_of_reporting_person": "IA", "comment_content": "This Amendment No. 6 (\"Amendment\") amends and supplements the statement on Schedule 13D filed by Karpus Management, Inc., d/b/a Karpus Investment Management (\"Karpus\"), on December 13, 2023, as amended by Amendment No. 1 filed on May 20, 2024, by Amendment No. 2 filed on September 18, 2024, by Amendment No. 3 filed on April 9, 2025, by Amendment No. 4 filed on January 7, 2026, and by Amendment No. 5 filed on April 30, 2026 (collectively, the \"Original Schedule 13D\" and, as amended by this Amendment, the \"Schedule 13D\"), relating to the shares of Common Stock of Western Asset Inflation-Linked Income Fund, (\"Shares\"), a Massachusetts corporation (the \"Issuer\"). Except as specifically provided herein, each Item of the Original Schedule 13D remains unchanged. Capitalized terms used but not otherwise defined herein have the meanings set forth in the Original Schedule 13D." }, { "accession_no": "0001072613-26-000558", "person_seq": 0, "reporting_person_cik": 1768564, "reporting_person_name": "New Enterprise Associates 17, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6692298.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6692298.0, "aggregate_amount_owned": 6692298.0, "percent_of_class": 7.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 1, "reporting_person_cik": 1796820, "reporting_person_name": "NEA Partners 17, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6692298.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6692298.0, "aggregate_amount_owned": 6692298.0, "percent_of_class": 7.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 2, "reporting_person_cik": 1796821, "reporting_person_name": "NEA 17 GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6692298.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6692298.0, "aggregate_amount_owned": 6692298.0, "percent_of_class": 7.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 3, "reporting_person_cik": 1559827, "reporting_person_name": "Anthony A. Florence, Jr.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6692298.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6692298.0, "aggregate_amount_owned": 6692298.0, "percent_of_class": 7.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 4, "reporting_person_cik": 1630226, "reporting_person_name": "Mohamad H. Makhzoumi", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6692298.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6692298.0, "aggregate_amount_owned": 6692298.0, "percent_of_class": 7.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 5, "reporting_person_cik": 1237289, "reporting_person_name": "Scott D. Sandell", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6692298.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6692298.0, "aggregate_amount_owned": 6692298.0, "percent_of_class": 7.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 6, "reporting_person_cik": 1277631, "reporting_person_name": "Forest Baskett", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 7, "reporting_person_cik": 1613867, "reporting_person_name": "Ali Behbahani", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 135432.0, "shared_voting_power": 0.0, "sole_dispositive_power": 135432.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 135432.0, "percent_of_class": 0.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 8, "reporting_person_cik": 1746342, "reporting_person_name": "Carmen Chang", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 9, "reporting_person_cik": 1328625, "reporting_person_name": "Edward T. Mathers", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 10, "reporting_person_cik": 1553150, "reporting_person_name": "Paul Walker", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000558", "person_seq": 11, "reporting_person_cik": 1851328, "reporting_person_name": "Rick Yang", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000568", "person_seq": 0, "reporting_person_cik": 1865291, "reporting_person_name": "Energy Evolution Master Fund, Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 12209953.0, "shared_voting_power": 0.0, "sole_dispositive_power": 12209953.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 12209953.0, "percent_of_class": 30.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001072613-26-000587", "person_seq": 0, "reporting_person_cik": 1048703, "reporting_person_name": "KARPUS MANAGEMENT, INC.", "fund_type": "WC", "citizenship_or_org": "NY", "sole_voting_power": 3609635.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3609635.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3609635.0, "percent_of_class": 12.56, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001072613-26-000599", "person_seq": 0, "reporting_person_cik": 1544328, "reporting_person_name": "New Enterprise Associates 14, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2922772.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2922772.0, "aggregate_amount_owned": 2922772.0, "percent_of_class": 25.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000599", "person_seq": 1, "reporting_person_cik": 1551531, "reporting_person_name": "NEA Partners 14, L.P.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2922772.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2922772.0, "aggregate_amount_owned": 2922772.0, "percent_of_class": 25.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001072613-26-000599", "person_seq": 2, "reporting_person_cik": 1551532, "reporting_person_name": "NEA 14 GP, LTD", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2922772.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2922772.0, "aggregate_amount_owned": 2922772.0, "percent_of_class": 25.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001072613-26-000599", "person_seq": 3, "reporting_person_cik": 1559827, "reporting_person_name": "Anthony A. Florence, Jr.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2922772.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2922772.0, "aggregate_amount_owned": 2922772.0, "percent_of_class": 25.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000599", "person_seq": 4, "reporting_person_cik": 1630226, "reporting_person_name": "Mohamad H. Makhzoumi", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2922772.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2922772.0, "aggregate_amount_owned": 2922772.0, "percent_of_class": 25.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000599", "person_seq": 5, "reporting_person_cik": 1237289, "reporting_person_name": "Scott D. Sandell", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2922772.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2922772.0, "aggregate_amount_owned": 2922772.0, "percent_of_class": 25.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000599", "person_seq": 6, "reporting_person_cik": 1277631, "reporting_person_name": "Forest Baskett", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001072613-26-000599", "person_seq": 7, "reporting_person_cik": 1235112, "reporting_person_name": "Patrick J. Kerins", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001076128-26-000001", "person_seq": 0, "reporting_person_cik": 1076128, "reporting_person_name": "MILLS RICHARD C", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1703927.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1703927.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1703927.0, "percent_of_class": 11.9, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7, 9 and 11: Includes (i) 952,601 shares beneficially owned by the Reporting Person individually (which number, as of the filing date of this Amendment No. 3 to Schedule 13D, includes 502,601 shares held directly by the Reporting Person and 450,000 shares issuable upon the future settlement of a restricted stock unit award granted to the Reporting Person, of which 150,000 shares are vested and 300,000 are unvested), (ii) 722,001 shares issuable upon the exercise of outstanding vested options owned by the Reporting Person individually, and (iii) 29,325 shares owned by RFK Communications, LLC (\"RFK\"). The Reporting Person serves as the sole manager of RFK and has sole voting and investment power over shares of the issuer held by RFK.\n\nNote to Row 13: Based on 13,097,892 shares of Common Stock outstanding as of June 30, 2026, as reported in the prospectus supplement dated June 29, 2026 to the Issuer's Registration Statement on Form S-3 (SEC File No. 333-296498), plus 722,001 shares of Common Stock issuable upon exercise of vested options to purchase shares of Common Stock beneficially owned by the Reporting Person and 450,000 shares issuable upon the future settlement of a restricted stock unit award granted to the Reporting Person." }, { "accession_no": "0001079973-26-000817", "person_seq": 0, "reporting_person_cik": 2128638, "reporting_person_name": "Hawkins Richard C.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 120000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 120000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 120000000.0, "percent_of_class": 8.59, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001085146-26-000435", "person_seq": 0, "reporting_person_cik": 1133639, "reporting_person_name": "NEW YORK LIFE INVESTMENT MANAGEMENT LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": "This Amendment No. 1 (\"Amendment No. 1\") amends and supplements the Schedule 13D (the \"Schedule 13D\") originally filed with the Securities and Exchange Commission (the \"SEC\") on March 25, 2024. Each item below amends and supplements the information disclosed under the corresponding Item of the Schedule 13D. Except as specifically provided herein, this Amendment No. 1 does not modify any of the information previously reported in the Schedule 13D. The filing of this Amendment No. 1 represents the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Person." }, { "accession_no": "0001085146-26-000436", "person_seq": 0, "reporting_person_cik": 1133639, "reporting_person_name": "NEW YORK LIFE INVESTMENT MANAGEMENT LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": "This Amendment No. 1 (\"Amendment No. 1\") amends and supplements the Schedule 13D (the \"Schedule 13D\") originally filed with the Securities and Exchange Commission (the \"SEC\") on March 25, 2024. Each item below amends and supplements the information disclosed under the corresponding Item of the Schedule 13D. Except as specifically provided herein, this Amendment No. 1 does not modify any of the information previously reported in the Schedule 13D. The filing of this Amendment No. 1 represents the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Person." }, { "accession_no": "0001085146-26-000437", "person_seq": 0, "reporting_person_cik": 1133639, "reporting_person_name": "NEW YORK LIFE INVESTMENT MANAGEMENT LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": "This Amendment No. 1 (\"Amendment No. 1\") amends and supplements the Schedule 13D (the \"Schedule 13D\") originally filed with the Securities and Exchange Commission (the \"SEC\") on March 25, 2024. Each item below amends and supplements the information disclosed under the corresponding Item of the Schedule 13D. Except as specifically provided herein, this Amendment No. 1 does not modify any of the information previously reported in the Schedule 13D. The filing of this Amendment No. 1 represents the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Person." }, { "accession_no": "0001085146-26-000438", "person_seq": 0, "reporting_person_cik": 1133639, "reporting_person_name": "NEW YORK LIFE INVESTMENT MANAGEMENT LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": "This Amendment No. 1 (\"Amendment No. 1\") amends and supplements the Schedule 13D (the \"Schedule 13D\") originally filed with the Securities and Exchange Commission (the \"SEC\") on March 25, 2024. Each item below amends and supplements the information disclosed under the corresponding Item of the Schedule 13D. Except as specifically provided herein, this Amendment No. 1 does not modify any of the information previously reported in the Schedule 13D. The filing of this Amendment No. 1 represents the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Person." }, { "accession_no": "0001085146-26-000439", "person_seq": 0, "reporting_person_cik": 2137653, "reporting_person_name": "NYLIM Capital LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2688.84, "shared_voting_power": 0.0, "sole_dispositive_power": 2688.84, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2688.84, "percent_of_class": 100.0, "type_of_reporting_person": "OO", "comment_content": "This statement on Schedule 13D (the \"Schedule 13D\") relates to Class A1 common shares (\"Class A1 Shares\") of NYLI MacKay Municipal Income Opportunities Fund (the \"Issuer\" or \"Fund\"), a Delaware statutory trust registered under the Investment Company Act of 1940, as amended (the \"Investment Company Act\"), as a non-diversified, closed-end management investment company. The principal executive office of the Fund is located at 51 Madison Ave, New York, NY 10010." }, { "accession_no": "0001085146-26-000440", "person_seq": 0, "reporting_person_cik": 2137653, "reporting_person_name": "NYLIM Capital LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2674.93, "shared_voting_power": 0.0, "sole_dispositive_power": 2674.93, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2674.93, "percent_of_class": 100.0, "type_of_reporting_person": "OO", "comment_content": "This statement on Schedule 13D (the \"Schedule 13D\") relates to Class A3 common shares (\"Class A3 Shares\") of NYLI MacKay Municipal Income Opportunities Fund (the \"Issuer\" or \"Fund\"), a Delaware statutory trust registered under the Investment Company Act of 1940, as amended (the \"Investment Company Act\"), as a non-diversified, closed-end management investment company. The principal executive office of the Fund is located at 51 Madison Ave, New York, NY 10010." }, { "accession_no": "0001085146-26-000441", "person_seq": 0, "reporting_person_cik": 2137653, "reporting_person_name": "NYLIM Capital LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 5426013.22, "shared_voting_power": 0.0, "sole_dispositive_power": 5426013.22, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5426013.22, "percent_of_class": 80.9, "type_of_reporting_person": "OO", "comment_content": "This statement on Schedule 13D (the \"Schedule 13D\") relates to Class I common shares (\"Class I Shares\") of NYLI MacKay Municipal Income Opportunities Fund (the \"Issuer\" or \"Fund\"), a Delaware statutory trust registered under the Investment Company Act of 1940, as amended (the \"Investment Company Act\"), as a non-diversified, closed-end management investment company. The principal executive office of the Fund is located at 51 Madison Ave, New York, NY 10010." }, { "accession_no": "0001085146-26-000446", "person_seq": 0, "reporting_person_cik": 2003074, "reporting_person_name": "SYLEBRA CAPITAL LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 34077574.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34077574.0, "aggregate_amount_owned": 34077574.0, "percent_of_class": 18.84, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001085146-26-000446", "person_seq": 1, "reporting_person_cik": 1627436, "reporting_person_name": "Sylebra Capital Ltd", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 34077574.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34077574.0, "aggregate_amount_owned": 34077574.0, "percent_of_class": 18.84, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001085146-26-000446", "person_seq": 2, "reporting_person_cik": 1745666, "reporting_person_name": "Sylebra Capital Management, Ltd", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 34077574.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34077574.0, "aggregate_amount_owned": 34077574.0, "percent_of_class": 18.84, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001085146-26-000446", "person_seq": 3, "reporting_person_cik": 1745725, "reporting_person_name": "Gibson Daniel Patrick", "fund_type": "WC", "citizenship_or_org": "B9", "sole_voting_power": 714300.0, "shared_voting_power": 34970745.0, "sole_dispositive_power": 714300.0, "shared_dispositive_power": 34970745.0, "aggregate_amount_owned": 34970745.0, "percent_of_class": 19.34, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001085146-26-000453", "person_seq": 0, "reporting_person_cik": 2003074, "reporting_person_name": "SYLEBRA CAPITAL LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19392411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19392411.0, "aggregate_amount_owned": 19392411.0, "percent_of_class": 29.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001085146-26-000453", "person_seq": 1, "reporting_person_cik": 1627436, "reporting_person_name": "Sylebra Capital Ltd", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 19392411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19392411.0, "aggregate_amount_owned": 19392411.0, "percent_of_class": 29.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001085146-26-000453", "person_seq": 2, "reporting_person_cik": 1745666, "reporting_person_name": "Sylebra Capital Management, Ltd", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 19392411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19392411.0, "aggregate_amount_owned": 19392411.0, "percent_of_class": 29.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001085146-26-000453", "person_seq": 3, "reporting_person_cik": 1745725, "reporting_person_name": "Gibson Daniel Patrick", "fund_type": "OO", "citizenship_or_org": "B9", "sole_voting_power": 0.0, "shared_voting_power": 19392411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19392411.0, "aggregate_amount_owned": 19392411.0, "percent_of_class": 29.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001094891-26-000239", "person_seq": 0, "reporting_person_cik": 2108198, "reporting_person_name": "Casper Holding LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 660000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 660000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 660000.0, "percent_of_class": 7.8, "type_of_reporting_person": "PN", "comment_content": "Based on 8,437,500 of the Issuer's ordinary shares outstanding as of the date of this Schedule 13D." }, { "accession_no": "0001094891-26-000240", "person_seq": 0, "reporting_person_cik": 2105314, "reporting_person_name": "Baystar Holding Group Ltd", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 1542500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1542500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1542500.0, "percent_of_class": 18.3, "type_of_reporting_person": "CO", "comment_content": "Based on 8,437,500 of the Issuer's ordinary shares outstanding as of the date of this Schedule 13D." }, { "accession_no": "0001094891-26-000240", "person_seq": 1, "reporting_person_cik": 2107568, "reporting_person_name": "Zheng Fangping", "fund_type": "AF", "citizenship_or_org": "F4", "sole_voting_power": 1542500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1542500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1542500.0, "percent_of_class": 18.3, "type_of_reporting_person": "IN", "comment_content": "Based on 8,437,500 of the Issuer's ordinary shares outstanding as of the date of this Schedule 13D." }, { "accession_no": "0001094891-26-000242", "person_seq": 0, "reporting_person_cik": 2058856, "reporting_person_name": "Luo Hui", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2210884.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2210884.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2210884.0, "percent_of_class": 58.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001094891-26-000277", "person_seq": 0, "reporting_person_cik": 2058856, "reporting_person_name": "Luo Hui", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 8283314.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8283314.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8283314.0, "percent_of_class": 39.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001099910-26-000185", "person_seq": 0, "reporting_person_cik": 2033227, "reporting_person_name": "Kaufman Kapital LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 1689676.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1689676.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1689676.0, "percent_of_class": 11.0, "type_of_reporting_person": "OO", "comment_content": "1 This amount consists of 1,689,676 shares of Common Stock held directly by Kaufman Kapital LLC. The Reporting Persons also hold a Senior Secured Convertible Promissory Note with $2,900,000 of outstanding principal and approximately $665,000 of accrued and unpaid interest, convertible into Common Stock at $0.7582 per share (representing approximately 4,701,848 underlying shares). However, on May 14, 2026, a 9.99% beneficial ownership limitation (the \"Blocker\") was added to the Convertible Note, pursuant to which the Reporting Persons may not convert any portion of the Convertible Note to the extent that, after giving effect to such conversion, the Reporting Persons would beneficially own in excess of 9.99% of the outstanding shares of Common Stock. Because the Reporting Persons' current common stock holdings exceed 9.99% of outstanding shares, and because the Blocker may only be waived upon not less than 61 days' prior written notice, the shares underlying the Convertible Note are not convertible within 60 days and are excluded from beneficial ownership pursuant to Rule 13d-3(d)(1) under the Exchange Act.\n\n2 The percentage is calculated based upon 15,316,030 shares outstanding as of May 14, 2026 (per the Issuer's Quarterly Report on Form 10-Q filed May 14, 2026). No derivative shares are included in the denominator because all derivative shares are excluded from beneficial ownership due to the Blocker." }, { "accession_no": "0001099910-26-000185", "person_seq": 1, "reporting_person_cik": 2001906, "reporting_person_name": "Daniel Louis Kaufman", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1689676.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1689676.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1689676.0, "percent_of_class": 11.0, "type_of_reporting_person": "IN", "comment_content": "1 This amount consists of 1,689,676 shares of Common Stock held directly by Kaufman Kapital LLC. The Reporting Persons also hold a Senior Secured Convertible Promissory Note with $2,900,000 of outstanding principal and approximately $665,000 of accrued and unpaid interest, convertible into Common Stock at $0.7582 per share (representing approximately 4,701,848 underlying shares). However, on May 14, 2026, a 9.99% beneficial ownership limitation (the \"Blocker\") was added to the Convertible Note, pursuant to which the Reporting Persons may not convert any portion of the Convertible Note to the extent that, after giving effect to such conversion, the Reporting Persons would beneficially own in excess of 9.99% of the outstanding shares of Common Stock. Because the Reporting Persons' current common stock holdings exceed 9.99% of outstanding shares, and because the Blocker may only be waived upon not less than 61 days' prior written notice, the shares underlying the Convertible Note are not convertible within 60 days and are excluded from beneficial ownership pursuant to Rule 13d-3(d)(1) under the Exchange Act.\n\n2 The percentage is calculated based upon 15,316,030 shares outstanding as of May 14, 2026 (per the Issuer's Quarterly Report on Form 10-Q filed May 14, 2026). No derivative shares are included in the denominator because all derivative shares are excluded from beneficial ownership due to the Blocker." }, { "accession_no": "0001099910-26-000186", "person_seq": 0, "reporting_person_cik": 1998914, "reporting_person_name": "IMA Value LLP", "fund_type": "PF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Israeli Limited Partnership" }, { "accession_no": "0001099910-26-000205", "person_seq": 0, "reporting_person_cik": 2033227, "reporting_person_name": "Kaufman Kapital LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 1530071.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1530071.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1530071.0, "percent_of_class": 9.99, "type_of_reporting_person": "OO", "comment_content": "1 The Reporting Persons directly hold 500,000 shares of Common Stock. The Reporting Persons also hold a Senior Secured Convertible Promissory Note with $2,900,000 of outstanding principal and approximately $680,000 of accrued and unpaid interest, convertible into Common Stock at $0.7582 per share. Pursuant to Amendment No. 3 to the Convertible Note dated May 14, 2026, the Reporting Persons may not convert any portion of the Convertible Note to the extent that, after giving effect to such conversion, the Reporting Persons would beneficially own in excess of 9.99% of the outstanding shares of Common Stock (the \"Maximum Percentage\"). The Maximum Percentage may only be increased or decreased upon not less than 61 days' prior written notice. The aggregate amount beneficially owned includes (i) 500,000 shares of Common Stock held directly and (ii) such number of shares issuable upon conversion of the Convertible Note as may be acquired within 60 days without causing the Reporting Persons' beneficial ownership to exceed the Maximum Percentage. Shares underlying the Convertible Note in excess of the number acquirable within 60 days without exceeding the Maximum Percentage are excluded pursuant to Rule 13d-3(d)(1).\n\n2 The percentage is calculated based upon 15,316,030 shares outstanding as of May 14, 2026 (per the Issuer's Quarterly Report on Form 10-Q filed May 14, 2026). Beneficial ownership is capped at the Maximum Percentage of 9.99%." }, { "accession_no": "0001099910-26-000205", "person_seq": 1, "reporting_person_cik": 2001906, "reporting_person_name": "Daniel Louis Kaufman", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1530071.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1530071.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1530071.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": "1 The Reporting Persons directly hold 500,000 shares of Common Stock. The Reporting Persons also hold a Senior Secured Convertible Promissory Note with $2,900,000 of outstanding principal and approximately $680,000 of accrued and unpaid interest, convertible into Common Stock at $0.7582 per share. Pursuant to Amendment No. 3 to the Convertible Note dated May 14, 2026, the Reporting Persons may not convert any portion of the Convertible Note to the extent that, after giving effect to such conversion, the Reporting Persons would beneficially own in excess of 9.99% of the outstanding shares of Common Stock (the \"Maximum Percentage\"). The Maximum Percentage may only be increased or decreased upon not less than 61 days' prior written notice. The aggregate amount beneficially owned includes (i) 500,000 shares of Common Stock held directly and (ii) such number of shares issuable upon conversion of the Convertible Note as may be acquired within 60 days without causing the Reporting Persons' beneficial ownership to exceed the Maximum Percentage. Shares underlying the Convertible Note in excess of the number acquirable within 60 days without exceeding the Maximum Percentage are excluded pursuant to Rule 13d-3(d)(1).\n\n2 The percentage is calculated based upon 15,316,030 shares outstanding as of May 14, 2026 (per the Issuer's Quarterly Report on Form 10-Q filed May 14, 2026). Beneficial ownership is capped at the Maximum Percentage of 9.99%." }, { "accession_no": "0001099910-26-000220", "person_seq": 0, "reporting_person_cik": 1313813, "reporting_person_name": "Howard Todd Horberg", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 783000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 783000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 783000.0, "percent_of_class": 5.61, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001099910-26-000228", "person_seq": 0, "reporting_person_cik": 2033227, "reporting_person_name": "Kaufman Kapital LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 1530071.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1530071.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1530071.0, "percent_of_class": 9.99, "type_of_reporting_person": "OO", "comment_content": "1. Kaufman Kapital directly holds 445,000 shares, and Daniel L. Kaufman may be deemed to beneficially own them as sole member and manager of Kaufman Kapital. The Reporting Persons also hold a Senior Secured Convertible Promissory Note with $2,900,000 of outstanding principal and approximately $700,000 of accrued and unpaid interest, convertible into Common Stock at $0.7582 per share. Pursuant to Amendment No. 3 to the Convertible Note dated May 14, 2026, the Reporting Persons may not convert any portion of the Convertible Note to the extent that, after giving effect to such conversion, the Reporting Persons would beneficially own in excess of 9.99% of the outstanding shares of Common Stock (the \"Maximum Percentage\"). The Maximum Percentage may only be increased or decreased upon not less than sixty-one (61) days' prior written notice. The aggregate amount beneficially owned includes (i) 445,000 shares of Common Stock held directly and (ii) such number of shares issuable upon conversion of the Convertible Note as may be acquired within 60 days without causing the Reporting Persons' beneficial ownership to exceed the Maximum Percentage. Shares underlying the Convertible Note in excess of the number acquirable within 60 days without exceeding the Maximum Percentage are excluded pursuant to Rule 13d-3(d)(1).\n\n2. The percentage is calculated based upon 15,316,030 shares outstanding as of May 14, 2026 (per the Issuer's Quarterly Report on Form 10-Q filed May 14, 2026). Beneficial ownership is capped at the Maximum Percentage of 9.99%." }, { "accession_no": "0001099910-26-000228", "person_seq": 1, "reporting_person_cik": 2001906, "reporting_person_name": "Daniel Louis Kaufman", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1530071.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1530071.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1530071.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": "1. Kaufman Kapital directly holds 445,000 shares, and Daniel L. Kaufman may be deemed to beneficially own them as sole member and manager of Kaufman Kapital. The Reporting Persons also hold a Senior Secured Convertible Promissory Note with $2,900,000 of outstanding principal and approximately $700,000 of accrued and unpaid interest, convertible into Common Stock at $0.7582 per share. Pursuant to Amendment No. 3 to the Convertible Note dated May 14, 2026, the Reporting Persons may not convert any portion of the Convertible Note to the extent that, after giving effect to such conversion, the Reporting Persons would beneficially own in excess of 9.99% of the outstanding shares of Common Stock (the \"Maximum Percentage\"). The Maximum Percentage may only be increased or decreased upon not less than sixty-one (61) days' prior written notice. The aggregate amount beneficially owned includes (i) 445,000 shares of Common Stock held directly and (ii) such number of shares issuable upon conversion of the Convertible Note as may be acquired within 60 days without causing the Reporting Persons' beneficial ownership to exceed the Maximum Percentage. Shares underlying the Convertible Note in excess of the number acquirable within 60 days without exceeding the Maximum Percentage are excluded pursuant to Rule 13d-3(d)(1).\n\n2. The percentage is calculated based upon 15,316,030 shares outstanding as of May 14, 2026 (per the Issuer's Quarterly Report on Form 10-Q filed May 14, 2026). Beneficial ownership is capped at the Maximum Percentage of 9.99%." }, { "accession_no": "0001104659-26-058492", "person_seq": 0, "reporting_person_cik": 1845105, "reporting_person_name": "Sofinnova Crossover I SLP", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 5499478.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3377494.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5499478.0, "percent_of_class": 6.7, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 7 and 8: Sofinnova Partners SAS, a French corporation (\"SP SAS\"), the management company of Sofinnova Crossover I SLP (\"SC\"), may be deemed to have sole voting power, and Antoine Papiernik (\"Papiernik\"), Cedric Moreau (\"Moreau\"), Kinam Hong (\"Hong\"), Joseph Anderson (\"Anderson\") and Jacques Theurillat (\"Theurillat\"), the members of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote in relation to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Papiernik, Moreau, Hong, Anderson and Theurillat, the members of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 3,377,494 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 5,499,478 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,047,884 voting rights outstanding as of March 31, 2026, as adjusted to reflect the shares issued in the Private Placement (as defined below)." }, { "accession_no": "0001104659-26-058492", "person_seq": 1, "reporting_person_cik": 1574139, "reporting_person_name": "Sofinnova Partners SAS", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 5499478.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3377494.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5499478.0, "percent_of_class": 6.7, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Papiernik, Moreau, Hong, Anderson and Theurillat, the members of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote in relation to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Papiernik, Moreau, Hong, Anderson and Theurillat, the members of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 3,377,478 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 5,499,478 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,047,884 voting rights outstanding as of March 31, 2026, as adjusted to reflect the shares issued in the Private Placement (as defined below)." }, { "accession_no": "0001104659-26-058492", "person_seq": 2, "reporting_person_cik": 1768408, "reporting_person_name": "Antoine Papiernik", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 5499478.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3377494.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5499478.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Papiernik, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Papiernik, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 3,377,494 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 5,499,478 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,047,884 voting rights outstanding as of March 31, 2026, as adjusted to reflect the shares issued in the Private Placement (as defined below)." }, { "accession_no": "0001104659-26-058492", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Cedric Moreau", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 5499478.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3377494.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5499478.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Moreau, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Moreau, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 3,377,494 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 5,499,478 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,047,884 voting rights outstanding as of March 31, 2026, as adjusted to reflect the shares issued in the Private Placement (as defined below)." }, { "accession_no": "0001104659-26-058492", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Kinam Hong", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5499478.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3377494.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5499478.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Hong, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Hong, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 3,377,494 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 5,499,478 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,047,844 voting rights outstanding as of March 31, 2026, as adjusted to reflect the shares issued in the Private Placement (as defined below)." }, { "accession_no": "0001104659-26-058492", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Joseph Anderson", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 5499478.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3377494.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5499478.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Anderson, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Anderson, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 3,377,494 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 5,499,478 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,047,884 voting rights outstanding as of March 31, 2026, as adjusted to reflect the shares issued in the Private Placement (as defined below)." }, { "accession_no": "0001104659-26-058492", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Jacques Theurillat", "fund_type": "OO", "citizenship_or_org": "V8", "sole_voting_power": 5499478.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3377494.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5499478.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Theurillat, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Theurillat, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 3,377,494 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 5,499,478 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,047,884 voting rights outstanding as of March 31, 2026, as adjusted to reflect the shares issued in the Private Placement (as defined below)." }, { "accession_no": "0001104659-26-058726", "person_seq": 0, "reporting_person_cik": 1263508, "reporting_person_name": "Baker Bros. Advisors LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 30865077.0, "shared_voting_power": 0.0, "sole_dispositive_power": 30865077.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 30865077.0, "percent_of_class": 15.4, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-058726", "person_seq": 1, "reporting_person_cik": 1580575, "reporting_person_name": "Baker Bros. Advisors (GP) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 30865077.0, "shared_voting_power": 0.0, "sole_dispositive_power": 30865077.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 30865077.0, "percent_of_class": 15.4, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001104659-26-058726", "person_seq": 2, "reporting_person_cik": 1087939, "reporting_person_name": "Julian C. Baker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 31223155.0, "shared_voting_power": 0.0, "sole_dispositive_power": 31223155.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 31223155.0, "percent_of_class": 15.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-058726", "person_seq": 3, "reporting_person_cik": 1087940, "reporting_person_name": "Felix J. Baker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 31225572.0, "shared_voting_power": 0.0, "sole_dispositive_power": 31225572.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 31225572.0, "percent_of_class": 15.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-058726", "person_seq": 4, "reporting_person_cik": 1552222, "reporting_person_name": "FBB2, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 14755.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14755.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14755.0, "percent_of_class": 0.01, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-058726", "person_seq": 5, "reporting_person_cik": 1625395, "reporting_person_name": "FBB3 LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 31140.0, "shared_voting_power": 0.0, "sole_dispositive_power": 31140.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 31140.0, "percent_of_class": 0.02, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-058726", "person_seq": 6, "reporting_person_cik": 1534842, "reporting_person_name": "FBB Associates", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 33410.0, "shared_voting_power": 0.0, "sole_dispositive_power": 33410.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 33410.0, "percent_of_class": 0.02, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-058902", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "OO", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 10266571.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10266571.0, "aggregate_amount_owned": 10266571.0, "percent_of_class": 11.0, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 9,266,571 common shares, no par value (\"Common Shares\") of Metalla Royalty & Streaming Ltd. held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A., and 1,000,000 Common Shares held by Tether Investments, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of March 26, 2026, as reported in the Annual Information Report filed as an exhibit to the Form 40-F filed with the Securities and Exchange Commission on March 26, 2026." }, { "accession_no": "0001104659-26-058902", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 9266571.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9266571.0, "aggregate_amount_owned": 9266571.0, "percent_of_class": 9.9, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of March 26, 2026, as reported in the Annual Information Report filed as an exhibit to the Form 40-F filed with the Securities and Exchange Commission on March 26, 2026." }, { "accession_no": "0001104659-26-058902", "person_seq": 2, "reporting_person_cik": 2049832, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 1000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1000000.0, "aggregate_amount_owned": 1000000.0, "percent_of_class": 1.1, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of March 26, 2026, as reported in the Annual Information Report filed as an exhibit to the Form 40-F filed with the Securities and Exchange Commission on March 26, 2026." }, { "accession_no": "0001104659-26-058902", "person_seq": 3, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 10266571.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10266571.0, "aggregate_amount_owned": 10266571.0, "percent_of_class": 11.0, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 9,266,571 Common Shares held by Tether International, S.A. de C.V. a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A., and 1,000,000 Common Shares held by Tether Investments, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of March 26, 2026, as reported in the Annual Information Report filed as an exhibit to the Form 40-F filed with the Securities and Exchange Commission on March 26, 2026." }, { "accession_no": "0001104659-26-059033", "person_seq": 0, "reporting_person_cik": 1539436, "reporting_person_name": "Standard Investments LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3605001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3605001.0, "aggregate_amount_owned": 3605001.0, "percent_of_class": 7.873, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-059033", "person_seq": 1, "reporting_person_cik": 1663556, "reporting_person_name": "SI GP III LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3605001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3605001.0, "aggregate_amount_owned": 3605001.0, "percent_of_class": 7.873, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-059033", "person_seq": 2, "reporting_person_cik": 1663559, "reporting_person_name": "Standard Latitude Master Fund Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3605001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3605001.0, "aggregate_amount_owned": 3605001.0, "percent_of_class": 7.873, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-059033", "person_seq": 3, "reporting_person_cik": 1652261, "reporting_person_name": "Standard Latitude Fund LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3605001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3605001.0, "aggregate_amount_owned": 3605001.0, "percent_of_class": 7.873, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-059033", "person_seq": 4, "reporting_person_cik": 1572723, "reporting_person_name": "David S. Winter", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3605001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3605001.0, "aggregate_amount_owned": 3605001.0, "percent_of_class": 7.873, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-059033", "person_seq": 5, "reporting_person_cik": 1572610, "reporting_person_name": "David J. Millstone", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3605001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3605001.0, "aggregate_amount_owned": 3605001.0, "percent_of_class": 7.873, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-059496", "person_seq": 0, "reporting_person_cik": 1581835, "reporting_person_name": "Bpifrance Participations S.A.", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 14317670.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7158835.0, "aggregate_amount_owned": 14317670.0, "percent_of_class": 7.0, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 7,158,835 Ordinary Shares. The Reporting Person's Ordinary Shares have double voting rights, resulting in 14,317,670 voting rights related to such shares. Upon the sale of Ordinary Shares by the Reporting Person, the double voting rights are extinguished. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 204,237,106 voting rights outstanding as of May 5, 2026." }, { "accession_no": "0001104659-26-059496", "person_seq": 1, "reporting_person_cik": 1731121, "reporting_person_name": "EPIC Bpifrance", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 14317670.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7158835.0, "aggregate_amount_owned": 14317670.0, "percent_of_class": 7.0, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 7,158,835 Ordinary Shares. The Reporting Person's Ordinary Shares have double voting rights, resulting in 14,317,670 voting rights related to such shares. Upon the sale of Ordinary Shares by the Reporting Person, the double voting rights are extinguished. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 204,237,106 voting rights outstanding as of May 5, 2026." }, { "accession_no": "0001104659-26-059496", "person_seq": 2, "reporting_person_cik": 1731118, "reporting_person_name": "Bpifrance S.A.", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 14317670.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7158835.0, "aggregate_amount_owned": 14317670.0, "percent_of_class": 7.0, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 7,158,835 Ordinary Shares. The Reporting Peron's Ordinary Shares have double voting rights, resulting in 14,317,670 voting rights related to such shares. Upon the sale of Ordinary Shares by the Reporting Person, the double voting rights are extinguished. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 204,237,106 voting rights outstanding as of May 5, 2026." }, { "accession_no": "0001104659-26-059496", "person_seq": 3, "reporting_person_cik": 1056947, "reporting_person_name": "Caisse des depots et consignations", "fund_type": "WC", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 19074653.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11915818.0, "aggregate_amount_owned": 19074653.0, "percent_of_class": 9.3, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 11,915,818 Ordinary Shares. Certain of the Reporting Person's Ordinary Shares have double voting rights, resulting in 19,074,653 voting rights related to such shares. Upon the sale of Ordinary Shares by the Reporting Person, any double voting rights are extinguished. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 204,237,106 voting rights outstanding as of May 5, 2026." }, { "accession_no": "0001104659-26-059496", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "CDC Croissance S.A.", "fund_type": "WC", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 4755872.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4755872.0, "aggregate_amount_owned": 4755872.0, "percent_of_class": 2.3, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 4,755,872 Ordinary Shares, which do not have double voting rights. The aggregate amount beneficially owned and percent of class reported above are based on 204,237,106 voting rights outstanding as of May 5, 2026." }, { "accession_no": "0001104659-26-060292", "person_seq": 0, "reporting_person_cik": 1802528, "reporting_person_name": "Fairmount Funds Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17201800.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17201800.0, "aggregate_amount_owned": 17201800.0, "percent_of_class": 14.04, "type_of_reporting_person": "IA", "comment_content": "The securities include (i) 5,090,928 shares of common stock, $0.01 par value per share (the \"Common Stock\") and (ii) an aggregate of 12,110,872 shares of Common Stock issuable upon conversion of 133,191 shares of Series A Non-Voting Convertible Preferred Stock, par value $0.01 per share (the \"Series A Preferred Stock\") and 48,463 shares of Series B Non-Voting Convertible Preferred Stock, par value $0.01 per share (the \"Series B Preferred Stock\"), the conversion of each of which is subject to a beneficial ownership limitation of 19.99% of the outstanding Common Stock.\n\nRow 13 is based on 122,538,554 shares of Common Stock outstanding as of May 11, 2026, consisting of (i) 110,427,682 shares of Common Stock outstanding as of May 11, 2026, as reported in the Company's final prospectus supplement filed pursuant to Rule 424(b)(5) dated May 6, 2026 and (ii) an aggregate of 12,110,872 shares of Common Stock issuable upon conversion of 133,191 shares of Series A Preferred Stock and 48,463 shares of Series B Preferred Stock held by the Reporting Persons." }, { "accession_no": "0001104659-26-060292", "person_seq": 1, "reporting_person_cik": 1830382, "reporting_person_name": "Fairmount Healthcare Fund II GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17201800.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17201800.0, "aggregate_amount_owned": 17201800.0, "percent_of_class": 14.04, "type_of_reporting_person": "PN", "comment_content": "The securities include (i) 5,090,928 shares of Common Stock and (ii) an aggregate of 12,110,872 shares of Common Stock issuable upon conversion of 133,191 shares of Series A Preferred Stock and 48,463 shares of Series B Preferred Stock, the conversion of each of which is subject to a beneficial ownership limitation of 19.99% of the outstanding Common Stock.\n\nRow 13 is based on 122,538,554 shares of Common Stock outstanding as of May 11, 2026, consisting of (i) 110,427,682 shares of Common Stock outstanding as of May 11, 2026, as reported in the Company's final prospectus supplement filed pursuant to Rule 424(b)(5) dated May 6, 2026 and (ii) an aggregate of 12,110,872 shares of Common Stock issuable upon conversion of 133,191 shares of Series A Preferred Stock and 48,463 shares of Series B Preferred Stock held by the Reporting Persons." }, { "accession_no": "0001104659-26-060384", "person_seq": 0, "reporting_person_cik": 1080014, "reporting_person_name": "Innoviva, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 8710800.0, "shared_voting_power": 46756659.0, "sole_dispositive_power": 8710800.0, "shared_dispositive_power": 46756659.0, "aggregate_amount_owned": 55467459.0, "percent_of_class": 82.7, "type_of_reporting_person": "CO", "comment_content": "Note to row 7: Includes 8,710,800 shares of Common Stock owned by the Reporting Persons.\n\nNote to row 8: Includes 16,365,969 shares of Common Stock owned by the Reporting Persons, 10,653,847 shares of Common Stock issuable upon exercise of the warrants to purchase Common Stock beneficially owned by the Reporting Persons, and 19,736,843 shares of Common Stock issuable upon the conversion of a certain convertible loan held by the Reporting Persons (excluding any accrued interest) beneficially owned by the Reporting Persons.\n\nNote to row 11: See Item 5.\n\nNote to row 13: Based on 36,695,155 shares of Common Stock outstanding as of April 17, 2026, as set forth on the Issuer's Proxy Statement pursuant to Schedule 14A filed with the SEC on April 27, 2026, plus 19,736,843 shares of Common Stock issuable upon the conversion of a certain convertible loan held by the Reporting Persons, excluding any accrued interest, and 10,653,847 shares of Common Stock issuable upon exercise of the warrants to purchase Common Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-060384", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Innoviva Strategic Opportunities LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 16365969.0, "shared_voting_power": 46756659.0, "sole_dispositive_power": 16365969.0, "shared_dispositive_power": 46756659.0, "aggregate_amount_owned": 46756659.0, "percent_of_class": 69.7, "type_of_reporting_person": "OO", "comment_content": "Note to row 8: Includes 16,365,969 shares of Common Stock owned by the Reporting Persons, 10,653,847 shares of Common Stock issuable upon exercise of the warrants to purchase Common Stock beneficially owned by the Reporting Persons, and 19,736,843 shares of Common Stock issuable upon the conversion of a certain convertible loan held by the Reporting Persons (excluding any accrued interest) beneficially owned by the Reporting Persons.\n\nNote to row 11: See Item 5.\n\nNote to row 13: Based on 36,695,155 shares of Common Stock outstanding as of April 17, 2026, as set forth on the Issuer's Proxy Statement pursuant to Schedule 14A filed with the SEC on April 27, 2026, plus 19,736,843 shares of Common Stock issuable upon the conversion of a certain convertible loan held by the Reporting Persons, excluding any accrued interest, and 10,653,847 shares of Common Stock issuable upon exercise of the warrants to purchase Common Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-060724", "person_seq": 0, "reporting_person_cik": 1746334, "reporting_person_name": "Jiayan Lu", "fund_type": "PF", "citizenship_or_org": "F4", "sole_voting_power": 45867919.0, "shared_voting_power": 0.0, "sole_dispositive_power": 45867919.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 45867919.0, "percent_of_class": 11.5, "type_of_reporting_person": "IN", "comment_content": "* Represents (i) 28,738,439 Class A ordinary shares held by JYLu Holding Ltd., (ii) 6,293,500 Class A ordinary shares in the form of ADSs held by JYLu Holding Ltd., (iii) 10,385,980 Class A ordinary shares in the form of ADSs held by Mr. Jiayan Lu, and (iv) 450,000 Class A ordinary shares issuable upon exercise of options within 60 days after the date hereof. JYLu Holding Ltd. is a British Virgin Islands company wholly owned by Jiayan Lu.\n\n** The percentage of the class of securities is calculated by dividing the number of shares beneficially owned by the reporting person by 400,523,605 ordinary shares, being all of the issuer's issued and outstanding ordinary shares as of February 28, 2026." }, { "accession_no": "0001104659-26-060724", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "JYLu Holdings Ltd.", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 45867919.0, "shared_voting_power": 0.0, "sole_dispositive_power": 45867919.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 45867919.0, "percent_of_class": 11.5, "type_of_reporting_person": "CO", "comment_content": "* Represents (i) 28,738,439 Class A ordinary shares held by JYLu Holding Ltd., (ii) 6,293,500 Class A ordinary shares in the form of ADSs held by JYLu Holding Ltd., (iii) 10,385,980 Class A ordinary shares in the form of ADSs held by Mr. Jiayan Lu, and (iv) 450,000 Class A ordinary shares issuable upon exercise of options within 60 days after the date hereof. JYLu Holding Ltd. is a British Virgin Islands company wholly owned by Jiayan Lu.\n\n** The percentage of the class of securities is calculated by dividing the number of shares beneficially owned by the reporting person by 400,523,605 ordinary shares, being all of the issuer's issued and outstanding ordinary shares as of February 28, 2026." }, { "accession_no": "0001104659-26-060993", "person_seq": 0, "reporting_person_cik": 1480561, "reporting_person_name": "UAW Retiree Medical Benefits Trust", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 69245897.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 69245897.0, "aggregate_amount_owned": 69245897.0, "percent_of_class": 99.2, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-060993", "person_seq": 1, "reporting_person_cik": 1795057, "reporting_person_name": "UAW Chrysler Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 13502947.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13502947.0, "aggregate_amount_owned": 13502947.0, "percent_of_class": 19.3, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-060993", "person_seq": 2, "reporting_person_cik": 1795052, "reporting_person_name": "UAW Ford Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 21050751.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21050751.0, "aggregate_amount_owned": 21050751.0, "percent_of_class": 30.2, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-060993", "person_seq": 3, "reporting_person_cik": 1795050, "reporting_person_name": "UAW GM Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 34692199.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34692199.0, "aggregate_amount_owned": 34692199.0, "percent_of_class": 49.7, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-060993", "person_seq": 4, "reporting_person_cik": 1794997, "reporting_person_name": "Hershel Harper", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 69245897.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 69245897.0, "aggregate_amount_owned": 69245897.0, "percent_of_class": 99.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-061385", "person_seq": 0, "reporting_person_cik": 1981100, "reporting_person_name": "8 RIVERS CAPITAL, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20694880.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20694880.0, "aggregate_amount_owned": 20694880.0, "percent_of_class": 19.5, "type_of_reporting_person": "OO", "comment_content": "Row 8, 10 and 11.\n\nBeneficial ownership of shares of Class A common stock, par value $0.0001 per share (\"Class A Common Stock\"), of NET Power Inc. (the \"Issuer\") is being reported hereunder solely because the reporting person may be deemed to have beneficial ownership of such shares as a result of the relationships described under Item 2 and Item 3 and the matters described in Item 3, Item 4 and Item 5 of Schedule 13D (as defined below), as amended by this Amendment No. 11 (as defined below).\n\nRepresents (i) 2,965,000 shares of Class A Common Stock held directly by NPEH and (ii) 17,729,880 Class A Units of NET Power Operations LLC (\"Opco Units\") held directly by NPEH, LLC (\"NPEH\"), that are exchangeable for shares of Class A Common Stock on a one-for-one basis as described herein. At the time of any such exchange, an equal number of shares of Class B common stock, par value $0.0001 per share (\"Class B Common Stock\"), of the Issuer held directly by NPEH, which have no economic value, will be cancelled.\n\nRow 13.\n\nBased upon (i) 88,383,801 shares of Class A Common Stock issued and outstanding as of May 7, 2026, as reported in the Issuer's Current Report on Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on May 11, 2026 (the \"Issuer Form 10-Q\"), and (ii) 2,965,000 shares of Class A Common Stock held directly by NPEH and 17,729,880 shares of Class A Common Stock issuable to NPEH upon the redemption and exchange of an equal number of Opco Units (and the cancellation of an equal number of shares of Class B Common Stock) held by NPEH." }, { "accession_no": "0001104659-26-061385", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "NPEH, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20694880.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20694880.0, "aggregate_amount_owned": 20694880.0, "percent_of_class": 19.5, "type_of_reporting_person": "OO", "comment_content": "Row 8, 10 and 11.\n\n Represents 2,965,000 shares of Class A Common Stock and 17,729,880 Opco Units held directly by NPEH that are exchangeable for shares of Class A Common Stock on a one-for-one basis as described herein. At the time of any such exchange, an equal number of shares of Class B Common Stock held directly by NPEH, which have no economic value, will be cancelled.\n\nRow 13.\n\nBased upon (i) 88,383,801 shares of Class A Common Stock issued and outstanding as of May 7, 2026, as reported in the Issuer Form 10-Q and (ii) 2,965,000 shares of Class A Common Stock held directly by NPEH and 17,729,880 shares of Class A Common Stock issuable to NPEH upon the redemption and exchange of an equal number of Opco Units (and the cancellation of an equal number of shares of Class B Common Stock) held by NPEH." }, { "accession_no": "0001104659-26-061385", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Damian Beauchamp", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20694880.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20694880.0, "aggregate_amount_owned": 20694880.0, "percent_of_class": 19.5, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11:\n\nMr. Beauchamp directly owns 50% of the outstanding equity of each of Tillandsia, Inc. (\"Tillandsia\"), Areca, Inc. (\"Areca\"), and Chamaedorea, Inc. (\"Chamadorea\") and 100% of the interests of 8RCH, LLC (\"8RCH\"). 8RCH directly owns 50% of the outstanding equity of each of Tillandsia, Areca and Chamaedorea. Each of Tillandsia, Areca and Chamaedorea directly owns approximately 17.30%, 23.97% and 22.42%, respectively, or an aggregate of approximately 63.70% of the voting units of 8 Rivers Capital, LLC (\"8 Rivers\"), and Mr. Beauchamp directly owns approximately 3.83% of the voting units of 8 Rivers. 8 Rivers owns approximately 90.8% of the outstanding equity of NPEH and is the manager of NPEH and may be deemed to beneficially own the shares of Class A Common Stock issuable to NPEH upon the redemption and exchange of an equal number of Opco Units (and the cancellation of an equal number of shares of Class B Common Stock) held by NPEH. Because of the foregoing relationships, each of Mr. Beauchamp and 8RCH may be deemed to beneficially own the shares of Class A Common Stock that may be beneficially owned by 8 Rivers.\n\nRow 13:\n\nBased upon (i) 88,383,801 shares of Class A Common Stock issued and outstanding as of May 7, 2026, as reported in the Issuer Form 10-Q and (ii) 2,965,000 shares of Class A Common Stock held directly by NPEH and 17,729,880 shares of Class A Common Stock issuable to NPEH upon the redemption and exchange of an equal number of Opco Units (and the cancellation of an equal number of shares of Class B Common Stock) held by NPEH." }, { "accession_no": "0001104659-26-061385", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "8RCH, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20694880.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20694880.0, "aggregate_amount_owned": 20694880.0, "percent_of_class": 19.5, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11:\n\nMr. Beauchamp directly owns 50% of the outstanding equity of each of Tillandsia, Inc. (\"Tillandsia\"), Areca, Inc. (\"Areca\"), and Chamaedorea, Inc. (\"Chamadorea\") and 100% of the interests of 8RCH, LLC (\"8RCH\"). 8RCH directly owns 50% of the outstanding equity of each of Tillandsia, Areca and Chamaedorea. Each of Tillandsia, Areca and Chamaedorea directly owns approximately 17.30%, 23.97% and 22.42%, respectively, or an aggregate of approximately 63.70% of the voting units of 8 Rivers Capital, LLC (\"8 Rivers\"), and Mr. Beauchamp directly owns approximately 3.83% of the voting units of 8 Rivers. 8 Rivers owns approximately 90.8% of the outstanding equity of NPEH and is the manager of NPEH and may be deemed to beneficially own the shares of Class A Common Stock issuable to NPEH upon the redemption and exchange of an equal number of Opco Units (and the cancellation of an equal number of shares of Class B Common Stock) held by NPEH. Because of the foregoing relationships, each of Mr. Beauchamp and 8RCH may be deemed to beneficially own the shares of Class A Common Stock that may be beneficially owned by 8 Rivers.\n\nRow 13:\n\nBased upon (i) 88,383,801 shares of Class A Common Stock issued and outstanding as of May 7, 2026, as reported in the Issuer Form 10-Q and (ii) 2,965,000 shares of Class A Common Stock held directly by NPEH and 17,729,880 shares of Class A Common Stock issuable to NPEH upon the redemption and exchange of an equal number of Opco Units (and the cancellation of an equal number of shares of Class B Common Stock) held by NPEH" }, { "accession_no": "0001104659-26-061506", "person_seq": 0, "reporting_person_cik": 1425738, "reporting_person_name": "Redmile Group, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 950994.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 950994.0, "aggregate_amount_owned": 950994.0, "percent_of_class": 9.9, "type_of_reporting_person": "IA", "comment_content": "(1) The source of funds was working capital of certain private investment funds managed by Redmile Group, LLC (the \"Redmile Funds\"), including Redmile Biopharma Investments II, L.P. (\"RBI II\") and Redmile Strategic Long Only Trading Sub, Ltd. (\"Redmile Long Only\").\n\n(2) The information in Item 5(a) relating to the shares of common stock, par value $0.0001 per share, of the Issuer (the \"Common Stock\") that are or may be deemed beneficially owned by Redmile Group, LLC (\"Redmile\") and the calculation of the percent of such class of securities are incorporated by reference herein." }, { "accession_no": "0001104659-26-061506", "person_seq": 1, "reporting_person_cik": 1650527, "reporting_person_name": "Jeremy C. Green", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 950994.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 950994.0, "aggregate_amount_owned": 950994.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": "(1) The source of funds was working capital of the Redmile Funds, including RBI II and Redmile Long Only.\n\n(2) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by Jeremy Green and the calculation of the percent of such class of securities are incorporated by reference herein." }, { "accession_no": "0001104659-26-061506", "person_seq": 2, "reporting_person_cik": 1772230, "reporting_person_name": "Redmile Biopharma Investments II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 651924.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 651924.0, "aggregate_amount_owned": 651924.0, "percent_of_class": 6.9, "type_of_reporting_person": "PN", "comment_content": "(1) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by RBI II and the calculation of the percent of such class of securities are incorporated by reference herein." }, { "accession_no": "0001104659-26-061506", "person_seq": 3, "reporting_person_cik": 2048243, "reporting_person_name": "Redmile Strategic Long Only Trading Sub, Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 576148.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 576148.0, "aggregate_amount_owned": 576148.0, "percent_of_class": 6.1, "type_of_reporting_person": "CO", "comment_content": "(1) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by Redmile Long Only and the calculation of the percent of such class of securities are incorporated by reference herein." }, { "accession_no": "0001104659-26-062078", "person_seq": 0, "reporting_person_cik": 1735964, "reporting_person_name": "Cliffwater Corporate Lending Fund", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 732022.2, "sole_dispositive_power": 0.0, "shared_dispositive_power": 42041303.2, "aggregate_amount_owned": 42041303.2, "percent_of_class": 28.7, "type_of_reporting_person": "IV", "comment_content": "1 The Reporting Persons have waived voting power in excess of 4.99%." }, { "accession_no": "0001104659-26-062078", "person_seq": 1, "reporting_person_cik": 1659851, "reporting_person_name": "Cliffwater LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 732022.23, "sole_dispositive_power": 0.0, "shared_dispositive_power": 42041303.2, "aggregate_amount_owned": 42041303.2, "percent_of_class": 28.7, "type_of_reporting_person": "IA", "comment_content": "2. The Reporting Persons have waived voting power in excess of 4.99%." }, { "accession_no": "0001104659-26-062459", "person_seq": 0, "reporting_person_cik": 1541680, "reporting_person_name": "Sheng Chen", "fund_type": "SC", "citizenship_or_org": "F4", "sole_voting_power": 98440275.0, "shared_voting_power": 455296932.0, "sole_dispositive_power": 98440275.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 553737207.0, "percent_of_class": 32.4, "type_of_reporting_person": "IN", "comment_content": "(1) Representing (i) 33,628,927 Class A Ordinary Shares held by GenTao Capital Limited (\"GenTao\"), (ii) 19,670,117 Class B Ordinary Shares held by Fast Horse Technology Limited (\"Fast Horse\"), (iii) 8,087,875 Class B Ordinary Shares held by Sunrise Corporate Holding Ltd. (\"Sunrise\"), (iv) four Class A Ordinary Shares, 769,486 Class B Ordinary Shares and 60,000 Class C Ordinary Shares held by Personal Group Limited (\"Personal Group\"), (iv) 1,479,660 Class A Ordinary Shares held by Zentribe Capital (BVI) Limited (\"Zentribe\"), (v) 34,744,206 Class A Ordinary Shares acquired by Beacon Capital Group Inc. (\"Beacon\") from the vesting of performance-based restricted share units on February 2, 2024 (these units were granted to Mr. Sheng Chen and issued to Beacon at his direction), and (vi) 455,296,932 Class A Ordinary Shares held by Success Flow International Investment Limited (\"Investor A\"), representing all of the Class A Ordinary Shares held by the entity in the Issuer, pursuant to which Mr. Sheng Chen has the power to give Investor A voting instructions on certain matters and thus enjoys shared voting power with respect to these shares. On May 13, 2026, a share purchase agreement was entered into by non-controlled and non-consolidated affiliates of Contemporary Amperex Technology Co., Limited (the \"Buyers\") and Investor A and Choice Faith Group Holdings Limited (\"Investor B\") as sellers, for the Buyers to purchase from the sellers in aggregate up to 650,424,192 Class A ordinary shares in the Issuer (the \"Proposed Transaction\"). The closing of the Proposed Transaction is expected to take place in the fourth quarter of 2026. Concurrently, the Buyers entered into a voting and consortium agreement with Mr. Sheng Chen, among others, effective immediately upon the closing of the Proposed Transaction. Pursuant to these agreements, immediately upon the closing of the Proposed Transaction, Mr. Sheng Chen will no longer have the power to give Investor A voting instructions on certain matters with respect to the 455,296,932 Class A Ordinary Shares held by it, and will have the power to give the Buyers voting instructions on certain matters and enjoys shared voting power with respect to up to 325,212,096 Class A Ordinary Shares held by them, the exact number of which is subject to changes pursuant to the share purchase agreement and the voting and consortium agreement. Accordingly, upon the closing of the Proposed Transaction, the total number of shares of the Issuer beneficially owned by Mr. Sheng Chen will be up to 423,652,371 (which excludes 455,296,932 Class A Ordinary Shares previously held by Investor A, but includes up to 325,212,096 Class A Ordinary Shares held by the Buyers), representing up to 24.8% of the Issuer's total outstanding shares and up to 34.3% in terms of voting power. Mr. Sheng Chen is the sole and direct shareholder of GenTao, Fast Horse, Sunrise, Zentribe, Personal Group and Beacon and may be deemed to have beneficial ownership of the shares held by them.\n\n(2) Calculation based on 1,708,149,858 outstanding Ordinary Shares as a single class as of March 31, 2026, being the sum of (i) 1,677,368,135 outstanding Class A Ordinary Shares (excluding treasury shares and Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards), (ii) 30,721,723 outstanding Class B Ordinary Shares, (iii) 60,000 outstanding Class C Ordinary Shares, and (iv) no outstanding Class D Ordinary Share, par value of $0.00001 per share (\"Class D Ordinary Shares\") of the Issuer, assuming conversion of all outstanding Class B Ordinary Shares and Class C Ordinary Shares into Class A Ordinary Share. Each Class B Ordinary Share or each Class C Ordinary Share is convertible into one Class A Ordinary Share at any time by the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares or Class C Ordinary Shares under any circumstances.\n\n(3) Each Class A Ordinary Share is entitled to one vote, each Class B Ordinary Share is entitled to ten votes, each Class C Ordinary Shares is entitled to one vote and each Class D Ordinary Share is entitled to 500 votes on all matters subject to shareholder vote at general meetings of the Issuer, except that the Issuer may only proceed with certain corporate matters with the written consent of the holders holding a majority of the issued and outstanding Class C Ordinary Shares or with the sanction of a special resolution passed at a separate meeting of the holders of the issued and outstanding Class C Ordinary Shares." }, { "accession_no": "0001104659-26-062459", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "GenTao Capital Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 33628927.0, "shared_voting_power": 455296932.0, "sole_dispositive_power": 33628927.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 488925859.0, "percent_of_class": 28.6, "type_of_reporting_person": "CO", "comment_content": "(1) Representing 33,628,927 Class A Ordinary Shares held by GenTao and 455,296,932 Class A Ordinary Shares held by Investor A, representing all of the Class A Ordinary Shares held by the entity in the Issuer, pursuant to which GenTao has the power to give Investor A voting instructions on certain matters and thus enjoys shared voting power with respect to these shares. Immediately upon the closing of the Proposed Transaction, GenTao will no longer have the power to give Investor A voting instructions on certain matters with respect to the 455,296,932 Class A Ordinary Shares held by it, and will have the power to give the Buyers voting instructions on certain matters and enjoys shared voting power with respect to up to 325,212,096 Class A Ordinary Shares held by them, the exact number of which is subject to changes pursuant to the share purchase agreement and the voting and consortium agreement. Accordingly, upon the closing of the Proposed Transaction, the total number of shares of the Issuer beneficially owned by GenTao will be up to 358,841,023 (which excludes 455,296,932 Class A Ordinary Shares previously held by Investor A, but includes up to 325,212,096 Class A Ordinary Shares held by the Buyers), representing up to 21.0% of the Issuer's total outstanding shares and up to 18.0% in terms of voting power.\n\n(2) Calculation based on 1,708,149,858 outstanding Ordinary Shares as a single class as of March 31, 2026, being the sum of (i) 1,677,368,135 outstanding Class A Ordinary Shares (excluding treasury shares and Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards), (ii) 30,721,723 outstanding Class B Ordinary Shares, (iii) 60,000 outstanding Class C Ordinary Shares, and (iv) no outstanding Class D Ordinary Share, assuming conversion of all outstanding Class B Ordinary Shares and Class C Ordinary Shares into Class A Ordinary Share. Each Class B Ordinary Share or each Class C Ordinary Share is convertible into one Class A Ordinary Share at any time by the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares or Class C Ordinary Shares under any circumstances.\n\n(3) Each Class A Ordinary Share is entitled to one vote, each Class B Ordinary Share is entitled to ten votes, each Class C Ordinary Shares is entitled to one vote and each Class D Ordinary Share is entitled to 500 votes on all matters subject to shareholder vote at general meetings of the Issuer, except that the Issuer may only proceed with certain corporate matters with the written consent of the holders holding a majority of the issued and outstanding Class C Ordinary Shares or with the sanction of a special resolution passed at a separate meeting of the holders of the issued and outstanding Class C Ordinary Shares." }, { "accession_no": "0001104659-26-062459", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Fast Horse Technology Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 19670117.0, "shared_voting_power": 455296932.0, "sole_dispositive_power": 19670117.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 474967049.0, "percent_of_class": 27.8, "type_of_reporting_person": "CO", "comment_content": "(1) Representing 19,670,117 Class B Ordinary Shares held by Fast Horse and 455,296,932 Class A Ordinary Shares held by Investor A, representing all of the Class A Ordinary Shares held by the entity in the Issuer, pursuant to which Fast Horse has the power to give Investor A voting instructions on certain matters and thus enjoys shared voting power with respect to these shares. Immediately upon the closing of the Proposed Transaction, Fast Horse will no longer have the power to give Investor A voting instructions on certain matters with respect to the 455,296,932 Class A Ordinary Shares held by it, and will have the power to give the Buyers voting instructions on certain matters and enjoys shared voting power with respect to up to 325,212,096 Class A Ordinary Shares held by them, the exact number of which is subject to changes pursuant to the share purchase agreement and the voting and consortium agreement. Accordingly, upon the closing of the Proposed Transaction, the total number of shares of the Issuer beneficially owned by Fast Horse will be up to 344,882,213 (which excludes 455,296,932 Class A Ordinary Shares previously held by Investor A, but includes up to 325,212,096 Class A Ordinary Shares held by the Buyers), representing up to 20.2% of the Issuer's total outstanding shares and up to 26.3% in terms of voting power.\n\n(2) Calculation based on 1,708,149,858 outstanding Ordinary Shares as a single class as of March 31, 2026, being the sum of (i) 1,677,368,135 outstanding Class A Ordinary Shares (excluding treasury shares and Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards), (ii) 30,721,723 outstanding Class B Ordinary Shares, (iii) 60,000 outstanding Class C Ordinary Shares, and (iv) no outstanding Class D Ordinary Share, assuming conversion of all outstanding Class B Ordinary Shares and Class C Ordinary Shares into Class A Ordinary Share. Each Class B Ordinary Share or each Class C Ordinary Share is convertible into one Class A Ordinary Share at any time by the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares or Class C Ordinary Shares under any circumstances.\n\n(3) Each Class A Ordinary Share is entitled to one vote, each Class B Ordinary Share is entitled to ten votes, each Class C Ordinary Shares is entitled to one vote and each Class D Ordinary Share is entitled to 500 votes on all matters subject to shareholder vote at general meetings of the Issuer, except that the Issuer may only proceed with certain corporate matters with the written consent of the holders holding a majority of the issued and outstanding Class C Ordinary Shares or with the sanction of a special resolution passed at a separate meeting of the holders of the issued and outstanding Class C Ordinary Shares." }, { "accession_no": "0001104659-26-062459", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Sunrise Corporate Holding Ltd.", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 8087875.0, "shared_voting_power": 455296932.0, "sole_dispositive_power": 8087875.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 463384807.0, "percent_of_class": 27.1, "type_of_reporting_person": "CO", "comment_content": "(1) Representing 8,087,875 Class B Ordinary Shares held by Sunrise and 455,296,932 Class A Ordinary Shares held by Investor A, representing all of the Class A Ordinary Shares held by the entity in the Issuer, pursuant to which Sunrise has the power to give Investor A voting instructions on certain matters and thus enjoys shared voting power with respect to these shares. Immediately upon the closing of the Proposed Transaction, Sunrise will no longer have the power to give Investor A voting instructions on certain matters with respect to the 455,296,932 Class A Ordinary Shares held by it, and will have the power to give the Buyers voting instructions on certain matters and enjoys shared voting power with respect to up to 325,212,096 Class A Ordinary Shares held by them, the exact number of which is subject to changes pursuant to the share purchase agreement and the voting and consortium agreement. Accordingly, upon the closing of the Proposed Transaction, the total number of shares of the Issuer beneficially owned by Sunrise will be up to 333,299,971 (which excludes 455,296,932 Class A Ordinary Shares previously held by Investor A, but includes up to 325,212,096 Class A Ordinary Shares held by the Buyers), representing up to 19.5% of the Issuer's total outstanding shares and up to 20.5% in terms of voting power.\n\n(2) Calculation based on 1,708,149,858 outstanding Ordinary Shares as a single class as of March 31, 2026, being the sum of (i) 1,677,368,135 outstanding Class A Ordinary Shares (excluding treasury shares and Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards), (ii) 30,721,723 outstanding Class B Ordinary Shares, (iii) 60,000 outstanding Class C Ordinary Shares, and (iv) no outstanding Class D Ordinary Share, assuming conversion of all outstanding Class B Ordinary Shares and Class C Ordinary Shares into Class A Ordinary Share. Each Class B Ordinary Share or each Class C Ordinary Share is convertible into one Class A Ordinary Share at any time by the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares or Class C Ordinary Shares under any circumstances.\n\n(3) Each Class A Ordinary Share is entitled to one vote, each Class B Ordinary Share is entitled to ten votes, each Class C Ordinary Shares is entitled to one vote and each Class D Ordinary Share is entitled to 500 votes on all matters subject to shareholder vote at general meetings of the Issuer, except that the Issuer may only proceed with certain corporate matters with the written consent of the holders holding a majority of the issued and outstanding Class C Ordinary Shares or with the sanction of a special resolution passed at a separate meeting of the holders of the issued and outstanding Class C Ordinary Shares." }, { "accession_no": "0001104659-26-062459", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Personal Group Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 829490.0, "shared_voting_power": 455296932.0, "sole_dispositive_power": 829490.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 456126422.0, "percent_of_class": 26.7, "type_of_reporting_person": "CO", "comment_content": "(1) Representing four Class A Ordinary Shares, 769,486 Class B Ordinary Shares, 60,000 Class C Ordinary Shares held by Personal Group, and 455,296,932 Class A Ordinary Shares held by Investor A, representing all of the Class A Ordinary Shares held by the entity in the Issuer, pursuant to which Personal Group has the power to give Investor A voting instructions on certain matters and thus enjoys shared voting power with respect to these shares. Immediately upon the closing of the Proposed Transaction, Personal Group will no longer have the power to give Investor A voting instructions on certain matters with respect to the 455,296,932 Class A Ordinary Shares held by it, and will have the power to give the Buyers voting instructions on certain matters and enjoys shared voting power with respect to up to 325,212,096 Class A Ordinary Shares held by them, the exact number of which is subject to changes pursuant to the share purchase agreement and the voting and consortium agreement. Accordingly, upon the closing of the Proposed Transaction, the total number of shares of the Issuer beneficially owned by Personal Group will be up to 326,041,586 (which excludes 455,296,932 Class A Ordinary Shares previously held by Investor A, but includes up to 325,212,096 Class A Ordinary Shares held by the Buyers), representing up to 19.1% of the Issuer's total outstanding shares and up to 16.8% in terms of voting power.\n\n(2) Calculation based on 1,708,149,858 outstanding Ordinary Shares as a single class as of March 31, 2026, being the sum of (i) 1,677,368,135 outstanding Class A Ordinary Shares (excluding treasury shares and Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards), (ii) 30,721,723 outstanding Class B Ordinary Shares, (iii) 60,000 outstanding Class C Ordinary Shares, and (iv) no outstanding Class D Ordinary Share, assuming conversion of all outstanding Class B Ordinary Shares and Class C Ordinary Shares into Class A Ordinary Share. Each Class B Ordinary Share or each Class C Ordinary Share is convertible into one Class A Ordinary Share at any time by the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares or Class C Ordinary Shares under any circumstances.\n\n(3) Each Class A Ordinary Share is entitled to one vote, each Class B Ordinary Share is entitled to ten votes, each Class C Ordinary Shares is entitled to one vote and each Class D Ordinary Share is entitled to 500 votes on all matters subject to shareholder vote at general meetings of the Issuer, except that the Issuer may only proceed with certain corporate matters with the written consent of the holders holding a majority of the issued and outstanding Class C Ordinary Shares or with the sanction of a special resolution passed at a separate meeting of the holders of the issued and outstanding Class C Ordinary Shares." }, { "accession_no": "0001104659-26-062459", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Beacon Capital Group Inc.", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 34744206.0, "shared_voting_power": 0.0, "sole_dispositive_power": 34744206.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 34744206.0, "percent_of_class": 2.0, "type_of_reporting_person": "CO", "comment_content": "(1) Representing 34,744,206 Class A Ordinary Shares by Beacon. Immediately upon the closing of the Proposed Transaction, Beacon will have the power to give the Buyers voting instructions on certain matters and thus enjoys shared voting power with respect to up to 325,212,096 Class A Ordinary Shares held by them, the exact number of which is subject to changes pursuant to the share purchase agreement and the voting and consortium agreement. Accordingly, upon the closing of the Proposed Transaction, the total number of shares of the Issuer beneficially owned by Beacon will be up to 359,956,302 (which includes up to 325,212,096 Class A Ordinary Shares held by the Buyers), representing up to 21.1% of the Issuer's total outstanding shares and up to 18.1% in terms of voting power.\n\n(2) Calculation based on 1,708,149,858 outstanding Ordinary Shares as a single class as of March 31, 2026, being the sum of (i) 1,677,368,135 outstanding Class A Ordinary Shares (excluding treasury shares and Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards), (ii) 30,721,723 outstanding Class B Ordinary Shares, (iii) 60,000 outstanding Class C Ordinary Shares, and (iv) no outstanding Class D Ordinary Share, assuming conversion of all outstanding Class B Ordinary Shares and Class C Ordinary Shares into Class A Ordinary Share. Each Class B Ordinary Share or each Class C Ordinary Share is convertible into one Class A Ordinary Share at any time by the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares or Class C Ordinary Shares under any circumstances.\n\n(3) Each Class A Ordinary Share is entitled to one vote, each Class B Ordinary Share is entitled to ten votes, each Class C Ordinary Shares is entitled to one vote and each Class D Ordinary Share is entitled to 500 votes on all matters subject to shareholder vote at general meetings of the Issuer, except that the Issuer may only proceed with certain corporate matters with the written consent of the holders holding a majority of the issued and outstanding Class C Ordinary Shares or with the sanction of a special resolution passed at a separate meeting of the holders of the issued and outstanding Class C Ordinary Shares." }, { "accession_no": "0001104659-26-062459", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Zentribe Capital (BVI) Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 1479660.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1479660.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1479660.0, "percent_of_class": 0.1, "type_of_reporting_person": "CO", "comment_content": "(1) Representing 1,479,660 Class A Ordinary Shares held by Zentribe. Immediately upon the closing of the Proposed Transaction, Zentribe will have the power to give the Buyers voting instructions on certain matters and enjoys shared voting power with respect to up to 325,212,096 Class A Ordinary Shares held by them, the exact number of which is subject to changes pursuant to the share purchase agreement and the voting and consortium agreement. Accordingly, upon the closing of the Proposed Transaction, the total number of shares of the Issuer beneficially owned by Zentribe will be up to 326,691,756 (which includes up to 325,212,096 Class A Ordinary Shares held by the Buyers), representing up to 19.1% of the Issuer's total outstanding shares and up to up to 16.5% in terms of voting power.\n\n(2) Calculation based on 1,708,149,858 outstanding Ordinary Shares as a single class as of March 31, 2026, being the sum of (i) 1,677,368,135 outstanding Class A Ordinary Shares (excluding treasury shares and Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards), (ii) 30,721,723 outstanding Class B Ordinary Shares, (iii) 60,000 outstanding Class C Ordinary Shares, and (iv) no outstanding Class D Ordinary Share, assuming conversion of all outstanding Class B Ordinary Shares and Class C Ordinary Shares into Class A Ordinary Share. Each Class B Ordinary Share or each Class C Ordinary Share is convertible into one Class A Ordinary Share at any time by the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares or Class C Ordinary Shares under any circumstances.\n\n(3) Each Class A Ordinary Share is entitled to one vote, each Class B Ordinary Share is entitled to ten votes, each Class C Ordinary Shares is entitled to one vote and each Class D Ordinary Share is entitled to 500 votes on all matters subject to shareholder vote at general meetings of the Issuer, except that the Issuer may only proceed with certain corporate matters with the written consent of the holders holding a majority of the issued and outstanding Class C Ordinary Shares or with the sanction of a special resolution passed at a separate meeting of the holders of the issued and outstanding Class C Ordinary Shares." }, { "accession_no": "0001104659-26-062583", "person_seq": 0, "reporting_person_cik": 904548, "reporting_person_name": "Charles W. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 18572420.0, "shared_voting_power": 130108894.0, "sole_dispositive_power": 18572420.0, "shared_dispositive_power": 130108894.0, "aggregate_amount_owned": 148681314.0, "percent_of_class": 51.0, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock, $0.001 par value per share ('Class A Common Stock') and Class B Common Stock, $0.001 par value per share ('Class B Common Stock') of EchoStar Corporation ('EchoStar'). The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power and Sole Dispositive Power totals consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network Corporation ('DISH Network') 401(k) Employee Savings Plan (the 'DISH Network 401(k) Plan'); (iii) 4,371,914 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 1,497,478 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mr. Ergen has the right to acquire beneficial ownership of such shares within 60 days after May 11, 2026; and (v) 1,551,355 shares of Class A Common Stock held by CONX Corp. ('CONX') and beneficially owned indirectly by Mr. Ergen through nXgen Opportunities, LLC ('nXgen'), which controls CONX.\n\n(3) Shared Voting Power and Shared Dispositive Power totals consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mr. Ergen's spouse, Cantey M. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 11,921 shares of Class A Common Stock beneficially owned by one of Mr. Ergen's children; (iv) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mr. Ergen is an officer and for which he shares voting and dispositive power with Mrs. Ergen; (v) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, LLC ('Telluray Holdings'), for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; (vi) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2024 SATS GRAT (the '2024 July GRAT'); (vii) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year May 2025 SATS GRAT (the \"2025 May GRAT\"); (viii) 16,800,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2025 SATS GRAT (the \"2025 June GRAT\"); and (ix) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2025 SATS GRAT (the '2025 July GRAT').\n\n(4) Percent of Class Represented is based on 158,468,296 shares of Class A Common Stock outstanding on May 11, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mr. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, May 11, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mr. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, May 11, 2026). Pursuant to the Amended and Restated Support Agreement dated as of October 2, 2023 (the 'Amended Support Agreement', see Exhibit E), Mr. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mr. Ergen's effective total voting power in such circumstances as of May 11, 2026 is approximately 89.4 percent." }, { "accession_no": "0001104659-26-062583", "person_seq": 1, "reporting_person_cik": 1138538, "reporting_person_name": "Cantey M. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 129344038.0, "shared_voting_power": 17853306.0, "sole_dispositive_power": 66475840.0, "shared_dispositive_power": 80721504.0, "aggregate_amount_owned": 147197344.0, "percent_of_class": 50.8, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power shares consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after May 11, 2026; (iv) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings; (v) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2024 July GRAT; (vi) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vii) 16,800,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; and (viii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT. Mrs. Ergen exercises voting power with respect to Telluray Holdings and each of the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT and the 2025 July GRAT independently and, with respect to the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT and the 2025 July GRAT, in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(3) Shared Voting Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 4,371,914 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; and (vi) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(4) Sole Dispositive Power shares consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after May 11, 2026; (iv) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2024 July GRAT; (v) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vi) 16,800,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; and (vii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT. Mrs. Ergen exercises dispositive power with respect to each of the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT and the 2025 July GRAT independently and in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(5) Shared Dispositive Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 4,371,914 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; (vi) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; and (vii) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(6) Percent of Class Represented is based on 158,468,296 of Class A Common Stock outstanding on May 11, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mrs. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, May 11, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mrs. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either exercisable as of, or may become exercisable within 60 days after, May 11, 2026). Pursuant to the Amended Support Agreement (see Exhibit E), Mrs. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mrs. Ergen's effective total voting power in such circumstances as of May 11, 2026 is approximately 89.4 percent." }, { "accession_no": "0001104659-26-062583", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year May 2024 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-062583", "person_seq": 3, "reporting_person_cik": 2030396, "reporting_person_name": "Ergen Two-Year July 2024 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 18561842.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18561842.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18561842.0, "percent_of_class": 10.5, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 158,468,296 shares of Class A Common Stock outstanding on May 11, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2024 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2024 July GRAT may be deemed to beneficially own would be approximately 6.4 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2024 July GRAT beneficially owns equity securities of EchoStar representing approximately 12.6 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-062583", "person_seq": 4, "reporting_person_cik": 2070254, "reporting_person_name": "Ergen Two-Year May 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 23097210.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23097210.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23097210.0, "percent_of_class": 12.7, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 158,468,296 shares of Class A Common Stock outstanding on May 11, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 May GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 May GRAT may be deemed to beneficially own would be approximately 8.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 May GRAT beneficially owns equity securities of EchoStar representing approximately 15.7 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-062583", "person_seq": 5, "reporting_person_cik": 2076356, "reporting_person_name": "Ergen Two-Year June 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 16800000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 16800000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 16800000.0, "percent_of_class": 9.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 158,468,296 shares of Class A Common Stock outstanding on May 11, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 June GRAT may be deemed to beneficially own would be approximately 5.8 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 June GRAT beneficially owns equity securities of EchoStar representing approximately 11.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-062583", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year July 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 8000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8000000.0, "percent_of_class": 4.8, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 158,468,296 shares of Class A Common Stock outstanding on May 11, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 July GRAT may be deemed to beneficially own would be approximately 2.8 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 July GRAT beneficially owns equity securities of EchoStar representing approximately 5.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-062583", "person_seq": 7, "reporting_person_cik": 1747721, "reporting_person_name": "Telluray Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 62868198.0, "shared_voting_power": 0.0, "sole_dispositive_power": 62868198.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 62868198.0, "percent_of_class": 28.7, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time. Totals consist of: (i) 2,350,696 shares of Class A Common Stock; and (ii) 60,517,502 shares of Class B Common Stock, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings.\n\n(2) Percent of Class Represented is based on 158,468,296 shares of Class A Common Stock outstanding on May 11, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by Telluray Holdings into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that Telluray Holdings may be deemed to beneficially own would be approximately 21.7 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, Telluray Holdings beneficially owns equity securities of EchoStar representing approximately 41.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock). Pursuant to the Amended Support Agreement dated as of October 2, 2023 (see Exhibit E), Telluray Holdings and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Telluray Holdings' effective total voting power in such circumstances as of May 11, 2026 is approximately 41.1 percent." }, { "accession_no": "0001104659-26-063028", "person_seq": 0, "reporting_person_cik": 1539436, "reporting_person_name": "Standard Investments LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4095001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4095001.0, "aggregate_amount_owned": 4095001.0, "percent_of_class": 8.943, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-063028", "person_seq": 1, "reporting_person_cik": 1663556, "reporting_person_name": "SI GP III LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4095001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4095001.0, "aggregate_amount_owned": 4095001.0, "percent_of_class": 8.943, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063028", "person_seq": 2, "reporting_person_cik": 1663559, "reporting_person_name": "Standard Latitude Master Fund Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 4095001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4095001.0, "aggregate_amount_owned": 4095001.0, "percent_of_class": 8.943, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-063028", "person_seq": 3, "reporting_person_cik": 1652261, "reporting_person_name": "Standard Latitude Fund LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4095001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4095001.0, "aggregate_amount_owned": 4095001.0, "percent_of_class": 8.943, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-063028", "person_seq": 4, "reporting_person_cik": 1572723, "reporting_person_name": "David S. Winter", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4095001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4095001.0, "aggregate_amount_owned": 4095001.0, "percent_of_class": 8.943, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-063028", "person_seq": 5, "reporting_person_cik": 1572610, "reporting_person_name": "David J. Millstone", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4095001.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4095001.0, "aggregate_amount_owned": 4095001.0, "percent_of_class": 8.943, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-063048", "person_seq": 0, "reporting_person_cik": 1803391, "reporting_person_name": "SoftVest Advisors, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6217107.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217107.0, "aggregate_amount_owned": 6217107.0, "percent_of_class": 13.3, "type_of_reporting_person": "IA", "comment_content": "(1) Percentage based on 46,608,796 Units of Beneficial Interest (as defined below) of the Issuer (as defined below) outstanding as reported in the Issuer's Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001104659-26-063048", "person_seq": 1, "reporting_person_cik": 2077837, "reporting_person_name": "SoftVest GP I, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6217107.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217107.0, "aggregate_amount_owned": 6217107.0, "percent_of_class": 13.3, "type_of_reporting_person": "OO", "comment_content": "(2) Percentage based on 46,608,796 Units of Beneficial Interest (as defined below) of the Issuer (as defined below) outstanding as reported in the Issuer's Form 10-Q filed with the SEC on May 14, 2026. SoftVest GP I, LLC is the general partner of, and may be deemed to beneficially own securities owned by, SoftVest, L.P." }, { "accession_no": "0001104659-26-063048", "person_seq": 2, "reporting_person_cik": 1406386, "reporting_person_name": "SoftVest, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6217107.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217107.0, "aggregate_amount_owned": 6217107.0, "percent_of_class": 13.3, "type_of_reporting_person": "PN", "comment_content": "(3) Percentage based on 46,608,796 Units of Beneficial Interest (as defined below) of the Issuer (as defined below) outstanding as reported in the Issuer's Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001104659-26-063048", "person_seq": 3, "reporting_person_cik": 1168602, "reporting_person_name": "Eric L. Oliver", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6217107.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217107.0, "aggregate_amount_owned": 6217107.0, "percent_of_class": 13.3, "type_of_reporting_person": "IN", "comment_content": "(1) Excludes 17,000 Units of Beneficial Interest held by family members of and partnerships for the benefit of the family of Eric L. Oliver. Mr. Oliver disclaims beneficial ownership of any such Units of Beneficial Ownership except to the extent of any pecuniary interest therein.\n(2) Percentage based on 46,608,796 Units of Beneficial Interest (as defined below) of the Issuer (as defined below) outstanding as reported in the Issuer's Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001104659-26-063172", "person_seq": 0, "reporting_person_cik": 1002242, "reporting_person_name": "Eni S.p.A.", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 38043478.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38043478.0, "aggregate_amount_owned": 38043478.0, "percent_of_class": 11.6, "type_of_reporting_person": "CO", "comment_content": "The percentage ownership reported in Row 13 was calculated based on 329,114,330 Common Shares (as defined below) outstanding which is the sum of (i) the 160,826,539 Common Shares outstanding as of December 31, 2025, as reported in the Prospectus Supplement No. 2 filed Pursuant to General Instruction II.L of Form F-10 (the \"Prospectus Supplement\") by the Issuer (as defined below) with the Securities and Exchange Commission (the \"Commission\") on April 13, 2026, (ii) the 115,847,791 Common Shares issued at the Private Placement (as defined below), and (iii) 52,440,000 Common Shares issued pursuant to subscription receipts issued pursuant to the Prospectus Supplement on May 15, 2026." }, { "accession_no": "0001104659-26-063172", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Eni International B.V.", "fund_type": "WC", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 38043478.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38043478.0, "aggregate_amount_owned": 38043478.0, "percent_of_class": 11.6, "type_of_reporting_person": "CO", "comment_content": "The percentage ownership was calculated based on 329,114,330 Common Shares outstanding which is the sum of (i) the 160,826,539 Common Shares outstanding as of December 31, 2025, as reported in the Prospectus Supplement filed with the Commission on April 13, 2026, (ii) the 115,847,791 Common Shares issued at the Private Placement, and (iii) 52,440,000 Common Shares issued pursuant to subscription receipts issued pursuant to the Prospectus Supplement on May 15, 2026." }, { "accession_no": "0001104659-26-063233", "person_seq": 0, "reporting_person_cik": 1542073, "reporting_person_name": "WEI-WU HE, Ph.D.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2150550.0, "shared_voting_power": 21834985.0, "sole_dispositive_power": 2150550.0, "shared_dispositive_power": 21834985.0, "aggregate_amount_owned": 23985535.0, "percent_of_class": 58.8, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 240,000 shares issuable upon the exercise of options.\n(2) Includes 5,000,000 shares issuable upon the conversion of a convertible note, dated December 27, 2025, 5,000,000 shares issuable upon the conversion of a convertible note, dated January 09, 2026, 5,000,000 shares issuable upon the conversion of a convertible note, dated February 19, 2026 and 5,000,000 shares issuable upon the conversion of a convertible note, dated April 17, 2026, respectively, within 60 days.\n(3) Includes the 637,644 shares reported by Huiying Memorial Foundation, a 501(c)(3) private family foundation. Although the Board of Trustees of Huiying Memorial Foundation consists of the three members, including the Reporting Person and a family member of the Reporting Person, and the Reporting Person is an officer of the Huiying Memorial Foundation, the Reporting Person does not participate in the investment decisions of the Foundation with respect to the Issuer's shares. Reporting Person disclaims beneficial ownership of Huiying Memorial Foundation's shares of Issuer. The inclusion of the 637,644 shares is not an admission that the Reporting Person is the beneficial owner of such shares for any purpose." }, { "accession_no": "0001104659-26-063233", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "HUIYING MEMORIAL FOUNDATION", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 637644.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 637644.0, "aggregate_amount_owned": 637644.0, "percent_of_class": 3.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-063233", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "EMERGING TECHNOLOGY PARTNERS, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 21097341.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21097341.0, "aggregate_amount_owned": 21097341.0, "percent_of_class": 52.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063233", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "ETP Global Fund L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 753234.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 753234.0, "aggregate_amount_owned": 753234.0, "percent_of_class": 3.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-063233", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "ETP BIOHEALTH III FUND, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 300000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 300000.0, "aggregate_amount_owned": 300000.0, "percent_of_class": 1.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-063233", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "HE Family GRAT", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 100000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 100000.0, "aggregate_amount_owned": 100000.0, "percent_of_class": 0.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063233", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "ETP Global III Fund L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000000.0, "aggregate_amount_owned": 20000000.0, "percent_of_class": 49.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-063248", "person_seq": 0, "reporting_person_cik": 2023157, "reporting_person_name": "Anette Schmid", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 30810000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30810000.0, "aggregate_amount_owned": 30810000.0, "percent_of_class": 41.75, "type_of_reporting_person": "IN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG (for an aggregate of 11,490,000 ordinary shares), and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG (for an aggregate of 15,320,000 ordinary shares). In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. Anette Schmid, Christian Schmid, to Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026 respectively. Pursuant to the Joint Filing Agreement the parties agreed agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 57,800,864, and a total of 21,000,000 outstanding private and public warrants, a total of 78,800,864 ordinary shares are outstanding as of May 18, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 12 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-063248", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Schmid Aequitas GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 13490000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13490000.0, "aggregate_amount_owned": 13490000.0, "percent_of_class": 17.11, "type_of_reporting_person": "PN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG (for an aggregate of 11,490,000 ordinary shares), and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG (for an aggregate of 15,320,000 ordinary shares). In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. Anette Schmid, Christian Schmid, to Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026 respectively. Pursuant to the Joint Filing Agreement the parties agreed agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 57,800,864, and a total of 21,000,000 outstanding private and public warrants, a total of 78,800,864 ordinary shares are outstanding as of May 18, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 12 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-063248", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Christian Schmid", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 30810000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30810000.0, "aggregate_amount_owned": 30810000.0, "percent_of_class": 41.75, "type_of_reporting_person": "IN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG (for an aggregate of 11,490,000 ordinary shares), and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG (for an aggregate of 15,320,000 ordinary shares). In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. Anette Schmid, Christian Schmid, to Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026 respectively. Pursuant to the Joint Filing Agreement the parties agreed agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 57,800,864, and a total of 21,000,000 outstanding private and public warrants, a total of 78,800,864 ordinary shares are outstanding as of May 18, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 12 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-063248", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "C. Schmid Beteiligung GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 17320000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17320000.0, "aggregate_amount_owned": 17320000.0, "percent_of_class": 21.98, "type_of_reporting_person": "PN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG (for an aggregate of 11,490,000 ordinary shares), and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG (for an aggregate of 15,320,000 ordinary shares). In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. Anette Schmid, Christian Schmid, to Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026 respectively. Pursuant to the Joint Filing Agreement the parties agreed agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 57,800,864, and a total of 21,000,000 outstanding private and public warrants, a total of 78,800,864 ordinary shares are outstanding as of May 18, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 12 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-063388", "person_seq": 0, "reporting_person_cik": 1655183, "reporting_person_name": "Mudrick Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 101021846.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 101021846.0, "aggregate_amount_owned": 101021846.0, "percent_of_class": 58.4, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Mudrick Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 101021846.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 101021846.0, "aggregate_amount_owned": 101021846.0, "percent_of_class": 58.4, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jason Mudrick", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 101021846.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 101021846.0, "aggregate_amount_owned": 101021846.0, "percent_of_class": 58.4, "type_of_reporting_person": "IN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Fund Global, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 23356030.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23356030.0, "aggregate_amount_owned": 23356030.0, "percent_of_class": 17.0, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Mudrick GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23356031.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23356031.0, "aggregate_amount_owned": 23356031.0, "percent_of_class": 17.0, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13458661.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13458661.0, "aggregate_amount_owned": 13458661.0, "percent_of_class": 10.1, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1404767.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1404767.0, "aggregate_amount_owned": 1404767.0, "percent_of_class": 1.1, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14863428.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14863428.0, "aggregate_amount_owned": 14863428.0, "percent_of_class": 11.1, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3520599.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3520599.0, "aggregate_amount_owned": 3520599.0, "percent_of_class": 2.7, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity 2020 Dislocation Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3520599.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3520599.0, "aggregate_amount_owned": 3520599.0, "percent_of_class": 2.7, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity SIF Master Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2731491.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2731491.0, "aggregate_amount_owned": 2731491.0, "percent_of_class": 2.1, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity SIF GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2731491.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2731491.0, "aggregate_amount_owned": 2731491.0, "percent_of_class": 2.1, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Mudrick Stressed Credit Master Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2710801.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2710801.0, "aggregate_amount_owned": 2710801.0, "percent_of_class": 2.1, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Mudrick Stressed Credit Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2710801.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2710801.0, "aggregate_amount_owned": 2710801.0, "percent_of_class": 2.1, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "Mudrick Opportunity Co-Investment Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2238495.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2238495.0, "aggregate_amount_owned": 2238495.0, "percent_of_class": 1.8, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "Mudrick Opportunity Co-Investment Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2238495.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2238495.0, "aggregate_amount_owned": 2238495.0, "percent_of_class": 1.8, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 16, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund III, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 512447.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 512447.0, "aggregate_amount_owned": 512447.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 17, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund III GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 512447.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 512447.0, "aggregate_amount_owned": 512447.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 18, "reporting_person_cik": null, "reporting_person_name": "Mudrick Co-Investment Opportunity III, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 250000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 250000.0, "aggregate_amount_owned": 250000.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063388", "person_seq": 19, "reporting_person_cik": null, "reporting_person_name": "Mudrick Co-Investment Opportunity III GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 250000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 250000.0, "aggregate_amount_owned": 250000.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "No update reported. For more information, see Amendment No. 6." }, { "accession_no": "0001104659-26-063392", "person_seq": 0, "reporting_person_cik": 2004160, "reporting_person_name": "Success Flow International Investment Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 455296932.0, "shared_voting_power": 0.0, "sole_dispositive_power": 455296932.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 455296932.0, "percent_of_class": 26.7, "type_of_reporting_person": "CO", "comment_content": "(1) Each of row (7), (9) and (11) represents 455,296,932 Class A Ordinary Shares of VNET Group, Inc. (the \"Issuer\"), par value US$0.00001 per share, (\"Class A Ordinary Shares\") held by Success Flow International Investment Limited (\"Success Flow\"). Success Flow is a direct wholly-owned subsidiary of Shandong Hi-Speed Holdings Group Limited (\"SDHG\"), which may be deemed to have beneficial ownership held by Success Flow.\n\n(2) Row (13) calculation represents based on 1,708,149,858 Ordinary Shares issued and outstanding as of March 31, 2026 as a single class, comprising of (a) 1,677,368,135 Class A Ordinary Shares issued and outstanding, excluding (i) treasury shares and (ii) Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards, (b) 30,721,723 Class B Ordinary Shares of the Issuer, par value US$0.00001 per share (\"Class B Ordinary Shares\"), issued and outstanding, (c) 60,000 Class C Ordinary Shares of the Issuer, par value US$0.00001 per share (\"Class C Ordinary Shares\"), issued and outstanding, and (d) no Class D Ordinary Shares, par value US$0.00001 per share (\"Class D Ordinary Shares\"), issued and outstanding." }, { "accession_no": "0001104659-26-063392", "person_seq": 1, "reporting_person_cik": 2004170, "reporting_person_name": "Choice Faith Group Holdings Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 195127260.0, "shared_voting_power": 0.0, "sole_dispositive_power": 195127260.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 195127260.0, "percent_of_class": 11.4, "type_of_reporting_person": "CO", "comment_content": "(1) Each of row (7), (9) and (11) represents 195,127,260 Class A Ordinary Shares held by Choice Faith Group Holdings Limited (\"Choice Faith\"). Choice Faith is a direct wholly-owned subsidiary of SDHG, which may be deemed to have beneficial ownership held by Choice Faith.\n\n(2) Row (13) calculation represents based on 1,708,149,858 Ordinary Shares issued and outstanding as of March 31, 2026 as a single class, comprising of (a) 1,677,368,135 Class A Ordinary Shares issued and outstanding, excluding (i) treasury shares and (ii) Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards, (b) 30,721,723 Class B Ordinary Shares issued and outstanding, (c) 60,000 Class C Ordinary Shares issued and outstanding, and (d) no Class D Ordinary Shares issued and outstanding." }, { "accession_no": "0001104659-26-063392", "person_seq": 2, "reporting_person_cik": 2004151, "reporting_person_name": "Shandong Hi-Speed Holdings Group Limited", "fund_type": "WC", "citizenship_or_org": "D0", "sole_voting_power": 650424192.0, "shared_voting_power": 0.0, "sole_dispositive_power": 650424192.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 650424192.0, "percent_of_class": 38.1, "type_of_reporting_person": "CO", "comment_content": "(1) Each of row (7), (9) and (11) represents 455,296,932 Class A Ordinary Shares directly held by Success Flow and 195,127,260 Class A Ordinary Shares directly held by Choice Faith. Each of Success Flow and Choice Faith is a direct wholly-owned subsidiary of SDHG, which may be deemed to have beneficial ownership held by each Success Flow and Choice Faith.\n\n(2) Row (13) calculation represents based on 1,708,149,858 Ordinary Shares issued and outstanding as of March 31, 2026 as a single class, comprising of (a) 1,677,368,135 Class A Ordinary Shares issued and outstanding, excluding (i) treasury shares and (ii) Class A Ordinary Shares in the form of ADSs that are reserved for issuance upon the exercise of share incentive awards, (b) 30,721,723 Class B Ordinary Shares issued and outstanding, (c) 60,000 Class C Ordinary Shares issued and outstanding, and (d) no Class D Ordinary Shares issued and outstanding." }, { "accession_no": "0001104659-26-063766", "person_seq": 0, "reporting_person_cik": 67099, "reporting_person_name": "Mitsui & Co., Ltd.", "fund_type": "WC", "citizenship_or_org": "M0", "sole_voting_power": 26052695.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26052695.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26052695.0, "percent_of_class": 7.6, "type_of_reporting_person": "CO", "comment_content": "This Amendment No. 2 to the Schedule 13D (this \"Amendment No. 2\") amends and supplements the Schedule 13D originally filed by the Reporting Person on November 18, 2022 and amended on May 6, 2024 (as amended, the \"Schedule 13D\"), and relates to the Reporting Person's beneficial ownership of Common Shares, no par value, and Common Share Warrants of Nouveau Monde Graphite Inc., a corporation existing under the federal laws of Canada (\"NMG\" or the \"Issuer\"). Only those items that are hereby reported are amended; all other items reported in the Schedule 13D remain unchanged. Information given in response to each item shall be deemed incorporated by reference in all other items, as applicable. Capitalized terms not defined in this Amendment No. 2 have the meanings ascribed to them in the Schedule 13D. This Amendment No. 2 is being filed to reflect the dilution of the Reporting Person's beneficial ownership in the Issuer as a result of the Private Placement and Subscription Receipt Exchange described in Item 5 below, as well as the earlier dilution of the Reporting Person's beneficial ownership in the Issuer as a result of the Issuer Offering on December 20, 2024 described in Item 5 below. This filing constitutes a late filing with respect to the Issuer Offering due to administrative error." }, { "accession_no": "0001104659-26-063854", "person_seq": 0, "reporting_person_cik": 1810760, "reporting_person_name": "PEP VIII International Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3913813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3913813.0, "aggregate_amount_owned": 3913813.0, "percent_of_class": 2.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII International Ltd. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 1, "reporting_person_cik": 1810782, "reporting_person_name": "Providence Equity GP VIII L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3913813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3913813.0, "aggregate_amount_owned": 3913813.0, "percent_of_class": 2.2, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for Providence Equity GP VIII L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 2, "reporting_person_cik": 1810771, "reporting_person_name": "PEP VIII (Scotland) International Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 16211.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16211.0, "aggregate_amount_owned": 16211.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII (Scotland) International Ltd. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 3, "reporting_person_cik": 1810789, "reporting_person_name": "Providence Equity GP VIII (Scotland) L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16211.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16211.0, "aggregate_amount_owned": 16211.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for Providence Equity GP VIII (Scotland) L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 4, "reporting_person_cik": 1725159, "reporting_person_name": "Providence Equity Partners VIII-A L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1074292.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1074292.0, "aggregate_amount_owned": 1074292.0, "percent_of_class": 0.6, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for Providence Equity Partners VIII-A L.P.. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 5, "reporting_person_cik": 1745696, "reporting_person_name": "Providence Equity Partners VIII (Scotland) L.P.", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 16211.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16211.0, "aggregate_amount_owned": 16211.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for Providence Equity Partners VIII (Scotland) L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 6, "reporting_person_cik": 1810757, "reporting_person_name": "PEP VIII Intermediate 5 L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1573794.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1573794.0, "aggregate_amount_owned": 1573794.0, "percent_of_class": 0.9, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII Intermediate 5 L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 7, "reporting_person_cik": 1810758, "reporting_person_name": "PEP VIII Intermediate 6 L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 537914.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 537914.0, "aggregate_amount_owned": 537914.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII Intermediate 6 L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 8, "reporting_person_cik": 1810752, "reporting_person_name": "PEP VIII Advertising Co-Investment L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 711602.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 711602.0, "aggregate_amount_owned": 711602.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII Advertising Co-Investment L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 9, "reporting_person_cik": 1823889, "reporting_person_name": "PEP VIII GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3913813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3913813.0, "aggregate_amount_owned": 3913813.0, "percent_of_class": 2.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII GP LLC is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 10, "reporting_person_cik": 1823927, "reporting_person_name": "PEP VIII-A SPV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1074292.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1074292.0, "aggregate_amount_owned": 1074292.0, "percent_of_class": 0.6, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII-A SPV, L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 11, "reporting_person_cik": 1823928, "reporting_person_name": "PEP VIII (Scotland) SPV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16211.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16211.0, "aggregate_amount_owned": 16211.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII (Scotland) SPV, L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 12, "reporting_person_cik": 1823926, "reporting_person_name": "PEP VIII SPV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1573794.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1573794.0, "aggregate_amount_owned": 1573794.0, "percent_of_class": 0.9, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII SPV, L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 13, "reporting_person_cik": 1823929, "reporting_person_name": "PEP VIII-A AIV SPV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 537914.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 537914.0, "aggregate_amount_owned": 537914.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII-A AIV SPV, L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063854", "person_seq": 14, "reporting_person_cik": 1823832, "reporting_person_name": "PEP VIII Co-Invest SPV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 711602.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 711602.0, "aggregate_amount_owned": 711602.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": "Note to Row 4: See Item 3\n\nNote to rows 8, 10 and 11: See Item 5\n\nNote to row 13: The ownership percentage set forth herein for PEP VIII Co-Invest SPV, L.P. is calculated based on a total of 176,063,510 shares of Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-063914", "person_seq": 0, "reporting_person_cik": 1005788, "reporting_person_name": "Gary W. Rollins", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 1, "reporting_person_cik": 1820491, "reporting_person_name": "Gary W. Rollins Voting Trust U/A dated September 14, 1994", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 2, "reporting_person_cik": 1820515, "reporting_person_name": "R. Randall Rollins Voting Trust U/A dated August 25, 1994", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 3, "reporting_person_cik": 1212243, "reporting_person_name": "LOR, Inc.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 4, "reporting_person_cik": 1810975, "reporting_person_name": "RCTLOR, LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 5, "reporting_person_cik": 1228949, "reporting_person_name": "Rollins Holding Company, Inc.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 6, "reporting_person_cik": 1820068, "reporting_person_name": "WNEG Investments, L.P.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 7, "reporting_person_cik": 1383397, "reporting_person_name": "RFT Investment Company, LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 8, "reporting_person_cik": 1688726, "reporting_person_name": "Amy R. Kreisler", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 9, "reporting_person_cik": 1820059, "reporting_person_name": "The Gary W. Rollins Revocable Trust", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 10, "reporting_person_cik": 1632522, "reporting_person_name": "Pamela R. Rollins", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 11, "reporting_person_cik": 1689063, "reporting_person_name": "Timothy C. Rollins", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-063914", "person_seq": 12, "reporting_person_cik": 1228256, "reporting_person_name": "RFA Management Company, LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-063923", "person_seq": 0, "reporting_person_cik": 1851865, "reporting_person_name": "Novator Capital Sponsor Ltd.", "fund_type": "WC", "citizenship_or_org": "G4", "sole_voting_power": 659446.0, "shared_voting_power": 0.0, "sole_dispositive_power": 659446.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 659446.0, "percent_of_class": 5.02, "type_of_reporting_person": "OO", "comment_content": "(1) The reported shares beneficially owned include (i) 613,396 shares of Class A Common Stock; and (ii) 46,050 shares of Class A Common Stock issuable upon the exercise of warrants to purchase Class A Common Stock of the Issuer (the \"Warrants\"). As adjusted for the Reverse Stock Split, each whole share of Class A Common Stock underlying the Warrants is exercisable at a price of $575.00 per share, subject to adjustment. The Warrants expire on August 22, 2028.\n\n(2) The reported percent of class represented is calculated based upon 13,086,244 shares of Class A Common Stock outstanding as of May 1, 2026, as reported by the Issuer in its Form 10-Q filed with the SEC on May 11, 2026, plus the 46,050 shares of Class A common stock issuable upon the exercise of the Warrants held by the Reporting Person." }, { "accession_no": "0001104659-26-063923", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "The Telco Holding Trust", "fund_type": "WC", "citizenship_or_org": "G4", "sole_voting_power": 298756.0, "shared_voting_power": 0.0, "sole_dispositive_power": 298756.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 298756.0, "percent_of_class": 2.28, "type_of_reporting_person": "OO", "comment_content": "(1) The reported shares beneficially owned include 298,756 shares of Class A Common Stock.\n\n(2) The reported percent of class represented is calculated based upon 13,086,244 shares of Class A Common Stock outstanding as of May 1, 2026, as reported by the Issuer in its Form 10-Q filed with the SEC on May 11, 2026." }, { "accession_no": "0001104659-26-063923", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Thor Bjorgolfsson", "fund_type": "WC", "citizenship_or_org": "K6", "sole_voting_power": 958202.0, "shared_voting_power": 0.0, "sole_dispositive_power": 958202.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 958202.0, "percent_of_class": 7.3, "type_of_reporting_person": "IN", "comment_content": "(1) The reported shares beneficially owned include (i) 912,152 shares of Class A Common Stock held of record by Novator Capital Sponsor Ltd., a Cyprus limited liability company (\"NCSL\"); (ii) 46,050 shares of Class A Common Stock issuable upon the exercise of Warrants held of record by NCSL; and (iii) 298,756 shares of Class A Common Stock held of record by the irrevocable discretionary trust known as The Telco Holding Trust (the \"The Telco Holding Trust\") for which BB Trustees S.A. acts as trustee; the directors of such trust are Peter Mitchell, Arnaud Cywie and Alessandro Passardi. As adjusted for the Reverse Stock Split, each whole share of Class A Common Stock underlying the Warrants is exercisable at a price of $575.00 per share, subject to adjustment. The Warrants expire on August 22, 2028.\n\n(2) The securities beneficially owned are held directly by NCSL and The Telco Holding Trust and Thor Bjorgolfsson may be deemed to have dispositive and voting control over those securities. NCSL is indirectly 99.9% owned by the irrevocable discretionary trust known as The Future Holdings Trust for which BB Trust Company SA acts as trustee; the directors of such trust are Alessandro Passardi, Peter Mitchell and Arnaud Cywie. Mr. Bjorgolfsson disclaims beneficial ownership of the shares owned by NCSL and The Telco Holding Trust.\n\n(3) The reported percent of class represented is calculated based upon 13,086,244 shares of Class A Common Stock outstanding as of May 1, 2026, as reported by the Issuer in its Form 10-Q filed with the SEC on May 11, 2026, plus the 46,050 shares of Class A common stock issuable upon the exercise of the Warrants held by the Reporting Person." }, { "accession_no": "0001104659-26-064061", "person_seq": 0, "reporting_person_cik": 1569725, "reporting_person_name": "David Capital Partners, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2547000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2615421.08, "aggregate_amount_owned": 2615421.08, "percent_of_class": 9.0, "type_of_reporting_person": "IA", "comment_content": "Number of shares beneficially owned by David Capital Partners, LLC with shared dispositive power includes 68,421.08 shares of Common Stock that may be acquired upon the conversion of Class D Preferred Stock, par value $0.01 per share (the \"Preferred Stock\"), held by DCP Special. The Preferred Stock is convertible into shares of Common Stock at an initial conversion price of $9.50 per share (or 2.63158 shares of Common Stock for each share of Preferred Stock), subject to customary adjustments, at the option of the holder." }, { "accession_no": "0001104659-26-064061", "person_seq": 1, "reporting_person_cik": 1532695, "reporting_person_name": "David Capital Partners Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1023000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1023000.0, "aggregate_amount_owned": 1023000.0, "percent_of_class": 3.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-064061", "person_seq": 2, "reporting_person_cik": 2054170, "reporting_person_name": "David Capital Partners Special Situation Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1524000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1592421.08, "aggregate_amount_owned": 1592421.08, "percent_of_class": 5.5, "type_of_reporting_person": "PN", "comment_content": "Number of shares beneficially owned by DCP Special with shared dispositive power includes 68,421.08 shares of Common Stock that may be acquired upon the conversion of Preferred Stock. The Preferred Stock is convertible into shares of Common Stock at an initial conversion price of $9.50 per share (or 2.63158 shares of Common Stock for each share of Preferred Stock), subject to customary adjustments, at the option of the holder." }, { "accession_no": "0001104659-26-064061", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Adam J. Patinkin", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2547000.0, "sole_dispositive_power": 400000.0, "shared_dispositive_power": 2615421.08, "aggregate_amount_owned": 3015421.08, "percent_of_class": 10.3, "type_of_reporting_person": "IN", "comment_content": "Number of shares beneficially owned by Mr. Patinkin with sole dispositive power includes 400,000 shares of Common Stock that may be acquired pursuant to the exercise of stock options held by Mr. Patinkin. Number of shares beneficially owned by Mr. Patinkin with shared dispositive power includes 68,421.08 shares of Common Stock that may be acquired upon the conversion of Preferred Stock held by DCP Special. The Preferred Stock is convertible into shares of Common Stock at an initial conversion price of $9.50 per share (or 2.63158 shares of Common Stock for each share of Preferred Stock), subject to customary adjustments, at the option of the holder." }, { "accession_no": "0001104659-26-064511", "person_seq": 0, "reporting_person_cik": 1880796, "reporting_person_name": "AE Red Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2119271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2119271.0, "aggregate_amount_owned": 2119271.0, "percent_of_class": 1.1, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 each represent (i) 107,469 shares of Common Stock, (ii) 2,000,000 shares of Common Stock issuable upon the exercise of 2,000,000 warrants to acquire one share of Common Stock (\"Warrants\") and (iii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026.\n\nThe calculation for Row 13 is based upon 198,918,728 shares of Common Stock of the Issuer issued and outstanding as of May 1, 2026, as reported on the Issuer's most recent Form 10-Q, filed on May 7, 2026 plus (i) 2,000,000 shares of Common Stock underlying 2,000,000 Warrants and (ii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026." }, { "accession_no": "0001104659-26-064511", "person_seq": 1, "reporting_person_cik": 1881294, "reporting_person_name": "Michael Robert Greene", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2119271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2119271.0, "aggregate_amount_owned": 2119271.0, "percent_of_class": 1.1, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11 each represent (i) 107,469 shares of Common Stock, (ii) 2,000,000 shares of Common Stock issuable upon the exercise of 2,000,000 Warrants and (iii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026.\n\nThe calculation for Row 13 is based upon 198,918,728 shares of Common Stock of the Issuer issued and outstanding as of May 1, 2026, as reported on the Issuer's most recent Form 10-Q, filed on May 7, 2026 plus (i) 2,000,000 shares of Common Stock underlying 2,000,000 Warrants and (ii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026." }, { "accession_no": "0001104659-26-064511", "person_seq": 2, "reporting_person_cik": 1880788, "reporting_person_name": "David H Rowe", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2119271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2119271.0, "aggregate_amount_owned": 2119271.0, "percent_of_class": 1.1, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11 each represent (i) 107,469 shares of Common Stock, (ii) 2,000,000 shares of Common Stock issuable upon the exercise of 2,000,000 Warrants and (iii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026.\n\nThe calculation for Row 13 is based upon 198,918,728 shares of Common Stock of the Issuer issued and outstanding as of May 1, 2026, as reported on the Issuer's most recent Form 10-Q, filed on May 7, 2026 plus (i) 2,000,000 shares of Common Stock underlying 2,000,000 Warrants and (ii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026." }, { "accession_no": "0001104659-26-064511", "person_seq": 3, "reporting_person_cik": 1732535, "reporting_person_name": "AE INDUSTRIAL PARTNERS FUND II-B, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2119271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2119271.0, "aggregate_amount_owned": 2119271.0, "percent_of_class": 1.1, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 each represent (i) 107,469 shares of Common Stock, (ii) 2,000,000 shares of Common Stock issuable upon the exercise of 2,000,000 Warrants and (iii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026.\n\nThe calculation for Row 13 is based upon 198,918,728 shares of Common Stock of the Issuer issued and outstanding as of May 1, 2026, as reported on the Issuer's most recent Form 10-Q, filed on May 7, 2026 plus (i) 2,000,000 shares of Common Stock underlying 2,000,000 Warrants and (ii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026." }, { "accession_no": "0001104659-26-064511", "person_seq": 4, "reporting_person_cik": 1732533, "reporting_person_name": "AE INDUSTRIAL PARTNERS FUND II, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2119271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2119271.0, "aggregate_amount_owned": 2119271.0, "percent_of_class": 1.1, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 each represent (i) 107,469 shares of Common Stock, (ii) 2,000,000 shares of Common Stock issuable upon the exercise of 2,000,000 Warrants and (iii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026.\n\nThe calculation for Row 13 is based upon 198,918,728 shares of Common Stock of the Issuer issued and outstanding as of May 1, 2026, as reported on the Issuer's most recent Form 10-Q, filed on May 7, 2026 plus (i) 2,000,000 shares of Common Stock underlying 2,000,000 Warrants and (ii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026." }, { "accession_no": "0001104659-26-064511", "person_seq": 5, "reporting_person_cik": 1732534, "reporting_person_name": "AE INDUSTRIAL PARTNERS FUND II-A, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2119271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2119271.0, "aggregate_amount_owned": 2119271.0, "percent_of_class": 1.1, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 each represent (i) 107,469 shares of Common Stock, (ii) 2,000,000 shares of Common Stock issuable upon the exercise of 2,000,000 Warrants and (iii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026.\n\nThe calculation for Row 13 is based upon 198,918,728 shares of Common Stock of the Issuer issued and outstanding as of May 1, 2026, as reported on the Issuer's most recent Form 10-Q, filed on May 7, 2026 plus (i) 2,000,000 shares of Common Stock underlying 2,000,000 Warrants and (ii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026." }, { "accession_no": "0001104659-26-064511", "person_seq": 6, "reporting_person_cik": 1804072, "reporting_person_name": "AE INDUSTRIAL PARTNERS STRUCTURED SOLUTIONS I, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-064511", "person_seq": 7, "reporting_person_cik": 1880792, "reporting_person_name": "AEROEQUITY GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2119271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2119271.0, "aggregate_amount_owned": 2119271.0, "percent_of_class": 1.1, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 each represent (i) 107,469 shares of Common Stock, (ii) 2,000,000 shares of Common Stock issuable upon the exercise of 2,000,000 Warrants and (iii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026.\n\nThe calculation for Row 13 is based upon 198,918,728 shares of Common Stock of the Issuer issued and outstanding as of May 1, 2026, as reported on the Issuer's most recent Form 10-Q, filed on May 7, 2026 plus (i) 2,000,000 shares of Common Stock underlying 2,000,000 Warrants and (ii) 11,802 shares of Common Stock issuable in respect of restricted stock units that vest on May 22, 2026." }, { "accession_no": "0001104659-26-064938", "person_seq": 0, "reporting_person_cik": 897485, "reporting_person_name": "Peter R. Kellogg", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 25380929.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25380929.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 24469540.0, "percent_of_class": 37.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-065674", "person_seq": 0, "reporting_person_cik": 850401, "reporting_person_name": "The TCW Group, Inc., on behalf of the TCW Business Unit", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 18942059.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18942059.0, "aggregate_amount_owned": 18942059.0, "percent_of_class": 13.7, "type_of_reporting_person": "CO", "comment_content": "Row 13. The calculation of the percentage of beneficial ownership is based on (i) 118,963,696 shares of Common Stock (as defined below) outstanding as of May 19, 2026 as disclosed by the Issuer to the TCW Business Unit, plus (ii) 18,942,059 shares of Common Stock issuable upon exercise of the Warrants (as defined below)." }, { "accession_no": "0001104659-26-065746", "person_seq": 0, "reporting_person_cik": 1601607, "reporting_person_name": "BFI Co., LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19552186.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19552186.0, "aggregate_amount_owned": 19552186.0, "percent_of_class": 48.2, "type_of_reporting_person": "HC", "comment_content": "The Reporting Person holds 56,152 shares of Class A Common Stock, par value $0.0001 per share (\"Class A Common Stock\"), and 19,496,034 shares of Class B Common Stock, par value $0.0001 per share (\"Class B Common Stock\" and, together with the Class A Common Stock, the \"Common Stock\") as of May 22, 2026. Class B Common Stock is convertible into Class A Common Stock at any time after issuance on a one-for-one basis, and has no expiration date. Class B Common Stock has economic rights identical to Class A Common Stock and entitles the record holder to ten (10) votes per share of Class B Common Stock on all matters to be voted on by stockholders generally. Class A Common Stock entitles the record holder to one (1) vote per share of Class A Common Stock.\n\nAll percentages are calculated using a fraction, the numerator of which is the total number of shares of Common Stock set forth above and the denominator of which is 40,564,716, which is equal to the sum of 21,068,682 shares of Class A Common Stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q for the quarter ended March 31, 2026, filed on May 6, 2026, plus 19,496,034 shares of Class A Common Stock issuable upon conversion of Class B Common Stock beneficially owned by the Reporting Person." }, { "accession_no": "0001104659-26-065746", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Jack C. Bendheim", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 19552186.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19552186.0, "aggregate_amount_owned": 19552186.0, "percent_of_class": 48.2, "type_of_reporting_person": "IN", "comment_content": "The reported securities represent 19,552,186 shares of Common Stock directly held by BFI Co., LLC (\"BFI\"). Mr. Bendheim exercises voting and dispositive power over BFI and may be deemed to have shared voting and investment power over the securities held by BFI. Mr. Bendheim may be deemed to be the beneficial owner of 56,152 shares of Class A Common Stock and 19,496,034 shares of Class B Common Stock as of May 22, 2026. Class B Common Stock has economic rights identical to Class A Common Stock and entitles the record holder to ten (10) votes per share of Class B Common Stock on all matters to be voted on by stockholders generally. Class A Common Stock entitles the record holder to one (1) vote per share of Class A Common Stock.\n\nAll percentages are calculated using a fraction, the numerator of which is the total number of shares of Common Stock set forth above and the denominator of which is 40,564,716, which is equal to the sum of 21,068,682 shares of Class A Common Stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q for the quarter ended March 31, 2026, filed on May 6, 2026, plus 19,496,034 shares of Class A Common Stock issuable upon conversion of Class B Common Stock beneficially owned by the Reporting Person." }, { "accession_no": "0001104659-26-065757", "person_seq": 0, "reporting_person_cik": 1005788, "reporting_person_name": "Gary W. Rollins", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 169626.0, "shared_voting_power": 533777.0, "sole_dispositive_power": 169626.0, "shared_dispositive_power": 533777.0, "aggregate_amount_owned": 703403.0, "percent_of_class": 2.9, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11, 13:\n\nIncludes the following shares of Company common stock: (a) 75,923 shares held by WNEG Investments, L.P., a Georgia limited partnership, (Mr. Gary Rollins is the sole member of the sole general partner of WNEG Investments, L.P.); (b) 50,842 shares held by The Gary W. Rollins Revocable Trust, as to which he is the sole trustee; (c) 405,967 shares held by four trusts (the \"Rollins Family Trusts\") for the benefit of (i) the children and/or more remote descendants and family members of his deceased brother, Mr. R. Randall Rollins, and (ii) a private charitable organization founded by R. Randall Rollins (the trustee of the Rollins Family Trusts is a corporation over which Gary W. Rollins has the ability to assert control within sixty days); and (d) 1,045 shares held by his spouse. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nRow 13:\n\nThis percentage is calculated based on 24,435,337 shares of Common Stock estimated to be issued and outstanding following the completion of the Merger (as described in Item 4 below), which include (i) 16,279,890 shares of Common Stock issued and outstanding as of May 1, 2026, as reported in the Company's Quarterly Report on Form 10-Q for the quarterly period ended March 29, 2026, filed with the Securities and Exchange Commission (\"SEC\") on May 7, 2026 (the \"Quarterly Report\") and (ii) the Company's estimate of 8,155,447 shares of Common Stock to be issued upon completion of the Merger, as reported in the Company's Rule 424(b)(3) prospectus filed with the SEC on April 2, 2026 (collectively, the \"Estimated Outstanding Shares\")." }, { "accession_no": "0001104659-26-065757", "person_seq": 1, "reporting_person_cik": 1820491, "reporting_person_name": "Gary W. Rollins Voting Trust U/A dated September 14, 1994", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4872448.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4872448.0, "aggregate_amount_owned": 4872448.0, "percent_of_class": 19.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10, 11, 13:\n\nIncludes the following shares of Common Stock: (a) 4,440,070 shares held by LOR, Inc., a Georgia corporation (the Gary W. Rollins Voting Trust U/A dated September 14, 1994 (the \"GWR Voting Trust\") has a 50% voting interest in LOR, Inc.); (b) 36,386 shares held by RFA Management Company, LLC, a Georgia limited liability company, the manager of which is LOR, Inc.; (c) 247,190 shares held by RCTLOR, LLC, a Georgia limited liability company, (LOR, Inc. is the manager of RCTLOR, LLC); (d) 69,115 shares held by RFT Investment Company, LLC, of which LOR, Inc. is the manager; and (e) 79,687 shares held by Rollins Holding Company, Inc., a Georgia corporation, (the GWR Voting Trust has a 50% voting interest in Rollins Holding Company, Inc.). The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nRow 13:\n\nThis percentage is calculated based on Estimated Outstanding Shares." }, { "accession_no": "0001104659-26-065757", "person_seq": 2, "reporting_person_cik": 1820515, "reporting_person_name": "R. Randall Rollins Voting Trust U/A dated August 25, 1994", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 18.0, "shared_voting_power": 4872448.0, "sole_dispositive_power": 18.0, "shared_dispositive_power": 4872448.0, "aggregate_amount_owned": 4872466.0, "percent_of_class": 19.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10, 11, 13:\n\nIncludes the following shares of Common Stock: (a) 4,440,070 shares held by LOR, Inc., a Georgia corporation (the R. Randall Rollins Voting Trust U/A dated August 25, 1994 (the \"RRR Voting Trust\") has a 50% voting interest in LOR, Inc.); (b) 36,386 shares held by RFA Management Company, LLC, a Georgia limited liability company, the manager of which is LOR, Inc.; (c) 247,190 shares held by RCTLOR, LLC, a Georgia limited liability company, (LOR, Inc. is the manager of RCTLOR, LLC); (d) 69,115 shares held by RFT Investment Company, LLC, of which LOR, Inc. is the manager; and (e) 79,687 shares held by Rollins Holding Company, Inc., a Georgia corporation, (the RRR Voting Trust has a 50% voting interest in Rollins Holding Company, Inc.). The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nRow 13:\n\nThis percentage is calculated based on Estimated Outstanding Shares." }, { "accession_no": "0001104659-26-065757", "person_seq": 3, "reporting_person_cik": 1212243, "reporting_person_name": "LOR, Inc.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4440070.0, "shared_voting_power": 352691.0, "sole_dispositive_power": 4440070.0, "shared_dispositive_power": 352691.0, "aggregate_amount_owned": 4792761.0, "percent_of_class": 19.6, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10, 11, 13:\n\nIncludes the following shares of Company common stock: (a) 36,386 shares held by RFA Management Company, LLC, a Georgia limited liability company, the manager of which is LOR, Inc.; (b) 247,190 shares held by RCTLOR, LLC, a Georgia limited liability company, (LOR, Inc. is the manager of RCTLOR, LLC); and (c) 69,115 shares held by RFT Investment Company, LLC, of which LOR, Inc. is the manager. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nRow 13:\n\nThis percentage is calculated based on Estimated Outstanding Shares." }, { "accession_no": "0001104659-26-065757", "person_seq": 4, "reporting_person_cik": 1688726, "reporting_person_name": "Amy R. Kreisler", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 20893.0, "shared_voting_power": 2881.0, "sole_dispositive_power": 20893.0, "shared_dispositive_power": 2881.0, "aggregate_amount_owned": 23774.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11, 13:\n\nIncludes 2,881 shares of Common Stock held by six trusts benefitting the grandchildren and more remote descendants of her deceased father, R. Randall Rollins (Ms. Kreisler is a trustee of each such trust; these six trusts, along with five other similar trusts, the \"1976 RRR Trusts\").\n\nRow 13:\n\nThis percentage is calculated based on Estimated Outstanding Shares." }, { "accession_no": "0001104659-26-065757", "person_seq": 5, "reporting_person_cik": 1632522, "reporting_person_name": "Pamela R. Rollins", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 29357.0, "shared_voting_power": 6458.0, "sole_dispositive_power": 29357.0, "shared_dispositive_power": 6458.0, "aggregate_amount_owned": 35815.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11, 13:\n\nIncludes 6,458 shares of Common Stock held by nine of the 1976 RRR Trusts (Ms. Rollins is a trustee of each such trust).\n\nRow 13:\n\nThis percentage is calculated based on Estimated Outstanding Shares." }, { "accession_no": "0001104659-26-065757", "person_seq": 6, "reporting_person_cik": 1689063, "reporting_person_name": "Timothy C. Rollins", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 15737.0, "shared_voting_power": 6179.0, "sole_dispositive_power": 15737.0, "shared_dispositive_power": 6179.0, "aggregate_amount_owned": 21916.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11, 13:\n\nIncludes the following shares of Common Stock: (a) 65 shares of Common Stock held by his spouse, (b) 299 shares held of record by a minor child under a Uniform Transfers to Minors Act account, over which he possesses voting and dispositive power as custodian of the account and (c) 5,815 shares held by seven of the 1976 RRR Trusts (Mr. Rollins is a trustee of each such trust). The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nRow 13:\n\nThis percentage is calculated based on Estimated Outstanding Shares." }, { "accession_no": "0001104659-26-065866", "person_seq": 0, "reporting_person_cik": 1279151, "reporting_person_name": "LUMINUS MANAGEMENT, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13574690.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13574690.0, "aggregate_amount_owned": 13574690.0, "percent_of_class": 39.3, "type_of_reporting_person": "IA", "comment_content": "1. The number of shares reported above includes (i) 1,069,455 shares of Common Stock owned directly by Master Fund, (ii) 2,361,487 shares of Common Stock issuable upon conversion or redemption of 13,336 shares of Series A Preferred Stock issued to Master Fund pursuant to the Series A Purchase Agreement (as discussed in Item 3), (iii) 3,962,723 shares of Common Stock issuable upon conversion or redemption of 20,269 shares of Series A-1 Preferred Stock issued to Master Fund pursuant to the Series A-1 Purchase Agreement (as discussed in Item 3), (iv) 2,160,226 shares of Common Stock issuable upon conversion or redemption of 9,408 shares of Series A-2 Preferred Stock issued to Master Fund pursuant to the Series A-2 Purchase Agreement (as discussed in Item 3), (v) 1,968,326 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-3 Preferred Stock issued to Master Fund pursuant to the Series A-3 Purchase Agreement (as discussed in Item 3) and (vi) 2,052,473 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-4 Preferred Stock issued to Master Fund pursuant to the Series A-4 Purchase Agreement (as discussed in Item 3). Neither the filing of this statement on Schedule 13D nor any of its contents shall be deemed to constitute an admission by any Reporting Person hereto that it is the beneficial owner of any Common Stock for purposes of Section 13(d) of the Act or for any other purpose, and such beneficial ownership is hereby expressly disclaimed. The Reporting Persons are party to certain agreements with the Voting Agreement Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Persons may be deemed to be members of a \"group,\" within the meaning of Section 13d-5 of the Act, comprised of the Reporting Persons and the Voting Agreement Members. Shares listed as beneficially owned by each Reporting Person exclude shares held by any of the Voting Agreement Members. The Reporting Persons hereby expressly disclaim beneficial ownership of any Common Stock beneficially owned by any of the Voting Agreement Members or any other person, and do not affirm membership in a \"group\" (within the meaning of Rule 13d-5 of the Act) with any of the Voting Agreement Members or any other person, and this Schedule 13D shall not be construed as acknowledging that the Reporting Persons, for any or all purposes, beneficially owns any Common Stock beneficially owned by any of the Voting Agreement Members or any other person or is a member of a group with any of the Voting Agreement Members or any other person.\n\n2. Percentage based on (i) 22,018,849 outstanding shares of Common Stock as of May 8, 2026, based on the number of shares outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the SEC on May 13, 2026, plus (ii) (a) 2,361,487 shares of Common Stock issuable upon conversion or redemption of 13,336 shares of Series A Preferred Stock issued to Master Fund, (b) 3,962,723 shares of Common Stock issuable upon conversion or redemption of 20,269 shares of Series A-1 Preferred Stock owned directly by Master Fund, (c) 2,160,226 shares of Common Stock issuable upon conversion or redemption of 9,408 shares of Series A-2 Preferred Stock issued to Master Fund, (d) 1,968,326 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-3 Preferred Stock owned directly by Master Fund, and (e) 2,052,473 shares of Common Stock issuable upon conversion or redemption of the shares of Series A-4 Preferred Stock owned directly by Master Fund." }, { "accession_no": "0001104659-26-065866", "person_seq": 1, "reporting_person_cik": 1405850, "reporting_person_name": "LUMINUS ENERGY PARTNERS MASTER FUND, LTD.", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 13574690.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13574690.0, "aggregate_amount_owned": 13574690.0, "percent_of_class": 39.3, "type_of_reporting_person": "OO", "comment_content": "1. The number of shares reported above includes (i) 1,069,455 shares of Common Stock owned directly by Master Fund, (ii) 2,361,487 shares of Common Stock issuable upon conversion or redemption of 13,336 shares of Series A Preferred Stock issued to Master Fund pursuant to the Series A Purchase Agreement (as discussed in Item 3), (iii) 3,962,723 shares of Common Stock issuable upon conversion or redemption of 20,269 shares of Series A-1 Preferred Stock issued to Master Fund pursuant to the Series A-1 Purchase Agreement (as discussed in Item 3), (iv) 2,160,226 shares of Common Stock issuable upon conversion or redemption of 9,408 shares of Series A-2 Preferred Stock issued to Master Fund pursuant to the Series A-2 Purchase Agreement (as discussed in Item 3), (v) 1,968,326 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-3 Preferred Stock issued to Master Fund pursuant to the Series A-3 Purchase Agreement (as discussed in Item 3) and (vi) 2,052,473 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-4 Preferred Stock issued to Master Fund pursuant to the Series A-4 Purchase Agreement (as discussed in Item 3). Neither the filing of this statement on Schedule 13D nor any of its contents shall be deemed to constitute an admission by any Reporting Person hereto that it is the beneficial owner of any Common Stock for purposes of Section 13(d) of the Act or for any other purpose, and such beneficial ownership is hereby expressly disclaimed. The Reporting Persons are party to certain agreements with the Voting Agreement Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Persons may be deemed to be members of a \"group,\" within the meaning of Section 13d-5 of the Act, comprised of the Reporting Persons and the Voting Agreement Members. Shares listed as beneficially owned by each Reporting Person exclude shares held by any of the Voting Agreement Members. The Reporting Persons hereby expressly disclaim beneficial ownership of any Common Stock beneficially owned by any of the Voting Agreement Members or any other person, and do not affirm membership in a \"group\" (within the meaning of Rule 13d-5 of the Act) with any of the Voting Agreement Members or any other person, and this Schedule 13D shall not be construed as acknowledging that the Reporting Persons, for any or all purposes, beneficially owns any Common Stock beneficially owned by any of the Voting Agreement Members or any other person or is a member of a group with any of the Voting Agreement Members or any other person.\n\n2. Percentage based on (i) 22,018,849 outstanding shares of Common Stock as of May 8, 2026, based on the number of shares outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the SEC on May 13, 2026, plus (ii) (a) 2,361,487 shares of Common Stock issuable upon conversion or redemption of 13,336 shares of Series A Preferred Stock issued to Master Fund, (b) 3,962,723 shares of Common Stock issuable upon conversion or redemption of 20,269 shares of Series A-1 Preferred Stock owned directly by Master Fund, (c) 2,160,226 shares of Common Stock issuable upon conversion or redemption of 9,408 shares of Series A-2 Preferred Stock issued to Master Fund, (d) 1,968,326 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-3 Preferred Stock owned directly by Master Fund, and (e) 2,052,473 shares of Common Stock issuable upon conversion or redemption of the shares of Series A-4 Preferred Stock owned directly by Master Fund." }, { "accession_no": "0001104659-26-065866", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "JONATHAN BARRETT", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 13574690.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13574690.0, "aggregate_amount_owned": 13574690.0, "percent_of_class": 39.3, "type_of_reporting_person": "OO", "comment_content": "1. The number of shares reported above includes (i) 1,069,455 shares of Common Stock owned directly by Master Fund, (ii) 2,361,487 shares of Common Stock issuable upon conversion or redemption of 13,336 shares of Series A Preferred Stock issued to Master Fund pursuant to the Series A Purchase Agreement (as discussed in Item 3), (iii) 3,962,723 shares of Common Stock issuable upon conversion or redemption of 20,269 shares of Series A-1 Preferred Stock issued to Master Fund pursuant to the Series A-1 Purchase Agreement (as discussed in Item 3), (iv) 2,160,226 shares of Common Stock issuable upon conversion or redemption of 9,408 shares of Series A-2 Preferred Stock issued to Master Fund pursuant to the Series A-2 Purchase Agreement (as discussed in Item 3), (v) 1,968,326 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-3 Preferred Stock issued to Master Fund pursuant to the Series A-3 Purchase Agreement (as discussed in Item 3) and (vi) 2,052,473 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-4 Preferred Stock issued to Master Fund pursuant to the Series A-4 Purchase Agreement (as discussed in Item 3). Neither the filing of this statement on Schedule 13D nor any of its contents shall be deemed to constitute an admission by any Reporting Person hereto that it is the beneficial owner of any Common Stock for purposes of Section 13(d) of the Act or for any other purpose, and such beneficial ownership is hereby expressly disclaimed. The Reporting Persons are party to certain agreements with the Voting Agreement Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Persons may be deemed to be members of a \"group,\" within the meaning of Section 13d-5 of the Act, comprised of the Reporting Persons and the Voting Agreement Members. Shares listed as beneficially owned by each Reporting Person exclude shares held by any of the Voting Agreement Members. The Reporting Persons hereby expressly disclaim beneficial ownership of any Common Stock beneficially owned by any of the Voting Agreement Members or any other person, and do not affirm membership in a \"group\" (within the meaning of Rule 13d-5 of the Act) with any of the Voting Agreement Members or any other person, and this Schedule 13D shall not be construed as acknowledging that the Reporting Persons, for any or all purposes, beneficially owns any Common Stock beneficially owned by any of the Voting Agreement Members or any other person or is a member of a group with any of the Voting Agreement Members or any other person.\n\n2. Percentage based on (i) 22,018,849 outstanding shares of Common Stock as of May 8, 2026, based on the number of shares outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the SEC on May 13, 2026, plus (ii) (a) 2,361,487 shares of Common Stock issuable upon conversion or redemption of 13,336 shares of Series A Preferred Stock issued to Master Fund, (b) 3,962,723 shares of Common Stock issuable upon conversion or redemption of 20,269 shares of Series A-1 Preferred Stock owned directly by Master Fund, (c) 2,160,226 shares of Common Stock issuable upon conversion or redemption of 9,408 shares of Series A-2 Preferred Stock issued to Master Fund, (d) 1,968,326 shares of Common Stock issuable upon conversion or redemption of 9,835 shares of Series A-3 Preferred Stock owned directly by Master Fund, and (e) 2,052,473 shares of Common Stock issuable upon conversion or redemption of the shares of Series A-4 Preferred Stock owned directly by Master Fund." }, { "accession_no": "0001104659-26-066009", "person_seq": 0, "reporting_person_cik": 2023157, "reporting_person_name": "Anette Schmid", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 35388004.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35388004.0, "aggregate_amount_owned": 35388004.0, "percent_of_class": 41.76, "type_of_reporting_person": "IN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 63,733,430, and a total of 21,000,000 outstanding private and public warrants, a total of 84,733,430 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 16 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-066009", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Schmid Aequitas GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 15680589.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15680589.0, "aggregate_amount_owned": 15680589.0, "percent_of_class": 18.51, "type_of_reporting_person": "PN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 63,733,430, and a total of 21,000,000 outstanding private and public warrants, a total of 84,733,430 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 16 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-066009", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Schmid Grundstucke GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 1028074.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1028074.0, "aggregate_amount_owned": 1028074.0, "percent_of_class": 1.21, "type_of_reporting_person": "PN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 63,733,430, and a total of 21,000,000 outstanding private and public warrants, a total of 84,733,430 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 16 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-066009", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Christian Schmid", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 35388004.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35388004.0, "aggregate_amount_owned": 35388004.0, "percent_of_class": 41.76, "type_of_reporting_person": "IN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 63,733,430, and a total of 21,000,000 outstanding private and public warrants, a total of 84,733,430 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 16 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-066009", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "C. Schmid Beteiligung GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 19585322.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19585322.0, "aggregate_amount_owned": 19585322.0, "percent_of_class": 21.93, "type_of_reporting_person": "PN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 63,733,430, and a total of 21,000,000 outstanding private and public warrants, a total of 84,733,430 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, or the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 16 million in convertible notes have been converted to date, as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-066263", "person_seq": 0, "reporting_person_cik": 1882923, "reporting_person_name": "Heritage Assets SCSp", "fund_type": "AF", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 9249963.8, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9249963.8, "aggregate_amount_owned": 9249963.8, "percent_of_class": 38.4, "type_of_reporting_person": "OO", "comment_content": "(Rows 8, 10 and 11) On a post-Reverse Stock Split (as defined herein) basis. On September 19, 2024, Arqit Quantum Inc., a Cayman Islands exempted limited liability company (\"Arqit\"), announced the implementation of a reverse stock split whereby every 25 outstanding ordinary shares of Arqit were consolidated into one ordinary share, par value $0.0025 per share (the \"Ordinary Shares\") (such consolidation, the \"Reverse Stock Split\"). The Ordinary Shares began trading on the Nasdaq Capital Market on a post-Reverse Stock Split basis on September 25, 2024. The CUSIP of the Ordinary Shares following the Reverse Stock Split is G0567U127." }, { "accession_no": "0001104659-26-066263", "person_seq": 1, "reporting_person_cik": 1882928, "reporting_person_name": "M Management S.A.", "fund_type": "AF", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 9249963.8, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9249963.8, "aggregate_amount_owned": 9249963.8, "percent_of_class": 38.4, "type_of_reporting_person": "OO", "comment_content": "(Rows 8, 10 and 11) On a post-Reverse Stock Split basis. The Ordinary Shares began trading on the Nasdaq Capital Market on a post-Reverse Stock Split basis on September 25, 2024. The CUSIP of the Ordinary Shares following the Reverse Stock Split is G0567U127." }, { "accession_no": "0001104659-26-066263", "person_seq": 2, "reporting_person_cik": 1840678, "reporting_person_name": "Manfredi Lefebvre d'Ovidio", "fund_type": "AF", "citizenship_or_org": "L6", "sole_voting_power": 48350.0, "shared_voting_power": 9249963.8, "sole_dispositive_power": 48350.0, "shared_dispositive_power": 9249963.8, "aggregate_amount_owned": 9298313.8, "percent_of_class": 38.6, "type_of_reporting_person": "IN", "comment_content": "(Rows 8, 10 and 11) On a post-Reverse Stock Split basis. The Ordinary Shares began trading on the Nasdaq Capital Market on a post-Reverse Stock Split basis on September 25, 2024. The CUSIP of the Ordinary Shares following the Reverse Stock Split is G0567U127." }, { "accession_no": "0001104659-26-066339", "person_seq": 0, "reporting_person_cik": 1263508, "reporting_person_name": "Baker Bros. Advisors LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 3231181.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3231181.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3231181.0, "percent_of_class": 6.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-066339", "person_seq": 1, "reporting_person_cik": 1580575, "reporting_person_name": "Baker Bros. Advisors (GP) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 3231181.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3231181.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3231181.0, "percent_of_class": 6.9, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001104659-26-066339", "person_seq": 2, "reporting_person_cik": 1087939, "reporting_person_name": "Julian C. Baker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3253341.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3253341.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3253341.0, "percent_of_class": 7.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-066339", "person_seq": 3, "reporting_person_cik": 1087940, "reporting_person_name": "Felix J. Baker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3253341.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3253341.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3253341.0, "percent_of_class": 7.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-066339", "person_seq": 4, "reporting_person_cik": 1625395, "reporting_person_name": "FBB3 LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 7320.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7320.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7320.0, "percent_of_class": 0.02, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-066389", "person_seq": 0, "reporting_person_cik": 1849588, "reporting_person_name": "PEP TG INVESTMENTS LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 130064.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 130064.0, "aggregate_amount_owned": 130064.0, "percent_of_class": 0.07, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11: For all cover pages of this Amendment No. 4, see Item 5 of this Amendment No. 4.\n\nThe ownership percentage set forth herein for PEP TG Investments LP is calculated based on a total of 179,887,627 shares of Common Stock, par value $0.01 per share (the \"Common Stock\"), of Callaway Golf Company (the \"Issuer\") deemed issued and outstanding, which includes (i) 179,757,563 shares of Common Stock outstanding as of April 30, 2026, as set forth in the Issuer's Form 10-Q for the quarterly period ended March 31, 2026 filed with the Securities and Exchange Commission (the \"SEC\") on May 8, 2026 (the \"2026 Q1 10-Q\"), and (ii) 130,064 shares of Common Stock issuable upon the exercise in full of the Warrant (as defined in Item 3 of the Schedule 13D)." }, { "accession_no": "0001104659-26-066389", "person_seq": 1, "reporting_person_cik": 1849690, "reporting_person_name": "PEP TG Investments GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 130064.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 130064.0, "aggregate_amount_owned": 130064.0, "percent_of_class": 0.07, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11: For all cover pages of this Amendment No. 4, see Item 5 of this Amendment No. 4.\n\nThe ownership percentage set forth herein for PEP TG Investments GP LLC is calculated based on a total of 179,887,627 shares of Common Stock the Issuer deemed issued and outstanding, which includes (i) 179,757,563 shares of Common Stock outstanding as of April 30, 2026, as set forth in the Issuer's Q1 2026 10-Q, and (ii) 130,064 shares of Common Stock issuable upon the exercise in full of the Warrant (as defined in Item 3 of the Schedule 13D)." }, { "accession_no": "0001104659-26-066389", "person_seq": 2, "reporting_person_cik": 1320307, "reporting_person_name": "Michael Dominguez", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 130064.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 130064.0, "aggregate_amount_owned": 130064.0, "percent_of_class": 0.07, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11: For all cover pages of this Amendment No. 4, see Item 5 of this Amendment No. 4.\n\nThe ownership percentage set forth herein for Michael Dominguez is calculated based on a total of 179,887,627 shares of Common Stock the Issuer deemed issued and outstanding, which includes (i) 179,757,563 shares of Common Stock outstanding as of April 30, 2026, as set forth in the Issuer's Q1 2026 10-Q, and (ii) 130,064 shares of Common Stock issuable upon the exercise in full of the Warrant (as defined in Item 3 of the Schedule 13D)." }, { "accession_no": "0001104659-26-066917", "person_seq": 0, "reporting_person_cik": 2135130, "reporting_person_name": "Summitway Holding Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 2000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2000000.0, "aggregate_amount_owned": 2000000.0, "percent_of_class": 6.97, "type_of_reporting_person": "CO", "comment_content": "The amount in rows 8, 10 and 11 represents 2,000,000 Class A ordinary shares issuable upon the conversion of Class B ordinary shares held by Summitway Holding Limited, a British Virgin Islands company which is 100% owned by Li Sen. [AZ1][Author2]\n\nThe beneficial ownership percentage set forth in row 13 is calculated based on 26,705,175 Class A ordinary shares of the Issuer issued and outstanding as of the date of this filing, plus 2,000,000 Class A ordinary shares issuable upon the conversion of 2,000,000 Class B ordinary shares beneficially owned by Li Sen through Summitway Holding Limited." }, { "accession_no": "0001104659-26-066917", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Li Sen", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 2000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2000000.0, "aggregate_amount_owned": 2000000.0, "percent_of_class": 6.97, "type_of_reporting_person": "IN", "comment_content": "The amount in rows 7 and 9 represents 2,000,000 Class A ordinary shares issuable upon the conversion of 2,000,000 Class B ordinary shares held by Summitway Holding Limited a British Virgin Islands company which is 100% owned by Li Sen.\n\nThe beneficial ownership percentage set forth in row 13 is calculated based on 2,000,000 Class A ordinary shares issuable upon the conversion of 2,000,000 Class B ordinary shares beneficially owned by Li Sen." }, { "accession_no": "0001104659-26-066919", "person_seq": 0, "reporting_person_cik": 2136472, "reporting_person_name": "Altiverse Capital Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 2000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2000000.0, "aggregate_amount_owned": 2000000.0, "percent_of_class": 6.97, "type_of_reporting_person": "CO", "comment_content": "The amount in rows 8, 10 and 11 represents 2,000,000 Class A ordinary shares issuable upon the conversion of Class B ordinary shares held by Altiverse Capital Limited, a British Virgin Islands company which is 100% owned by Pan Zexin.\n\nThe beneficial ownership percentage set forth in row 13 is calculated based on 26,705,175 Class A ordinary shares of the Issuer issued and outstanding as of the date of this filing, plus 2,000,000 Class A ordinary shares issuable upon the conversion of 2,000,000 Class B ordinary shares beneficially owned by Pan Zexin through Altiverse Capital Limited." }, { "accession_no": "0001104659-26-066919", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Pan Zexin", "fund_type": "PF", "citizenship_or_org": "N5", "sole_voting_power": 0.0, "shared_voting_power": 2000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2000000.0, "aggregate_amount_owned": 2000000.0, "percent_of_class": 6.97, "type_of_reporting_person": "IN", "comment_content": "The amount in rows 7 and 9 represents 2,000,000 Class A ordinary shares issuable upon the conversion of 2,000,000 Class B ordinary shares held by Altiverse Capital Limited, each a British Virgin Islands company which is 100% owned by Pan Zexin. Each Class B ordinary share is convertible into one Class A ordinary share.\n\nThe beneficial ownership percentage set forth in row 13 is calculated based on 26,705,175 Class A ordinary shares of the Issuer issued and outstanding as of the date of this filing, plus 2,000,000Class A ordinary shares issuable upon the conversion of 2,000,000 Class B ordinary shares beneficially owned by Pan Zexin." }, { "accession_no": "0001104659-26-067125", "person_seq": 0, "reporting_person_cik": 1758646, "reporting_person_name": "Investissement Quebec", "fund_type": "WC", "citizenship_or_org": "A8", "sole_voting_power": 85751341.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85751341.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85751341.0, "percent_of_class": 24.1, "type_of_reporting_person": "CO", "comment_content": "(1) Includes (i) 58,989,113 Common Shares, representing approximately 17.92% of the issued and outstanding Common Shares, (ii) 19,841,269 warrants to purchase common shares, (iii) up to an additional 2,500,000 Common Shares issuable upon conversion in whole of a convertible note, (iv) up to 2,500,000 warrants issuable upon conversion in whole of a convertible note, and (v) up to 1,920,959 Common Shares issuable in payment of interest on the convertible note as of March 31, 2026.\n\n(2) The percentages used herein are calculated based upon 329,114,330 outstanding Common Shares of Nouveau Monde Graphite Inc. as of May 15, 2026, plus 26,762,228 Common Shares in aggregate underlying convertible securities beneficially owned by Investissement Quebec (the \"Reporting Person\") and included pursuant to Rule 13d-3(d)(1)(i) of the Act." }, { "accession_no": "0001104659-26-067415", "person_seq": 0, "reporting_person_cik": 2088938, "reporting_person_name": "RBCH Ltd", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 2222222.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2222222.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2222222.0, "percent_of_class": 22.74, "type_of_reporting_person": "OO", "comment_content": "Comment for Type of Reporting Person:\n\nShare amounts above have been adjusted to reflect the impact of a 1-for-10 reverse stock split of the Issuer's ordinary shares that became effective on May 14, 2026 (the \"Reverse Stock Split\")\n\nFor Box 7, 9 and 11: Reflects (a) 1,111,111 class B ordinary shares, $0.05 nominal value per share (\"Class B Ordinary Shares\"), of Brera Holdings PLC, an Irish public limited company (the \"Issuer\"), and (b) warrants to purchase 1,111,111 Class B Ordinary Shares, at a price of $6.75 per Class B Ordinary Share (the \"Common Warrants\"), in each case as adjusted by the Reverse Stock Split and held directly by RBCH Ltd.\n\nFor Box 13: The denominator of the fraction upon which this percentage is calculated is based (i) on 8,199,540 Class B Ordinary Shares outstanding as of February 28, 2026, as reported in the Issuer's Form 6-K filed on March 24, 2026, which has been adjusted to reflect RBCH Ltd.'s exercise of its previously reported pre-funded warrants to purchase 461,111 Class B Ordinary Shares at price of $0.05 per Class B Ordinary Share (the \"Pre-Funded Warrants\" and together with the Common Warrants, the \"Warrants\"), and (ii) the 1,111,111 Class B Ordinary Shares issuable upon exercise of the Common Warrants held directly by RBCH Ltd, in each case as adjusted by the Reverse Stock Split.\n\nThe Common Warrants held by RBCH Ltd. are currently subject to a beneficial ownership limitation limiting the number of Class B Ordinary Shares that RBCH Ltd. can beneficially own to no more than 19.99% (the \"Beneficial Ownership Limitation\")." }, { "accession_no": "0001104659-26-067415", "person_seq": 1, "reporting_person_cik": 2088940, "reporting_person_name": "Viktor Fischer", "fund_type": "AF", "citizenship_or_org": "2B", "sole_voting_power": 1111.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1111.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1111.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "* Less than 1%.\n\nComment for Type of Reporting Person:\n\nShare amounts above have been adjusted to reflect the Reverse Stock Split.\n\nFor Box 7, 9 and 11: Prior to resigning as a director of the Issuer on April 5, 2026, Viktor Fischer was entitled to compensation from the Issuer in connection with his service as a director. Mr. Fischer was previously issued 4,444, as adjusted by the Reverse Stock Split, restricted stock units (\"RSUs\") of the Issuer under the Issuer's 2022 Equity Incentive Plan. The RSUs were to vest in eight equal quarterly installments, commencing on October 21, 2025, subject to Mr. Fischer's continued service to the Issuer through each such vesting date. 1,111 of these RSUs, as adjusted by the Reverse Stock Split, had fully vested as of January 21, 2026, but have not yet been settled. As a result of Mr. Fischer's resignation, the remaining RSUs that had not yet vested have been forfeited, terminated and cancelled.\n\nViktor Fischer and Jakub Havrlant, as the indirect holders of 100% of the outstanding equity of the general partner of Rockaway Blockchain Fund I, L.P., the sole shareholder of RBCH Ltd. with the right to remove and replace directors of RBCH Ltd., may be deemed to be the beneficial owners of the reported shares of RBCH Ltd. Viktor Fischer and Jakub Havrlant disclaim any beneficial ownership in the reported shares of RBCH Ltd. See also comments for RBCH Ltd.\n\nFor Box 13: See comments for RBCH Ltd." }, { "accession_no": "0001104659-26-067415", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jakub Havrlant", "fund_type": "AF", "citizenship_or_org": "2N", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "Comment for Type of Reporting Person:\n\nFor Box 7, 9 and 11: Viktor Fischer and Jakub Havrlant, as the indirect holders of 100% of the outstanding equity of the general partner of Rockaway Blockchain Fund I, L.P., the sole shareholder of RBCH Ltd. with the right to remove and replace the directors of RBCH Ltd., may be deemed to be the beneficial owners of the reported shares of RBCH Ltd. Viktor Fischer and Jakub Havrlant disclaim any beneficial ownership in the reported shares of RBCH Ltd. See also comments for RBCH Ltd.\n\nFor Box 13: See comments for RBCH Ltd." }, { "accession_no": "0001104659-26-067466", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Caisse des Depots (CDC)", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 8403903.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8403903.0, "aggregate_amount_owned": 8403903.0, "percent_of_class": 6.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-067466", "person_seq": 1, "reporting_person_cik": 1581835, "reporting_person_name": "Bpifrance Participations S.A.", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 8403903.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8403903.0, "aggregate_amount_owned": 8403903.0, "percent_of_class": 6.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-067466", "person_seq": 2, "reporting_person_cik": 1731118, "reporting_person_name": "Bpifrance S.A.", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 8403903.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8403903.0, "aggregate_amount_owned": 8403903.0, "percent_of_class": 6.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-067466", "person_seq": 3, "reporting_person_cik": 1731121, "reporting_person_name": "EPIC Bpifrance", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 8403903.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8403903.0, "aggregate_amount_owned": 8403903.0, "percent_of_class": 6.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-067501", "person_seq": 0, "reporting_person_cik": 1783455, "reporting_person_name": "Gulf Hungary Holding Korlatolt Felelossegu Tarsasag", "fund_type": "OO", "citizenship_or_org": "K5", "sole_voting_power": 5017.0, "shared_voting_power": 3635112.0, "sole_dispositive_power": 5017.0, "shared_dispositive_power": 3635112.0, "aggregate_amount_owned": 3640129.0, "percent_of_class": 21.0, "type_of_reporting_person": "OO", "comment_content": "(1) With respect to the numbers set forth in rows 7, 9 and 11 in the table above, these consist of 5,017 shares of Common Stock of the Issuer (\"Shares\") beneficially owned by Gulf Hungary Holding Korlatolt Felelossegu Tarsasag (a \"Reporting Person\" or \"Gulf Hungary\"), which are held in the name of Citibank N.A. pursuant to an Escrow Agreement (as defined in the Original Schedule 13D, as defined below) in order to secure the Reporting Person's indemnification obligations under the Share Purchase Agreement (as defined in the Original Schedule 13D).\n\n(2) With respect to the numbers set forth in rows 8, 10 and 11 in the table above, these consist of 3,635,112 Shares owned directly by Gulf Hungary's wholly-owned subsidiary QH Hungary Holdings Limited (also a \"Reporting Person\" or \"QH Hungary\"), of which:\n\n2,100,000 Shares are pledged to and registered in the name of Citigroup Global Markets Inc., as custodian for the benefit of QH Hungary (in such capacity, the \"Margin Loan Custodian\") pursuant to a Pledge and Security Agreement (as defined in the Original Schedule 13D) to secure QH Hungary's obligations under a Margin Loan (as defined in the Original Schedule 13D);\n\n1,137,630 Shares are pledged to Citibank N.A. (\"Citibank\") and held at Citigroup Global Markets Inc. (the \"Citi PVF Custodian\") pursuant to the Pledge and Security Agreement, dated as of May 19, 2020, between QH Hungary and Citibank, as secured party (the \"Citi PVF Security Agreement\") to secure QH Hungary's obligations under a Master Terms and Conditions for Prepaid Variable Share Forward Transactions, dated May 19, 2020 (the \"Citi Master Confirmation\"), between QH Hungary and Citibank, as amended and supplemented by (i) Supplemental Confirmation, dated May 19, 2020 and amended and restated on November 24, 2021, November 22, 2023 and May 22, 2025 (the \"First Citi Supplemental Confirmation\"), (ii) Supplemental Confirmation No. 2, dated May 26, 2020 and amended and restated on March 9, 2021, November 24, 2021, August 10, 2022, March 6, 2023, May 22, 2024, November 22, 2024 and May 26, 2026 (the \"Second Citi Supplemental Confirmation\"), (iii) Supplemental Confirmation No. 3, dated August 27, 2020 and amended and restated on August 10, 2022, May 22, 2024 and May 26, 2026 (the \"Third Citi Supplemental Confirmation\"), (iv) Supplemental Confirmation No. 4, dated March 9, 2021 and amended and restated on November 24, 2021 and March 6, 2023 (the \"Fourth Citi Supplemental Confirmation\"), (v) Supplemental Confirmation No. 5, dated March 9, 2021 and amended and restated on August 10, 2022, May 22, 2024 and May 26, 2026 (the \"Fifth Citi Supplemental Confirmation\"), (vi) Supplemental Confirmation No. 6 originally entered into with JPMorgan Chase Bank, National Association (\"JPMorgan\"), dated August 27, 2020 and amended and restated and novated to Citibank on August 10, 2022, and as further amended on May 22, 2024 and May 26, 2026 (the \"Sixth Citi Supplemental Confirmation\"), (vii) Supplemental Confirmation No. 7 originally entered into with JPMorgan, dated March 9, 2021 and amended and restated and novated to Citibank on August 10, 2022, and as further amended on May 22, 204 and May 26, 2026 (the \"Seventh Citi Supplemental Confirmation\"), (viii) Supplemental Confirmation No. 8, dated May 22, 2024 and amended and restated on November 25, 2025 (the \"Eighth Citi Supplemental Confirmation\"), (ix) Supplemental Confirmation No. 9, dated November 22, 2024 (the \"Ninth Citi Supplemental Confirmation\") and (x) Supplemental Confirmation No. 10, dated November 25, 2025 (the \"Tenth Citi Supplemental Confirmation\"), as further described in Item 6 below.\n\n397,482 Shares are pledged to Royal Bank of Canada (\"RBC\") and held at RBC Capital Markets LLC (the \"RBC PVF Custodian\") pursuant to the Pledge and Security Agreement, dated as of May 26, 2020, between QH Hungary and RBC, as secured party (the \"RBC PVF Security Agreement\") to secure QH Hungary's obligations under a Master Terms and Conditions for Prepaid Variable Share Forward Transactions, dated May 26, 2020 (the \"RBC Master Confirmation\"), between QH Hungary and RBC, as amended and supplemented by (i) Supplemental Confirmation, dated May 26, 2020 and amended and restated on March 9, 2021, November 24, 2021, August 10, 2022, March 6, 2023, May 22, 2024, November 22, 2024 and May 26, 2026 (the \"First RBC Supplemental Confirmation\"), (ii) Supplemental Confirmation No. 2, dated March 9, 2021 and amended and restated on November 24, 2021 and March 6, 2023 (the \"Second RBC Supplemental Confirmation\"), (iii) Supplemental Confirmation No. 3, dated March 9, 2021 and amended and restated on August 10, 2022, May 22, 2024 and May 26, 2026 (the \"Third RBC Supplemental Confirmation\"), (iv) Supplemental Confirmation No. 4 originally entered into with JPMorgan, dated March 9, 2021 and amended and restated and novated to RBC on November 24, 2021, and further amended and restated on March 6, 2023 (the \"Fourth RBC Supplemental Confirmation\"), (v) Supplemental Confirmation No. 5, dated May 22, 2024 and amended and restated on November 25, 2025 (the \"Fifth RBC Supplemental Confirmation\"), (vi) Supplemental Confirmation No. 6, dated November 22, 2024 (the \"Sixth RBC Supplemental Confirmation\") and (vii) Supplemental Confirmation No. 7, dated November 25, 2025 (the \"Seventh RBC Supplemental Confirmation\"), as further described in Item 6 below.\n\n(3) With respect to the percentage set forth in row 13 in the table above, this is based upon 17,366,444 Shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, as filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-067501", "person_seq": 1, "reporting_person_cik": 1808660, "reporting_person_name": "QH Hungary Holdings Limited", "fund_type": "OO", "citizenship_or_org": "K5", "sole_voting_power": 0.0, "shared_voting_power": 3635112.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3635112.0, "aggregate_amount_owned": 3635112.0, "percent_of_class": 20.9, "type_of_reporting_person": "OO", "comment_content": "(1) With respect to the numbers set forth in rows 8, 10 and 11 in the table above, these consist of 3,635,112 Shares beneficially owned by QH Hungary, of which:\n\n2,100,000 Shares are pledged to and registered in the name of the Margin Loan Custodian pursuant to a Pledge and Security Agreement to secure QH Hungary's obligations under a Margin Loan;\n\n1,137,630 Shares are pledged to Citibank N.A. (\"Citibank\") and held at Citigroup Global Markets Inc. (the \"Citi PVF Custodian\") pursuant to the Pledge and Security Agreement, dated as of May 19, 2020, between QH Hungary and Citibank, as secured party (the \"Citi PVF Security Agreement\") to secure QH Hungary's obligations under a Master Terms and Conditions for Prepaid Variable Share Forward Transactions, dated May 19, 2020 (the \"Citi Master Confirmation\"), between QH Hungary and Citibank, as amended and supplemented by (i) Supplemental Confirmation, dated May 19, 2020 and amended and restated on November 24, 2021, November 22, 2023 and May 22, 2025 (the \"First Citi Supplemental Confirmation\"), (ii) Supplemental Confirmation No. 2, dated May 26, 2020 and amended and restated on March 9, 2021, November 24, 2021, August 10, 2022, March 6, 2023, May 22, 2024, November 22, 2024 and May 26, 2026 (the \"Second Citi Supplemental Confirmation\"), (iii) Supplemental Confirmation No. 3, dated August 27, 2020 and amended and restated on August 10, 2022, May 22, 2024 and May 26, 2026 (the \"Third Citi Supplemental Confirmation\"), (iv) Supplemental Confirmation No. 4, dated March 9, 2021 and amended and restated on November 24, 2021 and March 6, 2023 (the \"Fourth Citi Supplemental Confirmation\"), (v) Supplemental Confirmation No. 5, dated March 9, 2021 and amended and restated on August 10, 2022, May 22, 2024 and May 26, 2026 (the \"Fifth Citi Supplemental Confirmation\"), (vi) Supplemental Confirmation No. 6 originally entered into with JPMorgan Chase Bank, National Association (\"JPMorgan\"), dated August 27, 2020 and amended and restated and novated to Citibank on August 10, 2022, and as further amended on May 22, 2024 and May 26, 2026 (the \"Sixth Citi Supplemental Confirmation\"), (vii) Supplemental Confirmation No. 7 originally entered into with JPMorgan, dated March 9, 2021 and amended and restated and novated to Citibank on August 10, 2022, and as further amended on May 22, 204 and May 26, 2026 (the \"Seventh Citi Supplemental Confirmation\"), (viii) Supplemental Confirmation No. 8, dated May 22, 2024 and amended and restated on November 25, 2025 (the \"Eighth Citi Supplemental Confirmation\"), (ix) Supplemental Confirmation No. 9, dated November 22, 2024 (the \"Ninth Citi Supplemental Confirmation\") and (x) Supplemental Confirmation No. 10, dated November 25, 2025 (the \"Tenth Citi Supplemental Confirmation\"), as further described in Item 6 below.\n\n397,482 Shares are pledged to Royal Bank of Canada (\"RBC\") and held at RBC Capital Markets LLC (the \"RBC PVF Custodian\") pursuant to the Pledge and Security Agreement, dated as of May 26, 2020, between QH Hungary and RBC, as secured party (the \"RBC PVF Security Agreement\") to secure QH Hungary's obligations under a Master Terms and Conditions for Prepaid Variable Share Forward Transactions, dated May 26, 2020 (the \"RBC Master Confirmation\"), between QH Hungary and RBC, as amended and supplemented by (i) Supplemental Confirmation, dated May 26, 2020 and amended and restated on March 9, 2021, November 24, 2021, August 10, 2022, March 6, 2023, May 22, 2024, November 22, 2024 and May 26, 2026 (the \"First RBC Supplemental Confirmation\"), (ii) Supplemental Confirmation No. 2, dated March 9, 2021 and amended and restated on November 24, 2021 and March 6, 2023 (the \"Second RBC Supplemental Confirmation\"), (iii) Supplemental Confirmation No. 3, dated March 9, 2021 and amended and restated on August 10, 2022, May 22, 2024 and May 26, 2026 (the \"Third RBC Supplemental Confirmation\"), (iv) Supplemental Confirmation No. 4 originally entered into with JPMorgan, dated March 9, 2021 and amended and restated and novated to RBC on November 24, 2021, and further amended and restated on March 6, 2023 (the \"Fourth RBC Supplemental Confirmation\"), (v) Supplemental Confirmation No. 5, dated May 22, 2024 and amended and restated on November 25, 2025 (the \"Fifth RBC Supplemental Confirmation\"), (vi) Supplemental Confirmation No. 6, dated November 22, 2024 (the \"Sixth RBC Supplemental Confirmation\") and (vii) Supplemental Confirmation No. 7, dated November 25, 2025 (the \"Seventh RBC Supplemental Confirmation\"), as further described in Item 6 below.\n\n(2) With respect to the percentage set forth in row 13 in the table above, this is based upon 17,366,444 Shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, as filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-067589", "person_seq": 0, "reporting_person_cik": 1490160, "reporting_person_name": "CDP Investissements Inc.", "fund_type": "WC", "citizenship_or_org": "A8", "sole_voting_power": 0.0, "shared_voting_power": 11400428.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11400428.0, "aggregate_amount_owned": 11400428.0, "percent_of_class": 15.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-067589", "person_seq": 1, "reporting_person_cik": 898286, "reporting_person_name": "Caisse de depot et placement du Quebec", "fund_type": "OO", "citizenship_or_org": "A8", "sole_voting_power": 0.0, "shared_voting_power": 11400428.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11400428.0, "aggregate_amount_owned": 11400428.0, "percent_of_class": 15.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-067691", "person_seq": 0, "reporting_person_cik": 2063661, "reporting_person_name": "Edge One Capital Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2006891.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2006891.0, "aggregate_amount_owned": 2006891.0, "percent_of_class": 2.54, "type_of_reporting_person": "OO", "comment_content": "All percentage calculations set forth herein are based upon the aggregate of 78,983,041 shares of Class A Common Stock outstanding as of May 26, 2026, as reported in the Issuer's Annual Report on Form 8-K filed with the Securities and Exchange Commission (the \"SEC\") on May 27, 2026." }, { "accession_no": "0001104659-26-067691", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Varun Gupta", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2006891.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2006891.0, "aggregate_amount_owned": 2006891.0, "percent_of_class": 2.54, "type_of_reporting_person": "IN", "comment_content": "All percentage calculations set forth herein are based upon the aggregate of 78,983,041 shares of Class A Common Stock outstanding as of May 26, 2026, as reported in the Issuer's Annual Report on Form 8-K filed with the Securities and Exchange Commission (the \"SEC\") on May 27, 2026." }, { "accession_no": "0001104659-26-067763", "person_seq": 0, "reporting_person_cik": 2083861, "reporting_person_name": "Double Zero Capital, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 63632697.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 63632697.0, "aggregate_amount_owned": 63632697.0, "percent_of_class": 19.9, "type_of_reporting_person": "PN", "comment_content": "Double Zero Capital, LP (\"Double Zero\") is the beneficial owner of (i) 48,591,775 common shares, no par value, of the Issuer (the \"Shares\") held directly by Double Zero and (ii) 18,300,000 Shares issuable upon the exercise of warrants to purchase Shares (the \"Warrants\") directly held by Double Zero, which are subject to the Beneficial Ownership Blocker (as defined below). Pursuant to an agreement between Double Zero and the Issuer (the \"Blocker Agreement\"), Double Zero will not be entitled to exercise the Warrants or other convertible securities previously or subsequently acquired by Double Zero to the extent that, as a result of such exercise, the number of Shares held by Double Zero will equal or exceed 19.9% of the then-outstanding Shares of the Issuer (the \"Beneficial Ownership Blocker\"). The 63,632,697 Shares reported as beneficially owned by Double Zero in this Schedule 13D represent the Shares held directly by Double Zero and 15,040,922 Shares that could be issued to Double Zero upon exercise of certain Warrants under the Beneficial Ownership Blocker.\n\nPercentage based on (i) 304,721,378 Shares outstanding as of May 11, 2026, as reported by the Issuer in its Notice of Annual and Special Meeting of Shareholders, an exhibit to the Form 6-K filed by the Issuer with the Securities and Exchange Commission on May 20, 2026 (the \"Form 6-K\"), plus (ii) 15,040,922 Shares issuable upon exercise of certain Warrants, which due to the Beneficial Ownership Blocker is the maximum number of Shares that could be issued upon exercise of the Warrants." }, { "accession_no": "0001104659-26-067763", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Brand Name GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 63632697.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 63632697.0, "aggregate_amount_owned": 63632697.0, "percent_of_class": 19.9, "type_of_reporting_person": "OO", "comment_content": "Brand Name GP, LLC (\"Brand Name GP\") may be deemed the beneficial owner of (i) 48,591,775 Shares owned by Double Zero and (ii) 18,300,000 Shares issuable to Double Zero upon the exercise of the Warrants, which are subject to the Beneficial Ownership Blocker. Pursuant to the Blocker Agreement, Double Zero will not be entitled to exercise the Warrants or other convertible securities previously or subsequently acquired by Double Zero to the extent that the Beneficial Ownership Blocker applies. The 63,632,697 Shares reported as beneficially owned by Brand Name GP in this Schedule 13D represent the Shares held directly by Double Zero and 15,040,922 Shares that could be issued to Double Zero upon exercise of certain Warrants under the Beneficial Ownership Blocker. The reported securities may be deemed beneficially owned by Brand Name GP as the general partner of Double Zero. Brand Name GP disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest in such securities, if any.\n\nPercentage based on: (i) 304,721,378 Shares outstanding as of May 11, 2026, as reported by the Issuer in the Form 6-K, plus (ii) 15,040,922 Shares issuable upon exercise of certain Warrants, which due to the Beneficial Ownership Blocker is the maximum number of Shares that could be issued upon exercise of the Warrants." }, { "accession_no": "0001104659-26-067763", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Wen Hou", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 63632697.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 63632697.0, "aggregate_amount_owned": 63632697.0, "percent_of_class": 19.9, "type_of_reporting_person": "IN", "comment_content": "Wen Hou may be deemed the beneficial owner of (i) 48,591,775 Shares owned by Double Zero and (ii) 18,300,000 Shares issuable to Double Zero upon the exercise of the Warrants, which are subject to the Beneficial Ownership Blocker. Pursuant to the Blocker Agreement, Double Zero will not be entitled to exercise the Warrants or other convertible securities previously or subsequently acquired by Double Zero to the extent that the Beneficial Ownership Blocker applies. The 63,632,697 Shares reported as beneficially owned by Mr. Hou in this Schedule 13D represent the Shares held directly by Double Zero and 15,040,922 Shares that could be issued to Double Zero upon exercise of certain Warrants under the Beneficial Ownership Blocker. The reported securities may be deemed beneficially owned by Mr. Hou as the principal of Brand Name GP, the general partner of Double Zero. Mr. Hou disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest in such securities, if any.\n\nPercentage based on: (i) 304,721,378 Shares outstanding as of May 11, 2026, as reported by the Issuer in the Form 6-K, plus (ii) 15,040,922 Shares issuable upon exercise of certain Warrants, which due to the Beneficial Ownership Blocker is the maximum number of Shares that could be issued upon exercise of the Warrants." }, { "accession_no": "0001104659-26-068592", "person_seq": 0, "reporting_person_cik": 2061703, "reporting_person_name": "Amber Global Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10, 11 and 13 -- Immediately following the Share Distribution (as defined below), Amber Global Limited (\"AGL\") no longer beneficially owned any Class A Ordinary Shares of the Issuer. As a result, immediately after the filing of this Amendment, AGL will cease to be a member of the group of Reporting Persons for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended. This Amendment constitutes an exit filing for AGL." }, { "accession_no": "0001104659-26-068592", "person_seq": 1, "reporting_person_cik": 2120901, "reporting_person_name": "Yuao Wu", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 131942913.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 131942913.0, "aggregate_amount_owned": 131942913.0, "percent_of_class": 28.1, "type_of_reporting_person": "IN", "comment_content": "Row 1 -- Yuao Wu is also known as Michael Wu and was listed in the initial Schedule 13D (as defined below) as \"Yuao Wu (Michael)\".\n\nRows 8, 10 and 11 -- Immediately following the Share Distribution, AGL ceased to hold any Class A Ordinary Shares of the Issuer. The aggregate amount beneficially owned by Mr. Yuao Wu represents (i) 36,233,237 Class B Ordinary Shares held by Amber Fort Limited, (ii) 69,552,266 Class A Ordinary Shares received by Amber Fort Limited as a transferee in the Share Distribution, (iii) 19,458,931 Class A Ordinary Shares received by Amber Primary Unit Holding Limited as a transferee in the Share Distribution, and (iv) 6,698,479 Class A Ordinary Shares received by Digital Future Alliance Limited as a transferee in the Share Distribution. Each Class B Ordinary Share is convertible into one Class A Ordinary Share at any time at the option of the holder thereof. Each Class B Ordinary Share is entitled to 30 votes per share, and each Class A Ordinary Share is entitled to one vote per share. Mr. Wu is the sole director of each of Amber Fort Limited, Amber Primary Unit Holding Limited and Digital Future Alliance Limited and may be deemed to beneficially own the shares held by each such entity. Mr. Wu disclaims beneficial ownership of all such shares except to the extent of his pecuniary interest therein.\n\nRow 13 -- Calculated in accordance with Rule 13d-3(d)(1)(i) on the basis of (i) 432,954,386 Class A Ordinary Shares issued and outstanding as of March 31, 2026 (excluding the Class A ordinary shares held by JPMorgan Chase Bank N.A., the Issuer's depositary, underlying the share-based awards reserved for issuance under certain employee incentive plans of the Issuer), as reported in the Issuer's Form 20-F filed on May 13, 2026, plus (ii) 36,233,237 Class B Ordinary Shares deemed converted into Class A Ordinary Shares solely for purposes of this calculation." }, { "accession_no": "0001104659-26-068592", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Amber Fort Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 105785503.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 105785503.0, "aggregate_amount_owned": 105785503.0, "percent_of_class": 22.5, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10 and 11 -- Amber Fort Limited's beneficial ownership represents (i) 36,233,237 Class B Ordinary Shares it holds directly, and (ii) 69,552,266 Class A Ordinary Shares it received as a transferee in the Share Distribution. Each Class B Ordinary Share is convertible into one Class A Ordinary Share at any time at the option of the holder thereof. Each Class B Ordinary Share is entitled to 30 votes per share, and each Class A Ordinary Share is entitled to one vote per share. Immediately following the Share Distribution, Amber Fort Limited no longer beneficially owned Class A Ordinary Shares indirectly through AGL.\n\nRow 13 -- Calculated in accordance with Rule 13d-3(d)(1)(i) on the basis of (i) 432,954,386 Class A Ordinary Shares issued and outstanding as of March 31, 2026 (excluding the Class A Ordinary Shares held by JPMorgan Chase Bank N.A., the Issuer's depositary, underlying the share-based awards reserved for issuance under certain employee incentive plans of the Issuer), as reported in the Issuer's Form 20-F filed on May 13, 2026, plus (ii) 36,233,237 Class B Ordinary Shares deemed converted into Class A Ordinary Shares solely for purposes of this calculation." }, { "accession_no": "0001104659-26-068592", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Amber Primary Unit Holding Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 19458931.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19458931.0, "aggregate_amount_owned": 19458931.0, "percent_of_class": 4.5, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10 and 11 -- Amber Primary Unit Holding Limited's beneficial ownership represents 19,458,931 Class A Ordinary Shares it received as a transferee in the Share Distribution. Immediately following the Share Distribution, Amber Primary Unit Holding Limited no longer beneficially owned Class A Ordinary Shares indirectly through AGL and ceased to beneficially own more than five percent of the outstanding Class A Ordinary Shares of the Issuer. As a result, immediately after the filing of this Amendment, Amber Primary Unit Holding Limited will cease to be a member of the group of Reporting Persons for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended. This Amendment constitutes an exit filing for Amber Primary Unit Holding Limited.\n\nRow 13 -- Calculated in accordance with Rule 13d-3(d)(1)(i) on the basis of 432,954,386 Class A Ordinary Shares issued and outstanding as of March 31, 2026 (excluding the Class A ordinary shares held by JPMorgan Chase Bank N.A., the Issuer's depositary, underlying the share-based awards reserved for issuance under certain employee incentive plans of the Issuer), as reported in the Issuer's Form 20-F filed on May 13, 2026." }, { "accession_no": "0001104659-26-068674", "person_seq": 0, "reporting_person_cik": 1800227, "reporting_person_name": "IAC INC.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 66822350.0, "shared_voting_power": 0.0, "sole_dispositive_power": 66822350.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 66822350.0, "percent_of_class": 26.1, "type_of_reporting_person": "CO", "comment_content": "(1) Percentage in Row 13 calculated on the basis of 255,851,235 shares of common stock, par value $0.01, of the Issuer (\"Common Stock\") issued and outstanding as of April 27, 2026 (based upon information contained in the Issuer's Annual Report on Form 10-Q for the quarterly period ended March 31, 2026, which was filed with the U.S. Securities and Exchange Commission (the \"SEC\") on April 29, 2026). Rows 7, 9 and 11 reflect shares of Common Stock beneficially owned by IAC Inc. (\"IAC\"). See Item 5." }, { "accession_no": "0001104659-26-069127", "person_seq": 0, "reporting_person_cik": 1449433, "reporting_person_name": "Apollo Management Holdings GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 1, "reporting_person_cik": 1934843, "reporting_person_name": "College Top Holdings, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 2, "reporting_person_cik": 1962736, "reporting_person_name": "Yahoo Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 3, "reporting_person_cik": 1934833, "reporting_person_name": "College Parent L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 4, "reporting_person_cik": 1934842, "reporting_person_name": "College Parent Holdings GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 5, "reporting_person_cik": 1934828, "reporting_person_name": "AP IX College Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 6, "reporting_person_cik": 1935679, "reporting_person_name": "AP IX College Holdings GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 7, "reporting_person_cik": 1784683, "reporting_person_name": "Apollo Management IX, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 8, "reporting_person_cik": 1936402, "reporting_person_name": "AIF IX Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 9, "reporting_person_cik": 1398053, "reporting_person_name": "Apollo Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 10, "reporting_person_cik": 1413410, "reporting_person_name": "Apollo Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-069127", "person_seq": 11, "reporting_person_cik": 1449434, "reporting_person_name": "Apollo Management Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 39525691.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39525691.0, "aggregate_amount_owned": 39525691.0, "percent_of_class": 16.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-069614", "person_seq": 0, "reporting_person_cik": 1644342, "reporting_person_name": "Piton Capital Partners LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 600000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 600000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 600000.0, "percent_of_class": 4.1, "type_of_reporting_person": "OO", "comment_content": "* See Item 2 and Item 5.\n\n**This calculation is rounded to the nearest tenth and is based on 14,499,088 Shares outstanding, as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed with the SEC on May 7, 2026 (File No. 000-11412)." }, { "accession_no": "0001104659-26-069614", "person_seq": 1, "reporting_person_cik": 1760183, "reporting_person_name": "Cornice Fiduciary Management LLC, as Trustee under Trust Agreement dated December 23, 1989 FBO the issue of Jonathan D. Sackler", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 1386312.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1386312.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1386312.0, "percent_of_class": 9.6, "type_of_reporting_person": "OO", "comment_content": "* See Item 2 and Item 5.\n\n** This calculation is rounded to the nearest tenth and is based on 14,499,088 Shares outstanding, as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed with the SEC on May 7, 2026 (File No. 000-11412)." }, { "accession_no": "0001104659-26-069614", "person_seq": 2, "reporting_person_cik": 1343599, "reporting_person_name": "Robert Averick", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2986341.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2986341.0, "aggregate_amount_owned": 2986341.0, "percent_of_class": 20.6, "type_of_reporting_person": "IN", "comment_content": "* See Item 2 and Item 5.\n\n** This calculation is rounded to the nearest tenth and is based on 14,499,088 Shares outstanding, as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed with the SEC on May 7, 2026 (File No. 000-11412)." }, { "accession_no": "0001104659-26-069614", "person_seq": 3, "reporting_person_cik": 1595803, "reporting_person_name": "M3C Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 263688.0, "shared_voting_power": 0.0, "sole_dispositive_power": 263688.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 263688.0, "percent_of_class": 1.8, "type_of_reporting_person": "OO", "comment_content": "* See Item 2 and Item 5.\n\n** This calculation is rounded to the nearest tenth and is based on 14,499,088 Shares outstanding, as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed with the SEC on May 7, 2026 (File No. 000-11412)." }, { "accession_no": "0001104659-26-069614", "person_seq": 4, "reporting_person_cik": 1651816, "reporting_person_name": "OIH LLC", "fund_type": "OO", "citizenship_or_org": "CT", "sole_voting_power": 22917.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22917.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22917.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "* See Item 2 and Item 5.\n\n** This calculation is rounded to the nearest tenth and is based on 14,499,088 Shares outstanding, as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed with the SEC on May 7, 2026 (File No. 000-11412)." }, { "accession_no": "0001104659-26-070136", "person_seq": 0, "reporting_person_cik": 1009268, "reporting_person_name": "D. E. Shaw & Co., L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-070136", "person_seq": 1, "reporting_person_cik": 1277502, "reporting_person_name": "D. E. Shaw & Co., L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-070136", "person_seq": 2, "reporting_person_cik": 1023870, "reporting_person_name": "David E. Shaw", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070195", "person_seq": 0, "reporting_person_cik": 1633120, "reporting_person_name": "Van Herk Investments B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 15384250.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15384250.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "CO", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of ProQR Therapeutics N.V. (the \"Issuer\") issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070195", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Van Herk Investments THI B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "CO", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of the Issuer issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070195", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Van Herk Private Equity Investments B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "CO", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of the Issuer issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070195", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Stichting Administratiekantoor Penulata", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "OO", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of the Issuer issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070195", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Van Herk Management Services B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "CO", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of the Issuer issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070195", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Onroerend Goed Beheer- en Beleggingsmaatschappij A. van Herk B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "CO", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of the Issuer issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070195", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "A. van Herk Holding B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "CO", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of the Issuer issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070195", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Stichting Administratiekantoor Abchrys", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "OO", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of the Issuer issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070195", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Adrianus van Herk", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 14.6, "type_of_reporting_person": "IN", "comment_content": "Row 13- Based on 105,362,551 ordinary shares, nominal value Euro 0.04 per share, of the Issuer issued and outstanding as of March 31, 2026, as reported in the Issuer's Form 6-K filed with the SEC on May 12, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 0, "reporting_person_cik": 1655183, "reporting_person_name": "Mudrick Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3967251.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3967251.0, "aggregate_amount_owned": 3967251.0, "percent_of_class": 76.2, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include 3,967,251 shares of common stock (\"Common Stock\") of Vroom, Inc. (the \"Issuer\") directly held by Mudrick Distressed Opportunity Fund Global, L.P., Mudrick Distressed Opportunity Drawdown Fund II, L.P., Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., Mudrick Distressed Opportunity Drawdown Fund III, L.P., Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., Mudrick Distressed Opportunity SIF Master Fund, L.P., and certain accounts managed by Mudrick Capital Management, L.P. in the aggregate.\n\nRow 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Mudrick Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3967251.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3967251.0, "aggregate_amount_owned": 3967251.0, "percent_of_class": 76.2, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include 3,967,251 shares of Common Stock of the Issuer directly held by Mudrick Distressed Opportunity Fund Global, L.P., Mudrick Distressed Opportunity Drawdown Fund II, L.P., Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., Mudrick Distressed Opportunity Drawdown Fund III, L.P., Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., Mudrick Distressed Opportunity SIF Master Fund, L.P., and certain accounts managed by Mudrick Capital Management, L.P. in the aggregate.\n\nRow 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jason Mudrick", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3967251.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3967251.0, "aggregate_amount_owned": 3967251.0, "percent_of_class": 76.2, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11 include 3,967,251 shares of Common Stock of the Issuer directly held by Mudrick Distressed Opportunity Fund Global, L.P., Mudrick Distressed Opportunity Drawdown Fund II, L.P., Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., Mudrick Distressed Opportunity Drawdown Fund III, L.P., Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., Mudrick Distressed Opportunity SIF Master Fund, L.P., and certain accounts managed by Mudrick Capital Management, L.P. in the aggregate.\n\nRow 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Fund Global, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1058822.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1058822.0, "aggregate_amount_owned": 1058822.0, "percent_of_class": 20.3, "type_of_reporting_person": "PN", "comment_content": "Row 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Mudrick GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1058822.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1058822.0, "aggregate_amount_owned": 1058822.0, "percent_of_class": 20.3, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflect beneficial ownership as the general partner of Mudrick Distressed Opportunity Fund Global, L.P.\nRow 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 725385.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 725385.0, "aggregate_amount_owned": 725385.0, "percent_of_class": 13.9, "type_of_reporting_person": "PN", "comment_content": "Row 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 67695.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 67695.0, "aggregate_amount_owned": 67695.0, "percent_of_class": 1.3, "type_of_reporting_person": "PN", "comment_content": "Row 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 793080.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 793080.0, "aggregate_amount_owned": 793080.0, "percent_of_class": 15.2, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflect beneficial ownership as the general partner of Mudrick Distressed Opportunity Drawdown Fund II, L.P. and Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.\nRow 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund III, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 44746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 44746.0, "aggregate_amount_owned": 44746.0, "percent_of_class": 0.9, "type_of_reporting_person": "PN", "comment_content": "Row 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund III GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 44746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 44746.0, "aggregate_amount_owned": 44746.0, "percent_of_class": 0.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflect beneficial ownership as the general partner of Mudrick Distressed Opportunity Drawdown Fund III, L.P.\nRow 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 200657.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 200657.0, "aggregate_amount_owned": 200657.0, "percent_of_class": 3.9, "type_of_reporting_person": "OO", "comment_content": "Row 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity 2020 Dislocation Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 200657.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 200657.0, "aggregate_amount_owned": 200657.0, "percent_of_class": 3.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflect beneficial ownership as the general partner of Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P.\n\nRow 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity SIF Master Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 182936.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 182936.0, "aggregate_amount_owned": 182936.0, "percent_of_class": 3.5, "type_of_reporting_person": "PN", "comment_content": "Row 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070259", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Mudrick Distressed Opportunity SIF GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 182936.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 182936.0, "aggregate_amount_owned": 182936.0, "percent_of_class": 3.5, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflect beneficial ownership as the general partner of Mudrick Distressed Opportunity SIF Master Fund, L.P.\n\nRow 13 is based on 5,207,627 shares of Common Stock of the Issuer outstanding as of May 12, 2026, as set forth in the Form 10-Q filed by the Issuer with the Commission on May 15, 2026." }, { "accession_no": "0001104659-26-070426", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Gale Hoese", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 450000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 450000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070426", "person_seq": 1, "reporting_person_cik": 2128672, "reporting_person_name": "Andrew Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 21048.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21048.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070426", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jill Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 13952.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13952.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070426", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "David Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 83573.49, "shared_voting_power": 270.0, "sole_dispositive_power": 83573.49, "shared_dispositive_power": 270.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070426", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Denise Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1305.0, "shared_voting_power": 270.0, "sole_dispositive_power": 1305.0, "shared_dispositive_power": 270.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070426", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Jonathan Hoese", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 25000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070426", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Tamara Retka", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8.31, "shared_voting_power": 0.0, "sole_dispositive_power": 8.31, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070426", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Noah Retka", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5026.62, "shared_voting_power": 0.0, "sole_dispositive_power": 5026.62, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070426", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Joseph Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 3500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 611987.11, "percent_of_class": 6.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070708", "person_seq": 0, "reporting_person_cik": 1179684, "reporting_person_name": "William T. Dillard, II", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 915179.0, "shared_voting_power": 3678252.0, "sole_dispositive_power": 915179.0, "shared_dispositive_power": 3678252.0, "aggregate_amount_owned": 4593431.0, "percent_of_class": 30.0, "type_of_reporting_person": "IN", "comment_content": "(1) The figure reported in Items 7 and 9 on this cover page consists of (i) 907,819 shares of Dillard's Inc. Class A Common Stock, $0.01 par value (\"Class A Common Stock\") held directly by the Reporting Person, (ii) 60 shares of Class A Common Stock held by the Reporting Person through a retirement account, and (iii) 7,300 shares of Class A Common Stock held in a trust of which the Reporting Person serves as sole trustee.\n(2) The figure reported in Items 8 and 10 on this cover page consists of 3,678,252 shares of Dillard's Inc. Class B Common Stock, $0.01 par value (\"Class B Common Stock\") that are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder and subject to the Voting and Exchange Agreement (as defined and discussed in Item 6 of this Schedule 13D).\n(3) The percentage reported in Item 13 on this cover page is based on (i) 11,630,838 shares of Class A Common Stock outstanding as of February 28, 2026, as disclosed in the Issuer's Annual Report on Form 10-K, filed with the U.S. Securities and Exchange Commission (the \"SEC\") on March 27, 2026, and (ii) 3,678,252 shares of Class A Common Stock upon the conversion of 3,678,252 shares of Class B Common Stock, which are convertible into shares of Class A Common Stock within 60 days of this Schedule 13D." }, { "accession_no": "0001104659-26-070708", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Alex Dillard", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1161074.0, "shared_voting_power": 3714824.0, "sole_dispositive_power": 1161074.0, "shared_dispositive_power": 3714824.0, "aggregate_amount_owned": 4875898.0, "percent_of_class": 31.8, "type_of_reporting_person": "IN", "comment_content": "(1) The figure reported in Items 7 and 9 on this cover page consists of (i) 1,029,162 shares of Class A Common Stock held directly by the Reporting Person, (ii) 131,852 shares of Class A Common Stock held in trusts over which the Reporting Person has sole voting and dispositive power, and (iii) 60 shares of Class A Common Stock held by the Reporting Person through a retirement account.\n(2) The figure reported in Items 8 and 10 on this cover page consists of (i) 3,678,252 shares of Class B Common Stock that are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder and subject to the Voting and Exchange Agreement (as defined and discussed in Item 6 of this Schedule 13D), and (ii) 36,572 shares held by the Reporting Person's spouse, over which the Reporting Person may be deemed to have shared voting and dispositive authority, and as to which the Reporting Person disclaims beneficial ownership except to the extent of the Reporting Person's pecuniary interest therein.\n(3) The percentage reported in Item 13 on this cover page is based on (i) 11,630,838 Class A Shares outstanding as of February 28, 2026, as disclosed in the Issuer's Annual Report on Form 10-K, filed with the SEC on March 27, 2026, and (ii) 3,678,252 shares of Class A Common Stock upon the conversion of 3,678,252 shares of Class B Common Stock, which are convertible into shares of Class A Common Stock within 60 days of this Schedule 13D." }, { "accession_no": "0001104659-26-070708", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Mike Dillard", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 546883.0, "shared_voting_power": 3686162.0, "sole_dispositive_power": 546883.0, "shared_dispositive_power": 3686162.0, "aggregate_amount_owned": 4233045.0, "percent_of_class": 27.7, "type_of_reporting_person": "IN", "comment_content": "(1) The figure reported in Items 7 and 9 on this cover page consists of (i) 546,823 shares of Class A Common Stock held directly by the Reporting Person, and (ii) 60 shares of Class A Common Stock held by the Reporting Person through a retirement account.\n(2) The figure reported in Items 8 and 10 on this cover page consists of (i) 3,678,252 shares of Class B Common Stock that are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder and subject to the Voting and Exchange Agreement (as defined and discussed in Item 6 of this Schedule 13D), (ii) 610 shares of Class A Common Stock held by a trust of which the Reporting Person's spouse serves as trustee, over which the Reporting Person may be deemed to have shared voting and dispositive authority, and as to which the Reporting Person disclaims beneficial ownership except to the extent of the Reporting Person's pecuniary interest therein, and (iii) 7,300 shares of Class A Common Stock held by a trust of which the Reporting Person's daughter serves as trustee, over which the Reporting Person may be deemed to have shared voting and dispositive authority, and as to which the Reporting Person disclaims beneficial ownership except to the extent of the Reporting Person's pecuniary interest therein.\n(3) The percentage reported in Item 13 on this cover page is based on (i) 11,630,838 Class A Shares outstanding as of February 28, 2026, as disclosed in the Issuer's Annual Report on Form 10-K, filed with the SEC on March 27, 2026, and (ii) 3,678,252 shares of Class A Common Stock upon the conversion of 3,678,252 shares of Class B Common Stock, which are convertible into shares of Class A Common Stock within 60 days of this Schedule 13D." }, { "accession_no": "0001104659-26-070961", "person_seq": 0, "reporting_person_cik": 1079848, "reporting_person_name": "Robert J. Fisher", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 43095305.0, "shared_voting_power": 9593281.0, "sole_dispositive_power": 43095305.0, "shared_dispositive_power": 9593281.0, "aggregate_amount_owned": 52688586.0, "percent_of_class": 14.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-070963", "person_seq": 0, "reporting_person_cik": 1473482, "reporting_person_name": "The Donald A. Foss 2009 Remainder Trust", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 0.0, "shared_voting_power": 796323.0, "sole_dispositive_power": 796323.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 796323.0, "percent_of_class": 7.6, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070963", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "The Donald A. Foss 2010 Remainder Trust", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 0.0, "shared_voting_power": 493319.0, "sole_dispositive_power": 493319.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 493319.0, "percent_of_class": 4.7, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070963", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "The Donald A. Foss 2010 Remainder Trust #2", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 8826.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8826.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8826.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070963", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "The Donald A. Foss 2011 Remainder Trust FBO Robert s. Foss and Descendants", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 85979.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85979.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85979.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070963", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Marital Trust U/A Donald A. Foss Trust January 16, 1981", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 0.0, "shared_voting_power": 686497.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 686497.0, "aggregate_amount_owned": 686497.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070963", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Allan V. Apple, not individually but solely in capacity as trustee", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 94805.0, "shared_voting_power": 1976139.0, "sole_dispositive_power": 1384447.0, "shared_dispositive_power": 686497.0, "aggregate_amount_owned": 2070944.0, "percent_of_class": 19.8, "type_of_reporting_person": "IN", "comment_content": "The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070997", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "The Donald A. Foss 2009 Remainder Trust", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 0.0, "shared_voting_power": 796323.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 796323.0, "percent_of_class": 7.6, "type_of_reporting_person": "OO", "comment_content": "*The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026" }, { "accession_no": "0001104659-26-070997", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "The Donald A. Foss 2010 Remainder Trust", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 0.0, "shared_voting_power": 493319.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 493319.0, "percent_of_class": 4.7, "type_of_reporting_person": "OO", "comment_content": "*The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070997", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jill Foss Watson Living Trust", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 92107.0, "shared_voting_power": 0.0, "sole_dispositive_power": 92107.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 92107.0, "percent_of_class": 0.9, "type_of_reporting_person": "OO", "comment_content": "*The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070997", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Jill Foss Watson Irrevocable Trust", "fund_type": "OO", "citizenship_or_org": "MI", "sole_voting_power": 53846.0, "shared_voting_power": 0.0, "sole_dispositive_power": 53846.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 53846.0, "percent_of_class": 0.4, "type_of_reporting_person": "OO", "comment_content": "*The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070997", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Karol A. Foss Irrevocable Grandchildren's Trust", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 83714.0, "shared_voting_power": 0.0, "sole_dispositive_power": 83714.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 83714.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": "*The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001104659-26-070997", "person_seq": 5, "reporting_person_cik": 1568982, "reporting_person_name": "Jill Foss Watson", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 229667.0, "shared_voting_power": 1289642.0, "sole_dispositive_power": 229667.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1519309.0, "percent_of_class": 14.5, "type_of_reporting_person": "OO", "comment_content": "*The percentage is calculated based upon total outstanding shares of 10,460,071 as of April 23, 2026, as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 5, 2026.\n\n** Mrs. Watson is the co-trustee of the Donald A. Foss 2009 Remainder Trust and the Donald A. Foss 2010 Remainder Trust. Mrs. Watson is the trustee of the Jill Foss Watson Living Trust and the Karol A. Foss Irrevocable Grandchildren's Trust. Mr. Todd Watson, spouse of Jill Foss Watson, is the trustee of the Jill Foss Watson Irrevocable Trust." }, { "accession_no": "0001104659-26-071145", "person_seq": 0, "reporting_person_cik": 1907614, "reporting_person_name": "Peter Luo", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 6242998.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2230998.0, "shared_dispositive_power": 434248.0, "aggregate_amount_owned": 6242998.0, "percent_of_class": 7.09, "type_of_reporting_person": "IN", "comment_content": "Row 7 and 11 represent (i) 149,514 ordinary shares (including ordinary shares represented by the ADSs) held by Peter Luo; (ii) 2,081,484 ordinary shares underlying share options granted to Peter Luo that are vested or will be vested within 60 days of June 05, 2026, (iii) 56,021 ordinary shares (including ordinary shares represented by the ADSs) held by Xiaohong She; (iv) 378,227 ordinary shares underlying share options granted to Xiaohong She that are vested or will be vested within 60 days of June 05, 2026, (v) total of 1,851,500 ordinary shares (including ordinary shares represented by the ADSs) held by Raymond Tam, Qinghai Zhao and several key employees of the Company, and (vi) total of 1,726,252 share options granted to Raymond Tam, Qinghai Zhao and several key employees that are vested or will be vested within 60 days of June 05, 2026.\nRow 9 represents (i) 149,514 ordinary shares (including ordinary shares represented by the ADSs) held by Peter Luo; and (ii) 2,081,484 ordinary shares underlying share options granted to Peter Luo that are vested or will be vested within 60 days of June 05, 2026.\nRow 10 represents (i) 56,021 ordinary shares held by Xiaohong She (including ordinary shares represented by the ADSs); and (ii) 378,227 ordinary shares underlying share options granted to Xiaohong She that are vested or will be vested within 60 days of June 05, 2026.\nRow 13 represents calculation based on (i) 83,832,157 ordinary shares issued and outstanding as of May 31, 2026, as provided by the Issuer and (ii) 4,185,963 ordinary shares underlying share options granted to Peter Luo-Acting-in-Concert-Group that are vested or will be vested within 60 days of June 05, 2026." }, { "accession_no": "0001104659-26-071145", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "HAN 2020 Irrevocable Trust", "fund_type": "PF", "citizenship_or_org": "CA", "sole_voting_power": 9390439.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9390439.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9390439.0, "percent_of_class": 11.2, "type_of_reporting_person": "OO", "comment_content": "Rows 7, 9 and 11 represents 9,390,439 ordinary shares held by HAN 2020 Irrevocable Trust. The HAN 2020 Irrevocable Trust is a family trust established by Dr. Peter Luo as trustor for the benefits of Dr. Luo's family members, of which North Point Trust Company is the current trustee.\nRow 13 represents calculation based on 83,832,157 ordinary shares issued and outstanding as of May 31, 2026, as provided by the Issuer." }, { "accession_no": "0001104659-26-071516", "person_seq": 0, "reporting_person_cik": 1566491, "reporting_person_name": "Apollo Principal Holdings A GP, Ltd", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 13245825.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13245825.0, "aggregate_amount_owned": 13245825.0, "percent_of_class": 16.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-071516", "person_seq": 1, "reporting_person_cik": 1682821, "reporting_person_name": "AP Dakota Co-Invest, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3375987.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3375987.0, "aggregate_amount_owned": 3375987.0, "percent_of_class": 4.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-071516", "person_seq": 2, "reporting_person_cik": 1878274, "reporting_person_name": "AP VIII Dakota Holdings Borrower, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9869838.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9869838.0, "aggregate_amount_owned": 9869838.0, "percent_of_class": 12.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-071516", "person_seq": 3, "reporting_person_cik": 1877428, "reporting_person_name": "AP Dakota Co-Invest GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3375987.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3375987.0, "aggregate_amount_owned": 3375987.0, "percent_of_class": 4.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-071516", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "AP VIII Dakota Holdings Borrower GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9869838.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9869838.0, "aggregate_amount_owned": 9869838.0, "percent_of_class": 12.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-071516", "person_seq": 5, "reporting_person_cik": 1877482, "reporting_person_name": "AP VIII Dakota Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9869838.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9869838.0, "aggregate_amount_owned": 9869838.0, "percent_of_class": 12.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-071516", "person_seq": 6, "reporting_person_cik": 1600221, "reporting_person_name": "Apollo Advisors VIII, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13245825.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13245825.0, "aggregate_amount_owned": 13245825.0, "percent_of_class": 16.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-071516", "person_seq": 7, "reporting_person_cik": 1600223, "reporting_person_name": "Apollo Capital Management VIII, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13245825.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13245825.0, "aggregate_amount_owned": 13245825.0, "percent_of_class": 16.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-071516", "person_seq": 8, "reporting_person_cik": 1648671, "reporting_person_name": "APH Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 13245825.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13245825.0, "aggregate_amount_owned": 13245825.0, "percent_of_class": 16.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-071635", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "OO", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 11266571.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11266571.0, "aggregate_amount_owned": 11266571.0, "percent_of_class": 12.1, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 9,266,571 common shares, no par value (\"Common Shares\") of Metalla Royalty & Streaming Ltd. held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A., and 2,000,000 Common Shares held by Tether Investments, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-071635", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 9266571.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9266571.0, "aggregate_amount_owned": 9266571.0, "percent_of_class": 9.9, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-071635", "person_seq": 2, "reporting_person_cik": 2049832, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 2000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2000000.0, "aggregate_amount_owned": 2000000.0, "percent_of_class": 2.1, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-071635", "person_seq": 3, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 11266571.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11266571.0, "aggregate_amount_owned": 11266571.0, "percent_of_class": 12.1, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 9,266,571 Common Shares held by Tether International, S.A. de C.V. a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A., and 2,000,000 Common Shares held by Tether Investments, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-071942", "person_seq": 0, "reporting_person_cik": 1802528, "reporting_person_name": "Fairmount Funds Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14069494.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14069494.0, "aggregate_amount_owned": 14069494.0, "percent_of_class": 19.99, "type_of_reporting_person": "IA", "comment_content": "The securities (a) include (i) 1,897,677 shares of common stock, $0.0001 par value per share (the \"Common Stock\") and 9,516,000 shares of Common Stock issuable upon conversion of 9,516 shares of Series A non-voting convertible preferred stock, par value $0.0001 per share (the \"Series A Preferred Stock\"), directly held by Fairmount Healthcare Fund II L.P., a Delaware limited partnership (\"Fund II\"), and (ii) 2,655,817 shares of Common Stock directly held by Fairmount Healthcare Co-Invest IV L.P., a Delaware limited partnership (\"Co-Invest\"), and (b) exclude (i) 5,790,206 shares of Common Stock issuable upon exercise of Pre-Funded Warrants and (ii) 3,106,000 shares of Common Stock issuable upon conversion of 3,106 shares of Series A Preferred Stock, in each case directly held by Fund II. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock and the conversion of the Series A Preferred Stock is subject to a beneficial ownership limitation of 19.99%. The securities exclude shares of Common Stock issuable upon exercise of Pre-Funded Warrants and conversion of shares of Series A Preferred Stock in excess of such beneficial ownership limitations. At such time as Fairmount Funds Management LLC, a Delaware limited liability company and Securities and Exchange Commission registered investment adviser under the Investment Advisers Act of 1940 (\"Fairmount\"), and its affiliates beneficially own 9.0% or less of the Common Stock, the beneficial ownership limitation with respect to the Series A Preferred Stock will automatically reduce to 9.99%.\n\nRow 13 is based on 70,384,984 shares of Common Stock outstanding as of June 5, 2026, consisting of (i) 60,845,967 shares of Common Stock outstanding as of June 5, 2026, as reported in the Company's final prospectus supplement filed pursuant to Rule 424(b)(5) dated June 3, 2026, (ii) 23,017 shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons and (iii) the 9,516,000 shares of Common Stock underlying the 9,516 shares of Series A Preferred Stock owned by the Reporting Persons, subject to the beneficial ownership limitation." }, { "accession_no": "0001104659-26-071942", "person_seq": 1, "reporting_person_cik": 1769651, "reporting_person_name": "Fairmount Healthcare Fund II L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 11413677.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11413677.0, "aggregate_amount_owned": 11413677.0, "percent_of_class": 16.22, "type_of_reporting_person": "PN", "comment_content": "The securities (a) include 1,897,677 shares of Common Stock and 9,516,000 shares of Common Stock issuable upon conversion of 9,516 Series A Preferred Stock held directly by Fund II, and (b) exclude 5,790,206 shares of Common Stock issuable upon exercise of Pre-Funded Warrants and 3,106,000 shares of Common Stock issuable upon conversion of 3,106 shares of Series A Preferred Stock. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock and the conversion of the Series A Preferred Stock is subject to a beneficial ownership limitation of 19.99%. The securities exclude shares of Common Stock issuable upon exercise of Pre-Funded Warrants and conversion of shares of Series A Preferred Stock in excess of such beneficial ownership limitations. At such time as Fairmount and its affiliates beneficially own 9.0% or less of the Common Stock, the beneficial ownership limitation with respect to the Series A Preferred Stock will automatically reduce to 9.99%.\n\nRow 13 is based on 70,384,984 shares of Common Stock outstanding as of June 5, 2026, consisting of (i) 60,845,967 shares of Common Stock outstanding as of June 5, 2026, as reported in the Company's final prospectus supplement filed pursuant to Rule 424(b)(5) dated June 3, 2026, (ii) 23,017 shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons and (iii) the 9,516,000 shares of Common Stock underlying the 9,516 shares of Series A Preferred Stock owned by the Reporting Persons, subject to the beneficial ownership limitation." }, { "accession_no": "0001104659-26-071942", "person_seq": 2, "reporting_person_cik": 2042283, "reporting_person_name": "Fairmount Healthcare Co-Invest IV L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2655817.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2655817.0, "aggregate_amount_owned": 2655817.0, "percent_of_class": 4.36, "type_of_reporting_person": "PN", "comment_content": "The securities include 2,655,817 shares of Common Stock held directly by Co-Invest.\n\nRow 13 is based on 60,845,967 shares of Common Stock outstanding as of June 5, 2026, as reported in the Company's final prospectus supplement filed pursuant to Rule 424(b)(5) dated June 3, 2026." }, { "accession_no": "0001104659-26-071942", "person_seq": 3, "reporting_person_cik": 1663607, "reporting_person_name": "Peter Evan Harwin", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 14069494.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14069494.0, "aggregate_amount_owned": 14069494.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "The information in the \"Comments\" to the cover page for Fairmount Funds Management LLC above is hereby incorporated by reference." }, { "accession_no": "0001104659-26-071942", "person_seq": 4, "reporting_person_cik": 1830177, "reporting_person_name": "Tomas Kiselak", "fund_type": "AF", "citizenship_or_org": "2B", "sole_voting_power": 23017.0, "shared_voting_power": 14040494.0, "sole_dispositive_power": 23017.0, "shared_dispositive_power": 14040494.0, "aggregate_amount_owned": 14063511.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "The securities include (a) 23,017 shares of Common Stock issuable upon the exercise of options that are currently exercisable or will be exercisable within 60 days of the date of this filing held directly by Mr. Kiselak*, (b) Fund II's direct holdings of (i) 1,897,677 shares of Common Stock and (ii) 9,487,000 shares of Common Stock issuable upon conversion of 9,487 shares of Series A Preferred Stock held directly by Fund II, and (c) Co-Invest's direct holdings of 2,655,817 shares of Common Stock. The securities exclude (i) 5,790,206 shares of Common Stock issuable upon exercise of Pre-Funded Warrants and (ii) 3,135,000 shares of Common Stock issuable upon conversion of 3,135 shares of Series A Preferred Stock, in each case directly held by Fund II. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock and the conversion of the Series A Preferred Stock is subject to a beneficial ownership limitation of 19.99%. At such time as Fairmount and its affiliates beneficially own 9.0% or less of the Common Stock, the beneficial ownership limitation with respect to the Series A Preferred Stock will automatically reduce to 9.99%.\n\nRow 13 is based on 70,355,984 shares of Common Stock outstanding as of June 5, 2026, consisting of (i) 60,845,967 shares of Common Stock outstanding as of June 5, 2026, as reported in the Company's final prospectus supplement filed pursuant to Rule 424(b)(5) dated June 3, 2026, (ii) 23,017 shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons and (iii) the 9,487,000 shares of Common Stock underlying the 9,487 shares of Series A Preferred Stock owned by the Reporting Persons, subject to the beneficial ownership limitation.\n\n* Under Mr. Kiselak's arrangement with Fairmount, Mr. Kiselak holds the options for one or more investment vehicles managed by Fairmount (each, a \"Fairmount Fund\"). Mr. Kiselak is obligated to turn over to Fairmount any net cash or stock received from the option for the benefit of such Fairmount Fund. Mr. Kiselak therefore disclaims beneficial ownership of the option and underlying common stock." }, { "accession_no": "0001104659-26-072493", "person_seq": 0, "reporting_person_cik": 937797, "reporting_person_name": "John C. Malone", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 18317740.0, "shared_voting_power": 103056.0, "sole_dispositive_power": 18317740.0, "shared_dispositive_power": 103056.0, "aggregate_amount_owned": 18420796.0, "percent_of_class": 5.5, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7, 9, and 11: Includes 1,045,714 shares of the common stock, par value $0.001 per share (\"Common Stock\"), of Sirius XM Holdings Inc. ( the \"Issuer\"), held in a revocable trust (the \"LM Revocable Trust\") with respect to which John C. Malone (\"Mr. Malone\") and Mr. Malone's wife, Mrs. Leslie Malone (\"Mrs. Malone\"), are trustees. Mrs. Malone has the right to revoke the LM Revocable Trust at any time. Mr. Malone disclaims beneficial ownership of the shares held by the LM Revocable Trust.\n\nNote to Rows 7, 9, and 11: Includes 15,272,026 shares of Common Stock held in a revocable trust (the \"JM Revocable Trust\") with respect to which Mr. Malone is trustee. Mr. Malone has the right to revoke the JM Revocable Trust at any time.\n\nNote to Rows 7, 9, and 11: Includes 2,000,000 shares of Common Stock held by a limited liability company of which Mr. Malone is a member and which Mr. Malone has the sole power to direct the voting with respect to such shares.\n\nNote to Rows 8, 10, and 11: Includes 103,056 shares of Common Stock held by a trust (the \"Trust\"), which is managed by an independent trustee and one of Mr. Malone's adult children, and of which the beneficiary is one of Mr. Malone's adult children. Mr. Malone has no pecuniary interest in the Trust, but he retains the right to substitute assets held by the Trust. Mr. Malone disclaims beneficial ownership of the shares held by the Trust.\n\nNote to Row 13: Calculated based upon the 336,619,936 shares of Common Stock outstanding as of April 28, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-072954", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Cochlear Investments Pty Ltd", "fund_type": "AF", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 5847283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5847283.0, "aggregate_amount_owned": 5847283.0, "percent_of_class": 5.91, "type_of_reporting_person": "CO", "comment_content": "Based on 98,894,961 ordinary shares (\"Ordinary Shares\") of Nyxoah S.A. (the \"Issuer\") outstanding, as stated in the Issuer's prospectus supplement filed with the U.S. Securities and Exchange Commission (the \"SEC\") on June 5, 2026." }, { "accession_no": "0001104659-26-072954", "person_seq": 1, "reporting_person_cik": 1870044, "reporting_person_name": "Cochlear Limited", "fund_type": "WC", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 5847283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5847283.0, "aggregate_amount_owned": 5847283.0, "percent_of_class": 5.91, "type_of_reporting_person": "CO", "comment_content": "Based on 98,894,961 Ordinary Shares outstanding, as stated in the Issuer's prospectus supplement filed with the SEC on June 5, 2026." }, { "accession_no": "0001104659-26-072968", "person_seq": 0, "reporting_person_cik": 2073586, "reporting_person_name": "Dylan Field", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 62696933.0, "shared_voting_power": 16226284.0, "sole_dispositive_power": 40366609.0, "shared_dispositive_power": 16226284.0, "aggregate_amount_owned": 78923217.0, "percent_of_class": 15.0, "type_of_reporting_person": "IN", "comment_content": "Row 7 consists of (a) 5 shares of Class A common stock, par value $0.00001 per share (\"Class A Common Stock\") of Figma, Inc. (the \"Issuer\") held directly by Dylan Field, (b) 153 shares of Class A Common Stock held by Field Family Investments LLC, which is associated with Mr. Field, (c) 37,987,566 shares of Class B common stock, par value $0.00001 per share (\"Class B Common Stock\") of the Issuer held directly by Mr. Field, (d) 2,378,885 shares of Class B Common Stock that may be acquired upon the settlement of restricted stock units held by Mr. Field that are expected to settle within 60 days of the date hereof, and (e) 22,330,324 shares of Class B Common Stock held by the Wu-Wallace Family Trust. Mr. Field holds an irrevocable proxy authorizing him to vote any number of shares held by Evan Wallace and the Wu-Wallace Family Trust that are subject to such proxy on all matters submitted to a vote of stockholders. Each share\nof Class B Common Stock is convertible into one share of Class A Common Stock at any time, at the election of the holder or automatically upon certain transfers, whether or not for value, or upon the occurrence of certain events or conditions described in the Issuer's Amended and Restated Certificate of Incorporation.\n\nRow 8 and Row 10 consist of (a) 348,859 shares of Class B Common Stock held by the Field 2024 GRAT Remainder Trust, of which A7P Trust Company serves as trustee and may be replaced as trustee at Mr. Field's discretion, (b) 1,122,908 shares of Class B Common Stock held by the Field 2021 Descendants Trust, of which Bryn Mawr Trust Company of Delaware serves as trustee and may be replaced as trustee at Mr. Field's discretion, and (c) 14,754,517 shares of Class B Common Stock held by LLL Investments LLC, which is associated with Mr. Field.\n\nRow 9 consists of (a) 5 shares of Class A Common Stock held directly by Mr. Field, (b) 153 shares of Class A Common Stock held by Field Family Investments LLC, which is associated with Mr. Field, (c) 37,987,566 shares of Class B Common Stock held directly by Mr. Field, and (d) 2,378,885 shares of Class B Common Stock that may be acquired upon the settlement of restricted stock units held by Mr. Field that are expected to settle within 60 days of the date hereof.\n\nWith respect to Row 13, pursuant to Rule 13d-3 of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\"), the percent of class was calculated based on (a) 445,682,595 shares of Class A Common Stock outstanding as of May 11, 2026 and (b) 78,923,059 shares of Class B Common Stock beneficially owned by Mr. Field (with such shares treated as converted into shares of Class A Common Stock only for purposes of computing the percentage ownership of Mr. Field pursuant to the Exchange Act)." }, { "accession_no": "0001104659-26-073025", "person_seq": 0, "reporting_person_cik": 1838253, "reporting_person_name": "Parvinder Singh Hyare", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 13521921.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13521921.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13521921.0, "percent_of_class": 6.65, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-073043", "person_seq": 0, "reporting_person_cik": 1616134, "reporting_person_name": "Eriksen Capital Management LLC", "fund_type": "WC", "citizenship_or_org": "WA", "sole_voting_power": 122846.0, "shared_voting_power": 0.0, "sole_dispositive_power": 176979.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 176979.0, "percent_of_class": 17.5, "type_of_reporting_person": "IA", "comment_content": "Percentage calculated based on 1,010,514 shares outstanding as of May 15, 2026, as reported in the 10-Q of Saker Aviation, filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-073043", "person_seq": 1, "reporting_person_cik": 1041718, "reporting_person_name": "Cedar Creek Partners LLC", "fund_type": "WC", "citizenship_or_org": "WA", "sole_voting_power": 113168.0, "shared_voting_power": 0.0, "sole_dispositive_power": 113168.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 113168.0, "percent_of_class": 11.2, "type_of_reporting_person": "PN", "comment_content": "Percentage calculated based on 1,010,514 shares outstanding as of May 15, 2026, as reported in the 10-Q of Saker Aviation, filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-073086", "person_seq": 0, "reporting_person_cik": 1425738, "reporting_person_name": "Redmile Group, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9819084.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9819084.0, "aggregate_amount_owned": 9819084.0, "percent_of_class": 9.9, "type_of_reporting_person": "IA", "comment_content": "(1) The source of funds was working capital of certain private investment funds managed by Redmile Group, LLC (the \"Redmile Funds\"), including Redmile Biopharma Investments II, L.P. (\"RBI II\").\n\n(2) The information in Item 5(a) relating to the shares of common stock, par value $0.0001 per share, of the Issuer (the \"Common Stock\") that are or may be deemed beneficially owned by Redmile Group, LLC (\"Redmile\") and the calculation of the beneficial ownership percentage of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-073086", "person_seq": 1, "reporting_person_cik": 1650527, "reporting_person_name": "Jeremy C. Green", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 9819084.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9819084.0, "aggregate_amount_owned": 9819084.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": "(1) The source of funds was working capital of the Redmile Funds, including RBI II.\n\n(2) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by Jeremy Green and the calculation of the beneficial ownership percentage of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-073086", "person_seq": 2, "reporting_person_cik": 1772230, "reporting_person_name": "Redmile Biopharma Investments II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6119962.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6119962.0, "aggregate_amount_owned": 6119962.0, "percent_of_class": 6.2, "type_of_reporting_person": "PN", "comment_content": "(1) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by RBI II and the calculation of the beneficial ownership percentage of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-073089", "person_seq": 0, "reporting_person_cik": 1294704, "reporting_person_name": "D. E. Shaw Valence Portfolios, L.L.C.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 43915249.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 43915249.0, "aggregate_amount_owned": 43915249.0, "percent_of_class": 9.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-073089", "person_seq": 1, "reporting_person_cik": 1277502, "reporting_person_name": "D. E. Shaw & Co., L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 46097064.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 46097064.0, "aggregate_amount_owned": 46097064.0, "percent_of_class": 9.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-073089", "person_seq": 2, "reporting_person_cik": 1009268, "reporting_person_name": "D. E. Shaw & Co., L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 46485295.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 46485295.0, "aggregate_amount_owned": 46485295.0, "percent_of_class": 9.5, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-073089", "person_seq": 3, "reporting_person_cik": 1023870, "reporting_person_name": "David E. Shaw", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 46485295.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 46485295.0, "aggregate_amount_owned": 46485295.0, "percent_of_class": 9.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-073158", "person_seq": 0, "reporting_person_cik": 1764895, "reporting_person_name": "Glory Achievement Fund Limited", "fund_type": "PF", "citizenship_or_org": "E9", "sole_voting_power": 62371755.0, "shared_voting_power": 0.0, "sole_dispositive_power": 62371755.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 62371755.0, "percent_of_class": 39.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-073158", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bull Group Limited", "fund_type": "PF", "citizenship_or_org": "E9", "sole_voting_power": 62371755.0, "shared_voting_power": 0.0, "sole_dispositive_power": 62371755.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 62371755.0, "percent_of_class": 39.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-073158", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BULL TRUST", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 62371755.0, "shared_voting_power": 0.0, "sole_dispositive_power": 62371755.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 62371755.0, "percent_of_class": 39.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-073542", "person_seq": 0, "reporting_person_cik": 2135467, "reporting_person_name": "Huang Siyu", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 21597865.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21597865.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 21597865.0, "percent_of_class": 19.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-073542", "person_seq": 1, "reporting_person_cik": 2136888, "reporting_person_name": "Yu Yingchao", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 21597865.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21597865.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 21597865.0, "percent_of_class": 19.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-073565", "person_seq": 0, "reporting_person_cik": 1965905, "reporting_person_name": "Eric Li (Li Shufu)", "fund_type": "AF", "citizenship_or_org": "F4", "sole_voting_power": 338624525.0, "shared_voting_power": 0.0, "sole_dispositive_power": 338624525.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 338624525.0, "percent_of_class": 52.3, "type_of_reporting_person": "IN", "comment_content": "Note to Row (7) and (9) - Includes (i) 186,648,945 Ordinary Shares held by Lotus Advanced Technology Limited Partnership (\"LATLP\"); (ii) 108,740,886 Ordinary Shares held by Lotus Technology International Investment Limited (\"LTIIL\"); (iii) 1,968,697 Ordinary Shares held by Geely Investment Holding Ltd; (iv) 16,788,321 Ordinary Shares held by ECARX Holdings Inc; and (v) 24,477,676 Ordinary Shares held by Geely International (Hong Kong) Limited (\"Geely HK\").\n\nLATLP is a limited liability partnership incorporated under the laws of British Virgin Islands and its general partner is Yin Qing Holdings Limited. Yin Qing Holdings Limited is wholly owned by Mr. Qingfeng Feng, the CEO and director of the Company. On July 30, 2021, the partners of LATLP, namely Ming Jun Holdings Limited, Yin Qing Holdings Limited, Xing Rong Holdings Limited and Jing Can Holdings Limited signed an agreement, later joined by State Rainbow Investments Limited and Radiant Field Investments Limited, under which these partners agreed to act in concert with Ming Jun Holdings Limited. Ming Jun Holdings Limited is wholly owned by Mr. Shufu Li. Therefore, Mr. Shufu Li may be deemed to beneficially own all of the shares held of record by LATLP. The registered address of Lotus Advanced Technology Limited Partnership is Sertus Chambers, P.O. Box 905, Quastisky Building, Road Town, Tortola, British Virgin Islands.\n\nLTIIL is wholly owned by Geely HK. Geely HK is wholly owned by Hainan Geely Investment Holdings Co., Ltd, which is wholly owned by Zhejiang Geely Holding Group Co., Ltd. (\"Geely Holding\"). Geely Holding is 82.233% owned by Mr. Shufu Li, 8.0583% owned by Mr. Xingxing Li, and 9.7087% owned by Ningbo Yima Enterprise Management Partnership (Limited Partnership). The registered address of LTIIL is Craigmuir Chambers, Road Town, Tortola, VG 1110, British Virgin Islands.\n\nGeely Investment Holding Ltd. is wholly owned by Geely HK. The registered address of Geely Investment Holding Ltd. is Craigmuir Chambers, Road Town, Tortola, VG 1110, British Virgin Islands.\n\nMr. Eric Li (Li Shufu) controls ECARX Holdings Inc. and therefore may be deemed to beneficially own all of the 16,788,321 Ordinary Shares directly held by ECARX Holdings Inc.\n\nNote to Row (13) - The percentage of class of securities beneficially owned by the reporting person and the voting power represented thereby are based on a total of 647,687,049 issued and outstanding Ordinary Shares as of May 20, 2026 (excluding Ordinary Shares issued to Deutsche Bank Trust Company Americas, the depositary of our ADS program, for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under our stock incentive plan)." }, { "accession_no": "0001104659-26-073565", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Lotus Advanced Technology Limited Partnership", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 186648945.0, "shared_voting_power": 0.0, "sole_dispositive_power": 186648945.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 186648945.0, "percent_of_class": 28.8, "type_of_reporting_person": "PN", "comment_content": "Note to Row (7) and (9) - Represents 186,648,945 Ordinary Shares held by LATLP. LATLP is a limited liability partnership incorporated under the laws of British Virgin Islands and its general partner is Yin Qing Holdings Limited. Yin Qing Holdings Limited is wholly owned by Mr. Qingfeng Feng, the CEO and director of the Company. On July 30, 2021, the partners of LATLP, namely Ming Jun Holdings Limited, Yin Qing Holdings Limited, Xing Rong Holdings Limited and Jing Can Holdings Limited signed an agreement, later joined by State Rainbow Investments Limited and Radiant Field Investments Limited, under which these partners agreed to act in concert with Ming Jun Holdings Limited. Ming Jun Holdings Limited is wholly owned by Mr. Shufu Li. Therefore, Mr. Shufu Li may be deemed to beneficially own all of the shares held of record by LATLP. The registered address of Lotus Advanced Technology Limited Partnership is Sertus Chambers, P.O. Box 905, Quastisky Building, Road Town, Tortola, British Virgin Islands.\n\nNote to Row (13) - The percentage of class of securities beneficially owned by the reporting person and the voting power represented thereby are based on a total of 647,687,049 issued and outstanding Ordinary Shares as of May 20, 2026 (excluding Ordinary Shares issued to Deutsche Bank Trust Company Americas, the depositary of our ADS program, for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under our stock incentive plan)." }, { "accession_no": "0001104659-26-073565", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Lotus Technology International Investment Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 108740886.0, "shared_voting_power": 0.0, "sole_dispositive_power": 108740886.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 108740886.0, "percent_of_class": 16.8, "type_of_reporting_person": "CO", "comment_content": "Note to Row (7) and (9) - Represents 108,740,886 Ordinary Shares held by LTIIL. LTIIL is wholly owned by Geely HK, which is ultimately wholly owned by Geely Holding. Geely Holding is 82.233% owned by Mr. Shufu Li, 8.0583% owned by Mr. Xingxing Li, and 9.7087% owned by Ningbo Yima Enterprise Management Partnership (Limited Partnership). The registered address of LTIIL is Craigmuir Chambers, Road Town, Tortola, VG 1110, British Virgin Islands.\n\nNote to Row (13) - The percentage of class of securities beneficially owned by the reporting person and the voting power represented thereby are based on a total of 647,687,049 issued and outstanding Ordinary Shares as of May 20, 2026 (excluding Ordinary Shares issued to Deutsche Bank Trust Company Americas, the depositary of our ADS program, for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under our stock incentive plan)." }, { "accession_no": "0001104659-26-073565", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Lotus Group International Limited", "fund_type": "AF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-073638", "person_seq": 0, "reporting_person_cik": 2082289, "reporting_person_name": "Stephanie Foglia", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1606324.0, "shared_voting_power": 4310811.0, "sole_dispositive_power": 1606324.0, "shared_dispositive_power": 4310811.0, "aggregate_amount_owned": 5917135.0, "percent_of_class": 18.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-073638", "person_seq": 1, "reporting_person_cik": 2102046, "reporting_person_name": "2025 Irrevocable Two-Year Grantor Retained Annuity Trust of Aspasia F. Vahaviolos", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4310811.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4310811.0, "aggregate_amount_owned": 4310811.0, "percent_of_class": 13.55, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-073827", "person_seq": 0, "reporting_person_cik": 42872, "reporting_person_name": "Fresenius Medical Care Holdings, Inc.", "fund_type": "WC", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 18312735.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18312735.0, "aggregate_amount_owned": 18312735.0, "percent_of_class": 6.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-073827", "person_seq": 1, "reporting_person_cik": 1333141, "reporting_person_name": "Fresenius Medical Care AG", "fund_type": "AF", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 18312735.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18312735.0, "aggregate_amount_owned": 18312735.0, "percent_of_class": 6.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-074089", "person_seq": 0, "reporting_person_cik": 1263508, "reporting_person_name": "Baker Bros. Advisors LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 115457154.0, "shared_voting_power": 0.0, "sole_dispositive_power": 115457154.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 115457154.0, "percent_of_class": 8.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-074089", "person_seq": 1, "reporting_person_cik": 1580575, "reporting_person_name": "Baker Bros. Advisors (GP) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 115457154.0, "shared_voting_power": 0.0, "sole_dispositive_power": 115457154.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 115457154.0, "percent_of_class": 8.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001104659-26-074089", "person_seq": 2, "reporting_person_cik": 1087939, "reporting_person_name": "Julian C. Baker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 115912814.0, "shared_voting_power": 0.0, "sole_dispositive_power": 115912814.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 115912814.0, "percent_of_class": 8.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-074089", "person_seq": 3, "reporting_person_cik": 1087940, "reporting_person_name": "Felix J. Baker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 115912814.0, "shared_voting_power": 0.0, "sole_dispositive_power": 115912814.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 115912814.0, "percent_of_class": 8.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-074089", "person_seq": 4, "reporting_person_cik": 1625395, "reporting_person_name": "FBB3 LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 144517.0, "shared_voting_power": 0.0, "sole_dispositive_power": 144517.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 144517.0, "percent_of_class": 0.01, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-074481", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 37729510.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37729510.0, "aggregate_amount_owned": 37729510.0, "percent_of_class": 19.7, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 23,773,987 Class A ordinary shares, par value $0.0000001 per share (\"Class A Shares\") of Bitdeer Technologies Group held by Tether Investments, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. and 13,955,523 Class A Shares held by Tether International, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 191,152,162 Class A Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report of Form 20-F filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-074481", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 23773987.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23773987.0, "aggregate_amount_owned": 23773987.0, "percent_of_class": 12.4, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 191,152,162 Class A Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report of Form 20-F filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-074481", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 13955523.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13955523.0, "aggregate_amount_owned": 13955523.0, "percent_of_class": 7.3, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 191,152,162 Class A Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report of Form 20-F filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-074481", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Giancarlo Devasini", "fund_type": "WC", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 37729510.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37729510.0, "aggregate_amount_owned": 37729510.0, "percent_of_class": 19.7, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 23,773,987 Class A Shares held by Tether Investments, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. and 13,955,523 Class A Shares held by Tether International, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 191,152,162 Class A Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report of Form 20-F filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-074483", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "OO", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 11489175.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11489175.0, "aggregate_amount_owned": 11489175.0, "percent_of_class": 12.3, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 11,489,175 common shares, no par value (\"Common Shares\") of Metalla Royalty & Streaming Ltd. held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-074483", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 11489175.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11489175.0, "aggregate_amount_owned": 11489175.0, "percent_of_class": 12.3, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-074483", "person_seq": 2, "reporting_person_cik": 2049832, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-074483", "person_seq": 3, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 11489175.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11489175.0, "aggregate_amount_owned": 11489175.0, "percent_of_class": 12.3, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 11,489,175 Common Shares held by Tether International, S.A. de C.V. a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-074484", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 1950000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1950000.0, "aggregate_amount_owned": 1950000.0, "percent_of_class": 8.1, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 1,950,000 Class A Ordinary Shares, par value $0.001 per share (\"Ordinary Shares\") of Antalpha Platform Holding Company (the \"Issuer\") held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 23,980,257 Ordinary Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report on Form 20-F filed with the Securities and Exchange Commission on April 14, 2026." }, { "accession_no": "0001104659-26-074484", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-074484", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 1950000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1950000.0, "aggregate_amount_owned": 1950000.0, "percent_of_class": 8.1, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 23,980,257 Ordinary Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report on Form 20-F filed with the Securities and Exchange Commission on April 14, 2026." }, { "accession_no": "0001104659-26-074484", "person_seq": 3, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "WC", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 1950000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1950000.0, "aggregate_amount_owned": 1950000.0, "percent_of_class": 8.1, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 1,950,000 Ordinary Shares held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 23,980,257 Ordinary Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report on Form 20-F filed with the Securities and Exchange Commission on April 14, 2026." }, { "accession_no": "0001104659-26-074587", "person_seq": 0, "reporting_person_cik": 1869810, "reporting_person_name": "JAB Indulgence B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 74190990.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74190990.0, "aggregate_amount_owned": 74190990.0, "percent_of_class": 43.03, "type_of_reporting_person": "HC", "comment_content": "Rows 8, 10 and 11 represent the aggregate voting and dispositive power of shares of common stock, par value $0.01 per share (the \"Common Stock\") (the shares of Common Stock, each a \"Share\" and, collectively, the \"Shares\"), of Krispy Kreme, Inc. (the \"Company\") that may be deemed to be beneficially owned by JAB Indulgence B.V. (\"JAB Indulgence\").\n\nThe percentage ownership in Row 13 is based upon 172,400,000 Shares issued and outstanding (as rounded to the nearest hundred thousand Shares in the Latest Disclosure) as of April 30, 2026, as set forth in the Quarterly Report on Form 10-Q (the \"Latest Disclosure\"), filed by the Company with the United States Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001104659-26-074587", "person_seq": 1, "reporting_person_cik": 1579134, "reporting_person_name": "JAB Holdings B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 74190990.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74190990.0, "aggregate_amount_owned": 74190990.0, "percent_of_class": 43.03, "type_of_reporting_person": "HC", "comment_content": "Rows 8, 10 and 11 represent the aggregate voting and dispositive power of shares of Common Stock that may be deemed to be beneficially owned by JAB Indulgence. JAB Holdings B.V. (\"JAB Holdings\") may be deemed to have beneficial ownership of the shares held by JAB Indulgence since JAB Indulgence is a direct subsidiary of JAB Holdings. Neither the filing of this Statement on Schedule 13D (this \"Statement\") nor any of its contents shall be deemed to constitute an admission by JAB Holdings that it is the beneficial owner of any of the Common Stock held by JAB Indulgence for purposes of Section 13(d) of the Exchange Act, or for any other purpose.\n\nThe percentage ownership in Row 13 is based upon 172,400,000 Shares issued and outstanding (as rounded to the nearest hundred thousand Shares in the Latest Disclosure) as of April 30, 2026, as set forth in the Latest Disclosure." }, { "accession_no": "0001104659-26-074587", "person_seq": 2, "reporting_person_cik": 1747036, "reporting_person_name": "JAB Investments S.a r.l.", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 74190990.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74190990.0, "aggregate_amount_owned": 74190990.0, "percent_of_class": 43.03, "type_of_reporting_person": "HC", "comment_content": "Rows 8, 10 and 11 represent the aggregate voting and dispositive power of shares of Common Stock that may be deemed to be beneficially owned by JAB Indulgence. JAB Investments S.a r.l. (\"JAB Investments\") may be deemed to have beneficial ownership of such shares since JAB Indulgence is an indirect subsidiary of JAB Investments. Neither the filing of this Statement nor any of its contents shall be deemed to constitute an admission by JAB Investments that it is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Exchange Act, or for any other purpose.\n\nThe percentage ownership in Row 13 is based upon 172,400,000 Shares issued and outstanding (as rounded to the nearest hundred thousand Shares in the Latest Disclosure) as of April 30, 2026, as set forth in the Latest Disclosure." }, { "accession_no": "0001104659-26-074587", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "JAB Holding Company S.a r.l.", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 74190990.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74190990.0, "aggregate_amount_owned": 74190990.0, "percent_of_class": 43.03, "type_of_reporting_person": "HC", "comment_content": "Rows 8, 10 and 11 represent the aggregate voting and dispositive power of shares of Common Stock that may be deemed to be beneficially owned by JAB Indulgence. JAB Holding Company S.a r.l. (\"JAB Holding Company\") may be deemed to have beneficial ownership of such shares since JAB Indulgence is an indirect subsidiary of JAB Holding Company. Neither the filing of this Statement nor any of its contents shall be deemed to constitute an admission by JAB Holding Company that it is the beneficial owner of any of the common stock referred to herein for purposes of Section 13(d) of the Exchange Act, or for any other purpose.\n\nThe percentage ownership in Row 13 is based upon 172,400,000 Shares issued and outstanding (as rounded to the nearest hundred thousand Shares in the Latest Disclosure) as of April 30, 2026, as set forth in the Latest Disclosure." }, { "accession_no": "0001104659-26-074587", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Joh. A. Benckiser B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 74190990.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74190990.0, "aggregate_amount_owned": 74190990.0, "percent_of_class": 43.03, "type_of_reporting_person": "HC", "comment_content": "Rows 8, 10 and 11 represent the aggregate voting and dispositive power of shares of Common Stock that may be deemed to be beneficially owned by JAB Indulgence. Joh. A. Benckiser B.V. (\"Joh. A. Benckiser\") may be deemed to have beneficial ownership of such shares since JAB Indulgence is an indirect subsidiary of Joh. A. Benckiser. Neither the filing of this Statement nor any of its contents shall be deemed to constitute an admission by Joh. A. Benckiser that it is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Exchange Act, or for any other purpose.\n\nThe percentage ownership in Row 13 is based upon 172,400,000 Shares issued and outstanding (as rounded to the nearest hundred thousand Shares in the Latest Disclosure) as of April 30, 2026, as set forth in the Latest Disclosure." }, { "accession_no": "0001104659-26-074587", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Agnaten SE", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 74190990.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74190990.0, "aggregate_amount_owned": 74190990.0, "percent_of_class": 43.03, "type_of_reporting_person": "HC", "comment_content": "Rows 8, 10 and 11 represent the aggregate voting and dispositive power of shares of Common Stock that may be deemed to be beneficially owned by JAB Indulgence. Agnaten SE (\"Agnaten\") may be deemed to have beneficial ownership of such shares since JAB Indulgence is an indirect subsidiary of Agnaten. Neither the filing of this Statement nor any of its contents shall be deemed to constitute an admission by Agnaten that it is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Exchange Act, or for any other purpose.\n\nThe percentage ownership in Row 13 is based upon 172,400,000 Shares issued and outstanding (as rounded to the nearest hundred thousand Shares in the Latest Disclosure) as of April 30, 2026, as set forth in the Latest Disclosure." }, { "accession_no": "0001104659-26-074587", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Lucresca SE", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 74190990.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74190990.0, "aggregate_amount_owned": 74190990.0, "percent_of_class": 43.03, "type_of_reporting_person": "HC", "comment_content": "Rows 8, 10 and 11 represent the aggregate voting and dispositive power of shares of Common Stock that may be deemed to be beneficially owned by JAB Indulgence. Lucresca SE (\"Lucresca\") may be deemed to have beneficial ownership of such shares since JAB Indulgence is an indirect subsidiary of Lucresca. Neither the filing of this Statement nor any of its contents shall be deemed to constitute an admission by Lucresca that it is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Exchange Act, or for any other purpose.\n\nThe percentage ownership in Row 13 is based upon 172,400,000 Shares issued and outstanding (as rounded to the nearest hundred thousand Shares in the Latest Disclosure) as of April 30, 2026, as set forth in the Latest Disclosure." }, { "accession_no": "0001104659-26-074730", "person_seq": 0, "reporting_person_cik": 1574018, "reporting_person_name": "Knutsen NYK Offshore Tankers AS", "fund_type": "OO", "citizenship_or_org": "Q8", "sole_voting_power": 11501486.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11501486.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11501486.0, "percent_of_class": 32.5, "type_of_reporting_person": "OO", "comment_content": "* Knutsen NYK Offshore Tankers AS (\"KNOT\") is also the beneficial owner of the 1.83%\ngeneral partner interest in KNOT Offshore Partners LP (the \"Partnership\"), 252,405 Class\nB Units representing limited partner interests in the Partnership (\"Class B Units\") and\n1,458,333 Series A Convertible Preferred Units in the Partnership (\"Series A Preferred\nUnits\"). One-eighth of the initial 673,080 Class B Units issued by the Partnership convert\nto common units representing limited partner interests in the Partnership (\"Common\nUnits\") on a one-for-one basis for each quarter (starting with the quarter ending\nSeptember 30, 2021) that the Partnership pays distributions on the Common Units that\nare at or above $0.52 per quarter until no further Class B Units exist. Included in the\namount beneficially owned are 1,749,862 Common Units, which represent the Common\nUnits into which the 1,458,333 Series A Preferred Units beneficially owned were\nconvertible at March 31, 2026.\n\n** Calculation of percentage based on a total of 35,410,204 Common Units outstanding\nas of March 31, 2026. In calculating the percentage beneficially owned, 1,749,862\nCommon Units were included in both the numerator and denominator, which represent\nthe Common Units into which the 1,458,333 Series A Preferred Units beneficially owned\nwere convertible at March 31, 2026." }, { "accession_no": "0001104659-26-074730", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "NYK Holding (Europe) B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 11501486.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11501486.0, "aggregate_amount_owned": 11501486.0, "percent_of_class": 32.5, "type_of_reporting_person": "OO", "comment_content": "* KNOT is a joint venture between NYK Holding (Europe) B.V. (\"NYK Europe\") and TS\nShipping Invest AS (\"TSSI\"), each of which owns a 50% interest and has the power to\nappoint half of the members of the board of directors of KNOT. Accordingly, each of NYK\nEurope and TSSI may be deemed to share beneficial ownership of the Common Units,\nClass B Units and Series A Preferred Units beneficially held by KNOT and the 1.83%\ngeneral partner interest held by the Partnership's general partner. Included in the amount\nbeneficially owned are 1,749,862 Common Units, which represent the Common Units into\nwhich the 1,458,333 Series A Preferred Units beneficially owned were convertible at\nMarch 31, 2026.\n\n** Calculation of percentage based on a total of 35,410,204 Common Units outstanding\nas of March 31, 2026. In calculating the percentage beneficially owned, 1,749,862\nCommon Units were included in both the numerator and denominator, which represent\nthe Common Units into which the 1,458,333 Series A Preferred Units beneficially owned\nwere convertible at March 31, 2026." }, { "accession_no": "0001104659-26-074730", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Nippon Yusen Kabushiki Kaisha", "fund_type": "OO", "citizenship_or_org": "M0", "sole_voting_power": 0.0, "shared_voting_power": 11501486.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11501486.0, "aggregate_amount_owned": 11501486.0, "percent_of_class": 32.5, "type_of_reporting_person": "OO", "comment_content": "* NYK Europe is a wholly owned subsidiary of Nippon Yusen Kabushiki Kaisha (\"NYK\"),\na broadly owned Japanese public company. NYK may therefore be deemed to share\nbeneficial ownership of the Common Units, Class B Units and Series A Preferred Units\nbeneficially held by KNOT and the 1.83% general partner interest held by the\nPartnership's general partner. Included in the amount beneficially owned are 1,749,862\nCommon Units, which represent the Common Units into which the 1,458,333 Series A\nPreferred Units beneficially owned were convertible at March 31, 2026.\n\n** Calculation of percentage based on a total of 35,410,204 Common Units outstanding\nas of March 31, 2026. In calculating the percentage beneficially owned, 1,749,862\nCommon Units were included in both the numerator and denominator, which represent\nthe Common Units into which the 1,458,333 Series A Preferred Units beneficially owned\nwere convertible at March 31, 2026." }, { "accession_no": "0001104659-26-074730", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "TS Shipping Invest AS", "fund_type": "OO", "citizenship_or_org": "Q8", "sole_voting_power": 0.0, "shared_voting_power": 11501486.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11501486.0, "aggregate_amount_owned": 11501486.0, "percent_of_class": 32.5, "type_of_reporting_person": "OO", "comment_content": "* KNOT is a joint venture between NYK Europe and TSSI, each of which owns a 50%\ninterest and has the power to appoint half of the members of the board of directors of\nKNOT. Accordingly, each of NYK Europe and TSSI may be deemed to share beneficial\nownership of the Common Units, Class B Units and Series A Preferred Units beneficially\nheld by KNOT and the 1.83% general partner interest held by the Partnership's general\npartner. Included in the amount beneficially owned are 1,749,862 Common Units, which\nrepresent the Common Units into which the 1,458,333 Series A Preferred Units\nbeneficially owned were convertible at March 31, 2026.\n\n**Calculation of percentage based on a total of 35,410,204 Common Units outstanding\nas of March 31, 2026. In calculating the percentage beneficially owned, 1,749,862\nCommon Units were included in both the numerator and denominator, which represent\nthe Common Units into which the 1,458,333 Series A Preferred Units beneficially owned\nwere convertible at March 31, 2026." }, { "accession_no": "0001104659-26-074730", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Seglem Holding AS", "fund_type": "OO", "citizenship_or_org": "Q8", "sole_voting_power": 0.0, "shared_voting_power": 11501486.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11501486.0, "aggregate_amount_owned": 11501486.0, "percent_of_class": 32.5, "type_of_reporting_person": "OO", "comment_content": "* TSSI is a wholly owned subsidiary of Seglem Holding AS (\"Seglem Holding\"). Seglem\nHolding may therefore be deemed to share beneficial ownership of the Common Units,\nClass B Units and Series A Preferred Units beneficially held by KNOT and the 1.83%\ngeneral partner interest held by the Partnership's general partner. Included in the amount\nbeneficially owned are 1,749,862 Common Units, which represent the Common Units into\nwhich the 1,458,333 Series A Preferred Units beneficially owned were convertible at\nMarch 31, 2026.\n\n** Calculation of percentage based on a total of 35,410,204 Common Units outstanding\nas of March 31, 2026. In calculating the percentage beneficially owned, 1,749,862\nCommon Units were included in both the numerator and denominator, which represent\nthe Common Units into which the 1,458,333 Series A Preferred Units beneficially owned\nwere convertible at March 31, 2026." }, { "accession_no": "0001104659-26-074730", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Seglem Trygve", "fund_type": "OO", "citizenship_or_org": "Q8", "sole_voting_power": 0.0, "shared_voting_power": 11501486.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11501486.0, "aggregate_amount_owned": 11501486.0, "percent_of_class": 32.5, "type_of_reporting_person": "OO", "comment_content": "* Trygve Seglem owns 70% of the equity interests in Seglem Holding, with the remainder\nowned by members of his immediate family. Through his control of Seglem Holding and\nindirect control of TSSI, Mr. Seglem may be deemed to share beneficial ownership of the\nCommon Units, Class B Units and Series A Preferred Units beneficially held by KNOT\nand the 1.83% general partner interest held by the Partnership's general partner. Included\nin the amount beneficially owned are 1,749,862 Common Units, which represent the\nCommon Units into which the 1,458,333 Series A Preferred Units beneficially owned were\nconvertible at March 31, 2026.\n\n** Calculation of percentage based on a total of 35,410,204 Common Units outstanding\nas of March 31, 2026. In calculating the percentage beneficially owned, 1,749,862\nCommon Units were included in both the numerator and denominator, which represent\nthe Common Units into which the 1,458,333 Series A Preferred Units beneficially owned\nwere convertible at March 31, 2026." }, { "accession_no": "0001104659-26-074760", "person_seq": 0, "reporting_person_cik": 1626282, "reporting_person_name": "TECHNOLOGY CROSSOVER MANAGEMENT VIII, LTD.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 34197116.0, "shared_voting_power": 0.0, "sole_dispositive_power": 34197116.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 34197116.0, "percent_of_class": 10.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-074760", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "TECHNOLOGY CROSSOVER MANAGEMENT VIII, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 32399169.0, "shared_voting_power": 0.0, "sole_dispositive_power": 32399169.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 32399169.0, "percent_of_class": 9.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-074760", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "TCV VIII, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 24327775.0, "shared_voting_power": 0.0, "sole_dispositive_power": 24327775.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 24327775.0, "percent_of_class": 7.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-074760", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "TCV VIII (A), L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 6560434.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6560434.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6560434.0, "percent_of_class": 2.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-074760", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "TCV VIII (B), L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 1510960.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1510960.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1510960.0, "percent_of_class": 0.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-074760", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "TCV MEMBER FUND, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 1797947.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1797947.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1797947.0, "percent_of_class": 0.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-074760", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "TCV VIII MANAGEMENT, L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 5134.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5134.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5134.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-074760", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "CHRISTOPHER P. MARSHALL", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 29154.0, "shared_voting_power": 0.0, "sole_dispositive_power": 29154.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 29154.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-074814", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Inversiones ASPI S.A.", "fund_type": "AF", "citizenship_or_org": "R5", "sole_voting_power": 211985547.0, "shared_voting_power": 0.0, "sole_dispositive_power": 211985547.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 211985547.0, "percent_of_class": 50.01, "type_of_reporting_person": "CO", "comment_content": "All calculations of percentage ownership in this Schedule 13D with respect to the Reporting Persons are based upon a total of 423,868,449 common shares, par value S/1.00 per share (the \"Common Shares\"), of Cementos Pacasmayo S.A.A., a publicly held corporation (sociedad anonima abierta) organized under the laws of Peru (the \"Company\"), outstanding as of June 16, 2026, as disclosed on the Company's website on such date." }, { "accession_no": "0001104659-26-074814", "person_seq": 1, "reporting_person_cik": 2016373, "reporting_person_name": "Holcim Ltd.", "fund_type": "WC", "citizenship_or_org": "V8", "sole_voting_power": 211985547.0, "shared_voting_power": 0.0, "sole_dispositive_power": 211985547.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 211985547.0, "percent_of_class": 50.01, "type_of_reporting_person": "CO", "comment_content": "All calculations of percentage ownership in this Schedule 13D with respect to the Reporting Persons are based upon a total of 423,868,449 Common Shares of the Company outstanding as of June 16, 2026, as disclosed on the Company's website on such date." }, { "accession_no": "0001104659-26-075153", "person_seq": 0, "reporting_person_cik": 904548, "reporting_person_name": "Charles W. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 14272420.0, "shared_voting_power": 134408894.0, "sole_dispositive_power": 14272420.0, "shared_dispositive_power": 134408894.0, "aggregate_amount_owned": 148681314.0, "percent_of_class": 51.0, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock, $0.001 par value per share ('Class A Common Stock') and Class B Common Stock, $0.001 par value per share ('Class B Common Stock') of EchoStar Corporation ('EchoStar'). The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power and Sole Dispositive Power totals consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network Corporation ('DISH Network') 401(k) Employee Savings Plan (the 'DISH Network 401(k) Plan'); (iii) 71,914 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 1,497,478 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mr. Ergen has the right to acquire beneficial ownership of such shares within 60 days after June 15, 2026; and (v) 1,551,355 shares of Class A Common Stock held by CONX Corp. ('CONX') and beneficially owned indirectly by Mr. Ergen through nXgen Opportunities, LLC ('nXgen'), which controls CONX.\n\n(3) Shared Voting Power and Shared Dispositive Power totals consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mr. Ergen's spouse, Cantey M. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 11,921 shares of Class A Common Stock beneficially owned by one of Mr. Ergen's children; (iv) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mr. Ergen is an officer and for which he shares voting and dispositive power with Mrs. Ergen; (v) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, LLC ('Telluray Holdings'), for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; (vi) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2024 SATS GRAT (the '2024 July GRAT'); (vii) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year May 2025 SATS GRAT (the \"2025 May GRAT\"); (viii) 16,800,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2025 SATS GRAT (the \"2025 June GRAT\"); (ix) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2025 SATS GRAT (the '2025 July GRAT'); and (x) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2026 SATS GRAT (the \"2026 June GRAT\").\n\n(4) Percent of Class Represented is based on 159,072,973 shares of Class A Common Stock outstanding on June 15, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mr. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, June 15, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mr. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, June 15, 2026). Pursuant to the Amended and Restated Support Agreement dated as of October 2, 2023 (the 'Amended Support Agreement', see Exhibit E), Mr. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mr. Ergen's effective total voting power in such circumstances as of June 15, 2026 is approximately 89.4 percent." }, { "accession_no": "0001104659-26-075153", "person_seq": 1, "reporting_person_cik": 1138538, "reporting_person_name": "Cantey M. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 133644038.0, "shared_voting_power": 13553306.0, "sole_dispositive_power": 70775840.0, "shared_dispositive_power": 76421504.0, "aggregate_amount_owned": 147197344.0, "percent_of_class": 50.7, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power shares consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after June 15, 2026; (iv) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings; (v) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2024 July GRAT; (vi) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vii) 16,800,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (viii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; and (ix) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT. Mrs. Ergen exercises voting power with respect to Telluray Holdings and each of the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT and the 2026 June GRAT independently and, with respect to the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT, and the 2026 June GRAT, in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(3) Shared Voting Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 71,914 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; and (vi) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(4) Sole Dispositive Power shares consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after June 15, 2026; (iv) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2024 July GRAT; (v) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vi) 16,800,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (vii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; and (viii) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT. Mrs. Ergen exercises dispositive power with respect to each of the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT and the 2026 June GRAT independently and in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(5) Shared Dispositive Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 71,914 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; (vi) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; and (vii) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(6) Percent of Class Represented is based on 159,072,973 of Class A Common Stock outstanding on June 15, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mrs. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, June 15, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mrs. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either exercisable as of, or may become exercisable within 60 days after, June 15, 2026). Pursuant to the Amended Support Agreement (see Exhibit E), Mrs. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mrs. Ergen's effective total voting power in such circumstances as of June 15, 2026 is approximately 89.3 percent." }, { "accession_no": "0001104659-26-075153", "person_seq": 2, "reporting_person_cik": 2030396, "reporting_person_name": "Ergen Two-Year July 2024 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 18561842.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18561842.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18561842.0, "percent_of_class": 10.5, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,072,973 shares of Class A Common Stock outstanding on June 15, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2024 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2024 July GRAT may be deemed to beneficially own would be approximately 6.4 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2024 July GRAT beneficially owns equity securities of EchoStar representing approximately 12.6 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-075153", "person_seq": 3, "reporting_person_cik": 2070254, "reporting_person_name": "Ergen Two-Year May 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 23097210.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23097210.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23097210.0, "percent_of_class": 12.7, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,072,973 shares of Class A Common Stock outstanding on June 15, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 May GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 May GRAT may be deemed to beneficially own would be approximately 8.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 May GRAT beneficially owns equity securities of EchoStar representing approximately 15.7 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-075153", "person_seq": 4, "reporting_person_cik": 2076356, "reporting_person_name": "Ergen Two-Year June 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 16800000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 16800000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 16800000.0, "percent_of_class": 9.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,072,973 shares of Class A Common Stock outstanding on June 15, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 June GRAT may be deemed to beneficially own would be approximately 5.8 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 June GRAT beneficially owns equity securities of EchoStar representing approximately 11.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-075153", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year July 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 8000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8000000.0, "percent_of_class": 4.8, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,072,973 shares of Class A Common Stock outstanding on June 15, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 July GRAT may be deemed to beneficially own would be approximately 2.8 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 July GRAT beneficially owns equity securities of EchoStar representing approximately 5.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-075153", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year June 2026 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 4300000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4300000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4300000.0, "percent_of_class": 2.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,072,973 shares of Class A Common Stock outstanding on June 15, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2026 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2026 June GRAT may be deemed to beneficially own would be approximately 1.5 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2026 June GRAT beneficially owns equity securities of EchoStar representing approximately 2.9 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock).\n(optional, 20,000-character limit, line endings allowed," }, { "accession_no": "0001104659-26-075153", "person_seq": 7, "reporting_person_cik": 1747721, "reporting_person_name": "Telluray Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 62868198.0, "shared_voting_power": 0.0, "sole_dispositive_power": 62868198.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 62868198.0, "percent_of_class": 28.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time. Totals consist of: (i) 2,350,696 shares of Class A Common Stock; and (ii) 60,517,502 shares of Class B Common Stock, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings.\n\n(2) Percent of Class Represented is based on 159,072,973 shares of Class A Common Stock outstanding on June 15, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by Telluray Holdings into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that Telluray Holdings may be deemed to beneficially own would be approximately 21.7 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, Telluray Holdings beneficially owns equity securities of EchoStar representing approximately 41.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock). Pursuant to the Amended Support Agreement dated as of October 2, 2023 (see Exhibit E), Telluray Holdings and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Telluray Holdings' effective total voting power in such circumstances as of June 15, 2026 is approximately 41.1 percent." }, { "accession_no": "0001104659-26-075317", "person_seq": 0, "reporting_person_cik": 1991920, "reporting_person_name": "Huan Liu", "fund_type": "PF", "citizenship_or_org": "F4", "sole_voting_power": 200877.0, "shared_voting_power": 2579.0, "sole_dispositive_power": 200877.0, "shared_dispositive_power": 2579.0, "aggregate_amount_owned": 203456.0, "percent_of_class": 6.4, "type_of_reporting_person": "IN", "comment_content": "Note to Row 7 and Row 9: On June 15, 2026, the issuer closed a private placement transaction with the Reporting Person, pursuant to which the Reporting Person purchased 200,000 shares of the issuer's Class B common stock, par value $0.0001 per share, at a purchase price of $2.00 per share. The Reporting Person directly or indirectly held 3,456 shares of the Issuer's Class B common stock prior to June 15, 2026. See the Note to Rows 8 and 10.\n\nNote to Row 8 and Row 10: Represents 2,579 shares of the Issuer's Class A common stock issuable to FAIRVIEW EASTERN INTERNATIONAL HOLDINGS LIMITED upon conversion of 2,579 shares of Class B common stock held by FAIRVIEW EASTERN INTERNATIONAL HOLDINGS LIMITED as of the date hereof. The Reporting Person is the sole shareholder of FAIRVIEW EASTERN INTERNATIONAL HOLDINGS LIMITED. Accordingly, the Reporting Person may be deemed to beneficially own the securities of the Issuer held by FAIRVIEW EASTERN INTERNATIONAL HOLDINGS LIMITED.\n\nNote to Row 13: The percentage of class is calculated based on 2,955,935 shares of Class A common stock outstanding as of the date hereof, as provided by the Issuer to the Reporting Person on the same date. Pursuant to Rule 13d-3(d)(1) under the Act, the denominator of this percentage is the sum of (i) the 2,955,935 shares of Class A common stock outstanding as of the date hereof, (ii) the 2,579 shares of Class A common stock issuable to FAIRVIEW EASTERN INTERNATIONAL HOLDINGS LIMITED upon conversion of its shares of Class B common stock, (iii) the 877 shares of Class A common stock issuable to the Reporting Person upon conversion of its shares of Class B common stock, and (iv) the 200,000 Class B common stock as described in Note to Row 7 and Row 9 contained herein." }, { "accession_no": "0001104659-26-075324", "person_seq": 0, "reporting_person_cik": 1352851, "reporting_person_name": "Magnetar Financial LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 22402628.13, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22402628.13, "aggregate_amount_owned": 22402628.13, "percent_of_class": 42.78, "type_of_reporting_person": "IA", "comment_content": "(1) Comprised of 22,402,628.13 shares of Common Stock issuable upon conversion of 147,232.96 shares of Series B-3 Convertible Preferred Stock, at an initial conversion price of $7.99 per share, without giving effect to the Ownership Cap (as defined below). The terms of the Series B-3 Convertible Preferred Stock restrict the conversion of such shares to the extent that, upon such conversion, the number of shares of Common Stock then beneficially owned by the holder and its affiliates and any other person or entities with which such holder would constitute a Section 13(d) \"group\" would exceed 9.99% of the total number of shares of Common Stock then outstanding (the \"Ownership Cap\"). Accordingly, notwithstanding the number of shares reported, the reporting person disclaims beneficial ownership of the shares of Common Stock issuable upon conversion of Series B-3 Convertible Preferred Stock to the extent that upon such conversion the number of shares beneficially owned by all reporting persons hereunder, in the aggregate, would exceed the Ownership Cap." }, { "accession_no": "0001104659-26-075324", "person_seq": 1, "reporting_person_cik": 1353085, "reporting_person_name": "Magnetar Capital Partners LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 22402628.13, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22402628.13, "aggregate_amount_owned": 22402628.13, "percent_of_class": 42.78, "type_of_reporting_person": "HC", "comment_content": "(1) Comprised of 22,402,628.13 shares of Common Stock issuable upon conversion of 147,232.96 shares of Series B-3 Convertible Preferred Stock, at an initial conversion price of $7.99 per share, without giving effect to the Ownership Cap (as defined below). The terms of the Series B-3 Convertible Preferred Stock restrict the conversion of such shares to the extent that, upon such conversion, the number of shares of Common Stock then beneficially owned by the holder and its affiliates and any other person or entities with which such holder would constitute a Section 13(d) \"group\" would exceed 9.99% of the Ownership Cap. Accordingly, notwithstanding the number of shares reported, the reporting person disclaims beneficial ownership of the shares of Common Stock issuable upon conversion of Series B-3 Convertible Preferred Stock to the extent that upon such conversion the number of shares beneficially owned by all reporting persons hereunder, in the aggregate, would exceed the Ownership Cap." }, { "accession_no": "0001104659-26-075324", "person_seq": 2, "reporting_person_cik": 1368026, "reporting_person_name": "Supernova Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 22402628.13, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22402628.13, "aggregate_amount_owned": 22402628.13, "percent_of_class": 42.78, "type_of_reporting_person": "HC", "comment_content": "(1) Comprised of 22,402,628.13 shares of Common Stock issuable upon conversion of 147,232.96 shares of Series B-3 Convertible Preferred Stock, at an initial conversion price of $7.99 per share, without giving effect to the Ownership Cap (as defined below). The terms of the Series B-3 Convertible Preferred Stock restrict the conversion of such shares to the extent that, upon such conversion, the number of shares of Common Stock then beneficially owned by the holder and its affiliates and any other person or entities with which such holder would constitute a Section 13(d) \"group\" would exceed 9.99% of the Ownership Cap. Accordingly, notwithstanding the number of shares reported, the reporting person disclaims beneficial ownership of the shares of Common Stock issuable upon conversion of Series B-3 Convertible Preferred Stock to the extent that upon such conversion the number of shares beneficially owned by all reporting persons hereunder, in the aggregate, would exceed the Ownership Cap." }, { "accession_no": "0001104659-26-075324", "person_seq": 3, "reporting_person_cik": 1953511, "reporting_person_name": "David J. Snyderman", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 22402628.13, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22402628.13, "aggregate_amount_owned": 22402628.13, "percent_of_class": 42.78, "type_of_reporting_person": "IN", "comment_content": "(1) Comprised of 22,402,628.13 shares of Common Stock issuable upon conversion of 147,232.96 shares of Series B-3 Convertible Preferred Stock, at an initial conversion price of $7.99 per share, without giving effect to the Ownership Cap (as defined below). The terms of the Series B-3 Convertible Preferred Stock restrict the conversion of such shares to the extent that, upon such conversion, the number of shares of Common Stock then beneficially owned by the holder and its affiliates and any other person or entities with which such holder would constitute a Section 13(d) \"group\" would exceed 9.99% of the Ownership Cap. Accordingly, notwithstanding the number of shares reported, the reporting person disclaims beneficial ownership of the shares of Common Stock issuable upon conversion of Series B-3 Convertible Preferred Stock to the extent that upon such conversion the number of shares beneficially owned by all reporting persons hereunder, in the aggregate, would exceed the Ownership Cap." }, { "accession_no": "0001104659-26-075751", "person_seq": 0, "reporting_person_cik": 935577, "reporting_person_name": "Warren B. Kanders", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 11369478.0, "shared_voting_power": 23450.0, "sole_dispositive_power": 11369478.0, "shared_dispositive_power": 23450.0, "aggregate_amount_owned": 11392928.0, "percent_of_class": 26.4, "type_of_reporting_person": "IN", "comment_content": "Footnote to Rows 7 and 9: (A) Consists of (i) 22,888 shares held by Warren B. Kanders, (ii) 1,305,650 shares held by Warren B. Kanders Roth IRA, (iii) 9,692,039 shares held by Kanders SAF, LLC (\"Kanders SAF\"); and (iv) options to purchase an aggregate of 348,901 shares of common stock which were previously granted under the Issuer's 2021 Stock Incentive Plan and that are presently exercisable or exercisable within 60 days of the date hereof; and (B) excludes, without duplication, (i) 258,266 shares underlying stock options to purchase shares of common stock which were previously granted under the Issuer's 2021 Stock Incentive Plan and that are not presently exercisable or exercisable within 60 days of the date hereof; (ii) 80,974 shares underlying restricted stock units which were previously granted under the Issuer's 2021 Stock Incentive Plan and that are not presently vested or vesting within 60 days of the date hereof; (iii) 261,000 shares underlying restricted stock units granted under the Issuer's 2021 Stock Incentive Plan that will vest only if, on or before June 16, 2033, the Issuer's common stock achieves a volume-weighted average trading price (\"VWAP\") of at least $60.00 per share over a 20 consecutive trading day measurement period; (iv) 373,000 shares underlying restricted stock units granted under the Issuer's 2021 Stock Incentive Plan that will vest only if, on or before June 16, 2033, the Issuer's common stock achieves a VWAP of at least $80.00 per share over a 20 consecutive trading day measurement period; (v) 496,500 shares underlying stock options granted under the Issuer's 2021 Stock Incentive Plan that will vest and become exercisable only if, on or before June 16, 2033, the Issuer's common stock achieves a VWAP of at least $60.00 per share over a 20 consecutive trading day measurement period; and (vi) 616,500 shares underlying stock options granted under the Issuer's 2021 Stock Incentive Plan that will vest and become exercisable only if, on or before June 16, 2033, the Issuer's common stock achieves a VWAP of at least $80.00 per share over a 20 consecutive trading day measurement period. Mr. Kanders is the sole member and manager of Kanders SAF, and accordingly all of the shares of the Issuer's common stock held by Kanders SAF may be deemed to be beneficially owned by Mr. Kanders.\n\nFootnote to Rows 8 and 10: Consists of 23,450 shares held by Allison Kanders Roth IRA. Allison Kanders is the wife of Mr. Kanders, and accordingly all of the shares of the Issuer's common stock held by Allison Kanders Roth IRA may be deemed to be beneficially owned by Mr. Kanders. Mr. Kanders disclaims beneficial ownership of the shares held by Allison Kanders Roth IRA, except to the extent of his pecuniary interest therein.\n\nFootnote to Row 11: The amount reported above as being beneficially owned by Mr. Kanders (A) includes, without duplication, the shares reported in Rows 7 and 9 plus the shares reported in Rows 8 and 10; and (B) excludes, without duplication, (i) 258,266 shares underlying stock options to purchase shares of the Issuer's common stock which were previously granted under the Issuer's 2021 Stock Incentive Plan and that are not presently exercisable or exercisable within 60 days of the date hereof; (ii) 80,974 shares underlying restricted stock units which were previously granted under the Issuer's 2021 Stock Incentive Plan and that are not presently vested or vesting within 60 days of the date hereof; (iii) 261,000 shares underlying restricted stock units granted under the Issuer's 2021 Stock Incentive Plan that will vest only if, on or before June 16, 2033, the Issuer's common stock achieves a VWAP of at least $60.00 per share over a 20 consecutive trading day measurement period; (iv) 373,000 shares underlying restricted stock units granted under the Issuer's 2021 Stock Incentive Plan that will vest only if, on or before June 16, 2033, the Issuer's common stock achieves a VWAP of at least $80.00 per share over a 20 consecutive trading day measurement period; (v) 496,500 shares underlying stock options granted under the Issuer's 2021 Stock Incentive Plan that will vest and become exercisable only if, on or before June 16, 2033, the Issuer's common stock achieves a VWAP of at least $60.00 per share over a 20 consecutive trading day measurement period; and (vi) 616,500 shares underlying stock options granted under the Issuer's 2021 Stock Incentive Plan that will vest and become exercisable only if, on or before June 16, 2033, the Issuer's common stock achieves a VWAP of at least $80.00 per share over a 20 consecutive trading day measurement period.\n\nFootnote to Row 13: The percentage of shares of common stock reported as being beneficially owned by Mr. Kanders is based upon 43,146,352 shares of common stock outstanding as of the date hereof, which includes: (i) 42,797,451 shares of common stock outstanding as of May 1, 2026, as set forth in the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026 filed with the Securities and Exchange Commission on May 11, 2026; and (ii) options to purchase an aggregate of 348,901 shares of common stock which were previously granted under the Issuer's 2021 Stock Incentive Plan and that are presently exercisable or exercisable within 60 days of the date hereof." }, { "accession_no": "0001104659-26-075751", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Kanders SAF, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9692039.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9692039.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9692039.0, "percent_of_class": 22.6, "type_of_reporting_person": "OO", "comment_content": "Footnote to Rows 7, 9 and 11: Mr. Kanders is the sole member and manager of Kanders SAF, and accordingly may be deemed to beneficially own all of the shares of the Company's common stock held by Kanders SAF.\n\nFootnote to Row 13: The percentage of shares of common stock reported as being beneficially owned by Kanders SAF is based upon 42,797,451 shares of common stock outstanding as of May 1, 2026, as set forth in the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026 filed with the Securities and Exchange Commission on May 11, 2026." }, { "accession_no": "0001104659-26-075797", "person_seq": 0, "reporting_person_cik": 2124675, "reporting_person_name": "Ching-Dong Wang", "fund_type": "OO", "citizenship_or_org": "F5", "sole_voting_power": 333832129.0, "shared_voting_power": 0.0, "sole_dispositive_power": 333832129.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 333832129.0, "percent_of_class": 59.53, "type_of_reporting_person": "IN", "comment_content": "Represents 333,832,129 ordinary shares, par value $0.00001 per share (the \"Ordinary Shares\"), of SL Science Holding Limited, a company incorporated in the Cayman Islands (the \"Issuer\"), beneficially owned by Ching-Dong Wang, including (i) 329,286,823 Ordinary Shares held by SL Link Holding Ltd., and (ii) 4,545,306 Ordinary Shares held by SL Link Co., Ltd. The percentage listed in Row 13 is based on a total of approximately 560,759,757 Ordinary Shares issued and outstanding as a result of the completion of the Business Combination (as defined herein) on June 12, 2026, which does not include 260,000 Ordinary Shares convertible on December 12, 2026 from 780,000 preferred shares, par value $0.00001 per share (the \"Preferred Shares\"), issued and outstanding as of June 18, 2026. For more information regarding the Business Combination, see Item 4 of this Schedule 13D." }, { "accession_no": "0001104659-26-075797", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "SL Link Holding Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 329286823.0, "shared_voting_power": 0.0, "sole_dispositive_power": 329286823.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 329286823.0, "percent_of_class": 58.72, "type_of_reporting_person": "CO", "comment_content": "SL Link Holding Ltd. is a company incorporated in the Cayman Islands which is owned equally by Ching-Dong Wang and his spouse. Ching-Dong Wang is the sole director of SL Link Holding Ltd. As a result, Ching-Dong Wang is deemed to have voting and dispositive power over the securities of the Issuer held by SL Link Holding Ltd. The percentage listed in Row 13 is based on a total of approximately 560,759,757 Ordinary Shares issued and outstanding on a fully converted basis as a result of the completion of the Business Combination (as defined herein) on June 12, 2026, which does not include 260,000 Ordinary Shares convertible on December 12, 2026 from 780,000 Preferred Shares issued and outstanding as of June 18, 2026. For more information regarding the Business Combination, see Item 4 of this Schedule 13D." }, { "accession_no": "0001104659-26-075797", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "SL Link Co., Ltd.", "fund_type": "OO", "citizenship_or_org": "F5", "sole_voting_power": 4545306.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4545306.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4545306.0, "percent_of_class": 0.81, "type_of_reporting_person": "CO", "comment_content": "SL Link Co., Ltd. is a company incorporated in Taiwan. Ching-Dong Wang owns a 50.63% equity interest in SL Link Co., Ltd., and is the Chairman of the Board and Chief Executive Officer of SL Link Co., Ltd. As a result, Ching-Dong Wang is deemed to have voting and dispositive power over the securities of the Issuer held by SL Link Co., Ltd. The percentage listed in Row 13 is based on a total of approximately 560,759,757 Ordinary Shares issued and outstanding on a fully converted basis as a result of the completion of the Business Combination (as defined herein) on June 12, 2026, which does not include 260,000 Ordinary Shares convertible on December 12, 2026 from 780,000 Preferred Shares issued and outstanding as of June 18, 2026. For more information regarding the Business Combination, see Item 4 of this Schedule 13D." }, { "accession_no": "0001104659-26-075893", "person_seq": 0, "reporting_person_cik": 1655183, "reporting_person_name": "Mudrick Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 977645148.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 977645148.0, "aggregate_amount_owned": 977645148.0, "percent_of_class": 90.9, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 100,266,156 shares of Common Stock, (ii) 870,378,992 shares of Common Stock issuable upon conversion of Convertible Notes, and (iii) 7,000,000 shares of Common Stock issuable upon the exercise of Warrants, in each case, directly held by Mudrick Distressed Opportunity Fund Global, L.P., Mudrick Distressed Opportunity Drawdown Fund II, L.P., Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., Mudrick Distressed Opportunity SIF Master Fund, L.P., Mudrick Stressed Credit Master Fund, L.P., Mudrick Opportunity Co-Investment Fund, L.P., and certain accounts managed by Mudrick Capital Management, L.P., in the aggregate.\n\nRow 13 is based on 1,074,959,854 shares of Common Stock outstanding, which includes (i) 197,580,862 shares of Common Stock outstanding as provided by the Issuer (the \"Outstanding Shares\"), (ii) 870,378,992 shares of Common Stock issuable upon the conversion of Convertible Notes in the aggregate beneficially owned by the Reporting Persons, and (iii) 7,000,000 shares of Common Stock issuable upon the exercise of Warrants beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-075893", "person_seq": 1, "reporting_person_cik": 1730922, "reporting_person_name": "Mudrick Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 977645148.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 977645148.0, "aggregate_amount_owned": 977645148.0, "percent_of_class": 90.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include (i) 100,266,156 shares of common stock (\"Common Stock\") of Getaround, Inc. (the \"Issuer\"), (ii) 870,378,992 shares of Common Stock issuable upon conversion of Convertible Notes, and (iii) 7,000,000 shares of Common Stock issuable upon the exercise of Warrants, in each case, directly held by Mudrick Distressed Opportunity Fund Global, L.P., Mudrick Distressed Opportunity Drawdown Fund II, L.P., Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., Mudrick Distressed Opportunity SIF Master Fund, L.P., Mudrick Stressed Credit Master Fund, L.P., Mudrick Opportunity Co-Investment Fund, L.P., and certain accounts managed by Mudrick Capital Management, L.P., in the aggregate.\n\nRow 13 is based on 1,074,959,854 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 870,378,992 shares of Common Stock issuable upon the conversion of Convertible Notes in the aggregate beneficially owned by the Reporting Persons, and (iii) 7,000,000 shares of Common Stock issuable upon the exercise of Warrants beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-075893", "person_seq": 2, "reporting_person_cik": 1367262, "reporting_person_name": "Jason Mudrick", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 977645148.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 977645148.0, "aggregate_amount_owned": 977645148.0, "percent_of_class": 90.9, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11 include (i) 100,266,156 shares of common stock (\"Common Stock\") of Getaround, Inc. (the \"Issuer\"), (ii) 870,378,992 shares of Common Stock issuable upon conversion of Convertible Notes, and (iii) 7,000,000 shares of Common Stock issuable upon the exercise of Warrants, in each case, directly held by Mudrick Distressed Opportunity Fund Global, L.P., Mudrick Distressed Opportunity Drawdown Fund II, L.P., Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., Mudrick Distressed Opportunity SIF Master Fund, L.P., Mudrick Stressed Credit Master Fund, L.P., Mudrick Opportunity Co-Investment Fund, L.P., and certain accounts managed by Mudrick Capital Management, L.P., in the aggregate.\n\nRow 13 is based on 1,074,959,854 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 870,378,992 shares of Common Stock issuable upon the conversion of Convertible Notes in the aggregate beneficially owned by the Reporting Persons, and (iii) 7,000,000 shares of Common Stock issuable upon the exercise of Warrants beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-075893", "person_seq": 3, "reporting_person_cik": 1813628, "reporting_person_name": "Mudrick Distressed Opportunity Fund Global, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 243752101.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 243752101.0, "aggregate_amount_owned": 243752101.0, "percent_of_class": 71.4, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 100,066,362 shares of Common Stock, (ii) 141,940,459 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 1,745,280 shares of Common Stock issuable upon the exercise of Warrants.\n\nRow 13 is based on 341,266,601 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 141,940,459 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 1,745,280 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 4, "reporting_person_cik": 1656059, "reporting_person_name": "Mudrick GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 243752101.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 243752101.0, "aggregate_amount_owned": 243752101.0, "percent_of_class": 71.4, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflects beneficial ownership as the general partner of Mudrick Distressed Opportunity Fund Global, L.P.\n\nRow 13 is based on 341,266,601 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 141,940,459 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 1,745,280 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 5, "reporting_person_cik": 1763080, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 164713669.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 164713669.0, "aggregate_amount_owned": 164713669.0, "percent_of_class": 45.5, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 44,842 shares of Common Stock, (ii) 163,489,467 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 1,179,360 shares of Common Stock issuable upon the exercise of Warrants.\n\nRow 13 is based on 362,249,689 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 163,489,467 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 1,179,360 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 6, "reporting_person_cik": 1813394, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16111580.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16111580.0, "aggregate_amount_owned": 16111580.0, "percent_of_class": 7.5, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 4,386 shares of Common Stock, (ii) 15,991,834 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 115,360 shares of Common Stock issuable upon the exercise of Warrants.\n\nRow 13 is based on 213,688,056 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 15,991,834 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 115,360 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 7, "reporting_person_cik": 1813765, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 180825249.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 180825249.0, "aggregate_amount_owned": 180825249.0, "percent_of_class": 47.8, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflects beneficial ownership as the general partner of Mudrick Distressed Opportunity Drawdown Fund II, L.P. and Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.\n\nRow 13 is based on 378,356,883 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 179,481,301 shares of Common Stock issuable upon the conversion of Convertible Notes directly held by Mudrick Distressed Opportunity Drawdown Fund II, L.P. and Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., and (iii) 1,294,720 shares of Common Stock issuable upon the exercise of Warrants directly held by Mudrick Distressed Opportunity Drawdown Fund II, L.P. and Mudrick Distressed Opportunity Drawdown Fund II SC, L.P." }, { "accession_no": "0001104659-26-075893", "person_seq": 8, "reporting_person_cik": 1860577, "reporting_person_name": "Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 41357181.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 41357181.0, "aggregate_amount_owned": 41357181.0, "percent_of_class": 17.3, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 11,259 shares of Common Stock, (ii) 41,049,802 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 296,120 shares of Common Stock issuable upon the exercise of Warrants.\n\nRow 13 is based on 238,926,784 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 41,049,802 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 296,120 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 9, "reporting_person_cik": 1959099, "reporting_person_name": "Mudrick Distressed Opportunity 2020 Dislocation Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 41357181.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 41357181.0, "aggregate_amount_owned": 41357181.0, "percent_of_class": 17.3, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflect beneficial ownership as the general partner of Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P.\n\nRow 13 is based on 238,926,784 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 41,049,802 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 296,120 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 10, "reporting_person_cik": 1875540, "reporting_person_name": "Mudrick Distressed Opportunity SIF Master Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 34089084.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34089084.0, "aggregate_amount_owned": 34089084.0, "percent_of_class": 14.7, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 9,280 shares of Common Stock, (ii) 33,835,724 shares of Common Stock issuable upon the conversion of Convertible Notes, and (ii) 244,080 shares of Common Stock issuable upon the exercise of Warrants.\n\nRow 13, is based on 231,660,666 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 33,835,724 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 244,080 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 11, "reporting_person_cik": 1959041, "reporting_person_name": "Mudrick Distressed Opportunity SIF GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 34089084.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34089084.0, "aggregate_amount_owned": 34089084.0, "percent_of_class": 14.7, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 Reflects beneficial ownership as the general partner of Mudrick Distressed Opportunity SIF Master Fund, L.P.\n\nRow 13, is based on 231,660,666 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 33,835,724 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 244,080 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 12, "reporting_person_cik": 1958524, "reporting_person_name": "Mudrick Stressed Credit Master Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 88440565.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 88440565.0, "aggregate_amount_owned": 88440565.0, "percent_of_class": 30.9, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 24,077 shares of Common Stock, (ii) 87,783,248 shares of Common Stock issuable upon the conversion of Convertible Notes, and (ii) 633,240 shares of Common Stock issuable upon the exercise of Warrants.\n\nRow 13 is based on 285,997,350 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 87,783,248 shares of Common Stock issuable upon the conversion of Convertible Notes, and (ii) 633,240 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 13, "reporting_person_cik": 1958558, "reporting_person_name": "Mudrick Stressed Credit Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 88440565.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 88440565.0, "aggregate_amount_owned": 88440565.0, "percent_of_class": 30.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 Reflects beneficial ownership as the general partner of Mudrick Stressed Credit Master Fund, L.P.\n\nRow 13 is based on 285,997,350 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 87,783,248 shares of Common Stock issuable upon the conversion of Convertible Notes, and (ii) 633,240 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 14, "reporting_person_cik": 1899917, "reporting_person_name": "Mudrick Opportunity Co-Investment Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 27932708.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 27932708.0, "aggregate_amount_owned": 27932708.0, "percent_of_class": 12.4, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 7,604 shares of Common Stock, (ii) 27,725,104 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 200,000 shares of Common Stock issuable upon the exercise of Warrants.\n\nRow 13 is based on 225,505,966 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 27,725,104 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 200,000 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-075893", "person_seq": 15, "reporting_person_cik": 1959101, "reporting_person_name": "Mudrick Opportunity Co-Investment Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 27932708.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 27932708.0, "aggregate_amount_owned": 27932708.0, "percent_of_class": 12.4, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 reflects beneficial ownership as the general partner of Mudrick Opportunity Co-Investment Fund, L.P.\n\nRow 13 is based on 225,505,966 shares of Common Stock outstanding, which includes (i) the Outstanding Shares, (ii) 27,725,104 shares of Common Stock issuable upon the conversion of Convertible Notes, and (iii) 200,000 shares of Common Stock issuable upon the exercise of Warrants." }, { "accession_no": "0001104659-26-076287", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "OO", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 244741043.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 244741043.0, "aggregate_amount_owned": 244741043.0, "percent_of_class": 48.7, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes (i) 141,877,369 shares of Class A Common Stock, par value $0.0001 per share, of RUM Group Inc. (f/k/a Rumble Inc.) (\"Class A Common Stock\"); and (ii) 102,863,674 Pre-Funded Warrants exercisable for Class A Common Stock held by Tether Investments, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon (i) 276,222,174 shares of Class A Common Stock issued and outstanding; (ii) 123,690,470 shares of Class A Common Stock issuable upon exchange of any issued and outstanding exchangeable shares of the Issuer's subsidiary 1000045728 Ontario Inc.; and (iii) 102,863,674 Pre-Funded Warrants exercisable for Class A Common Stock, in each case, as of June 18, 2026." }, { "accession_no": "0001104659-26-076287", "person_seq": 1, "reporting_person_cik": 2049832, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 244741043.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 244741043.0, "aggregate_amount_owned": 244741043.0, "percent_of_class": 48.7, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes (i) 141,877,369 shares of Class A Common Stock; and (ii) 102,863,674 Pre-Funded Warrants exercisable for Class A Common Stock.\n\nNote in relation to Item 13: This percentage is calculated based upon (i) 276,222,174 shares of Class A Common Stock issued and outstanding; (ii) 123,690,470 shares of Class A Common Stock issuable upon exchange of any issued and outstanding exchangeable shares of the Issuer's subsidiary 1000045728 Ontario Inc.; and (iii) 102,863,674 Pre-Funded Warrants exercisable for Class A Common Stock,in each case, as of June 18, 2026." }, { "accession_no": "0001104659-26-076287", "person_seq": 2, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 244741043.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 244741043.0, "aggregate_amount_owned": 244741043.0, "percent_of_class": 48.7, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes (i) 141,877,369 shares of Class A Common Stock ; and (ii) 102,863,674 Pre-Funded Warrants exercisable for Class A Common Stock held by Tether Investments, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon (i) 276,222,174 shares of Class A Common Stock issued and outstanding; (ii) 123,690,470 shares of Class A Common Stock issuable upon exchange of any issued and outstanding exchangeable shares of the Issuer's subsidiary 1000045728 Ontario Inc.; and (iii) 102,863,674 Pre-Funded Warrants exercisable for Class A Common Stock, in each case, as of June 18, 2026." }, { "accession_no": "0001104659-26-076342", "person_seq": 0, "reporting_person_cik": 1532943, "reporting_person_name": "Palogic Value Management, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4915083.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4918866.0, "aggregate_amount_owned": 4918866.0, "percent_of_class": 6.7, "type_of_reporting_person": "IA", "comment_content": "(1) The figures in: (a) Items 8, 10, and 11 include 4,915,083 shares of Common Stock of the Issuer held by Palogic Value Fund, LP, and (b) Items 10 and 11 also include 3,783 shares of Common Stock of the Issuer held by certain separately managed accounts (collectively, the \"Managed Accounts\").\n\n(2) The figure in Item 13 is based upon 73,894,020 shares of Common Stock of the Issuer, par value $0.001 per share (\"Common Stock\") of Health Catalyst, Inc. (the \"Issuer\") outstanding as of May 8, 2026, as disclosed in the Issuer's quarterly report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the U.S. Securities and Exchange Commission (the \"SEC\") on May 11, 2026." }, { "accession_no": "0001104659-26-076342", "person_seq": 1, "reporting_person_cik": 1387846, "reporting_person_name": "Palogic Value Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4915083.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4915083.0, "aggregate_amount_owned": 4915083.0, "percent_of_class": 6.7, "type_of_reporting_person": "PN", "comment_content": "The figure in Item 13 is based upon 73,894,020 shares of Common Stock of the Issuer outstanding as of May 8, 2026, as disclosed in the Issuer's quarterly report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 11, 2026." }, { "accession_no": "0001104659-26-076342", "person_seq": 2, "reporting_person_cik": 1494018, "reporting_person_name": "Palogic Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4915083.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4918866.0, "aggregate_amount_owned": 4918866.0, "percent_of_class": 6.7, "type_of_reporting_person": "HC", "comment_content": "(1) The figures in: (a) Items 8, 10, and 11 include 4,915,083 shares of Common Stock of the Issuer held by Palogic Value Fund, LP, and (b) Items 10 and 11 include 3,783 shares of Common Stock of the Issuer held by the Managed Accounts.\n\n(2) The figure in Item 13 is based upon 73,894,020 shares of Common Stock of the Issuer outstanding as of May 8, 2026, as disclosed in the Issuer's quarterly report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 11, 2026." }, { "accession_no": "0001104659-26-076342", "person_seq": 3, "reporting_person_cik": 1574629, "reporting_person_name": "Ryan L. Vardeman", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 2601.0, "shared_voting_power": 4915083.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4918866.0, "aggregate_amount_owned": 4918866.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": "(1) The figure in Item 7 includes 2,601 shares of Common Stock of the Issuer held in an IRA of Mr. Vardeman, which account is managed by Palogic Value Management, but for which Palogic Value Management does not exercise voting authority.\n\n(2) The figures in: (a) Items 8, 10, and 11 include 4,915,083 shares of Common Stock of the Issuer held by Palogic Value Fund, LP, and (b) Items 10 and 11 include 3,783 shares of Common Stock of the Issuer held by the Managed Accounts.\n\n(3) The figure in Item 13 is based upon 73,894,020 shares of Common Stock of the Issuer outstanding as of May 8, 2026, as disclosed in the Issuer's quarterly report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 11, 2026." }, { "accession_no": "0001104659-26-076474", "person_seq": 0, "reporting_person_cik": 927067, "reporting_person_name": "Barry Diller", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 1094347.0, "shared_voting_power": 1711.0, "sole_dispositive_power": 6591444.0, "shared_dispositive_power": 1711.0, "aggregate_amount_owned": 6593155.0, "percent_of_class": 8.9, "type_of_reporting_person": "IN", "comment_content": "Note to row 13: Assumes the conversion of all shares of Class B Common Stock, par value $0.0001, of People Incorporated (f/k/a IAC Inc.) (\"People Class B Common Stock\"), beneficially owned by Mr. Diller into shares of Common Stock, par value $0.0001, of People Incorporated (\"People Common Stock\"), on a one-for-one basis. Because each share of People Class B Common Stock generally is entitled to ten votes per share and each share of People Common Stock is entitled to one vote per share, Mr. Diller may be deemed to beneficially own equity securities of People Incorporated (\"People\" or the \"Company\") representing approximately 46.4% of the total number of votes of all classes of capital stock of the Company, based on 5,789,499 shares of People Class B Common Stock and 68,590,555 shares of People Common Stock outstanding as of May 1, 2026, as set forth in the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, which was filed with the U.S. Securities and Exchange Commission (the \"SEC\") on May 4, 2026. See Item 5." }, { "accession_no": "0001104659-26-076580", "person_seq": 0, "reporting_person_cik": 2107059, "reporting_person_name": "PHILIP & DANIELE BARACH FAMILY TRUST", "fund_type": "PF", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 5514686.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5514686.0, "aggregate_amount_owned": 5514686.0, "percent_of_class": 15.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-076580", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "PHILIP A. BARACH", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 5514686.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5514686.0, "aggregate_amount_owned": 5514686.0, "percent_of_class": 15.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-076580", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "DANIELE BARACH", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 5514686.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5514686.0, "aggregate_amount_owned": 5514686.0, "percent_of_class": 15.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-076832", "person_seq": 0, "reporting_person_cik": 1952901, "reporting_person_name": "Atlas Investissement SAS", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 78320018.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 78320018.0, "aggregate_amount_owned": 78320018.0, "percent_of_class": 46.7, "type_of_reporting_person": "CO", "comment_content": "(1) Reflects 77,070,018 common shares, par value $1.50 per share (\"Common Shares\") of Millicom International Cellular S.A., a Luxembourg company (the \"Issuer\"), referred to herein on the same basis as disclosed in Amendment Nos. 26 and 27 to the Schedule 13D, beneficially owned by Atlas Investissement SAS, a company incorporated under French law as a societe par actions simplifiee (\"Atlas Investissement\"), plus 1,250,000 additional Common Shares that Atlas Investissement expects to purchase under the Amended Equity Derivative Transaction Agreements (as defined in Item 4 below) on June 29, 2026. Iliad Holding SAS (\"Iliad Holding\"), as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya SAS (\"Maya\"), as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. Xavier Niel, the President of Maya, Jules Niel, John Niel, Elisa Niel and Joseph Niel (together, the \"Niel Family\") may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-076832", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Iliad Holding SAS", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 78320018.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 78320018.0, "aggregate_amount_owned": 78320018.0, "percent_of_class": 46.7, "type_of_reporting_person": "CO", "comment_content": "(1) Reflects 77,070,018 Common Shares, referred to herein on the same basis as disclosed in Amendment Nos. 26 and 27 to the Schedule 13D, beneficially owned by Atlas Investissement, plus 1,250,000 additional Common Shares that Atlas Investissement expects to purchase under the Amended Equity Derivative Transaction Agreements on June 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-076832", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Maya SAS", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 78320018.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 78320018.0, "aggregate_amount_owned": 78320018.0, "percent_of_class": 46.7, "type_of_reporting_person": "CO", "comment_content": "(1) Reflects 77,070,018 Common Shares, referred to herein on the same basis as disclosed in Amendment Nos. 26 and 27 to the Schedule 13D, beneficially owned by Atlas Investissement, plus 1,250,000 additional Common Shares that Atlas Investissement expects to purchase under the Amended Equity Derivative Transaction Agreements on June 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-076832", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Xavier Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 78320018.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 78320018.0, "aggregate_amount_owned": 78320018.0, "percent_of_class": 46.7, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 77,070,018 Common Shares, referred to herein on the same basis as disclosed in Amendment Nos. 26 and 27 to the Schedule 13D, beneficially owned by Atlas Investissement, plus 1,250,000 additional Common Shares that Atlas Investissement expects to purchase under the Amended Equity Derivative Transaction Agreements on June 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-076832", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Jules Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 78320018.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 78320018.0, "aggregate_amount_owned": 78320018.0, "percent_of_class": 46.7, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 77,070,018 Common Shares, referred to herein on the same basis as disclosed in Amendment Nos. 26 and 27 to the Schedule 13D, beneficially owned by Atlas Investissement, plus 1,250,000 additional Common Shares that Atlas Investissement expects to purchase under the Amended Equity Derivative Transaction Agreements on June 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-076832", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "John Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 78320018.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 78320018.0, "aggregate_amount_owned": 78320018.0, "percent_of_class": 46.7, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 77,070,018 Common Shares, referred to herein on the same basis as disclosed in Amendment Nos. 26 and 27 to the Schedule 13D, beneficially owned by Atlas Investissement, plus 1,250,000 additional Common Shares that Atlas Investissement expects to purchase under the Amended Equity Derivative Transaction Agreements on June 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-076832", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Elisa Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 78320018.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 78320018.0, "aggregate_amount_owned": 78320018.0, "percent_of_class": 46.7, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 77,070,018 Common Shares, referred to herein on the same basis as disclosed in Amendment Nos. 26 and 27 to the Schedule 13D, beneficially owned by Atlas Investissement, plus 1,250,000 additional Common Shares that Atlas Investissement expects to purchase under the Amended Equity Derivative Transaction Agreements on June 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-076832", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Joseph Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 78320018.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 78320018.0, "aggregate_amount_owned": 78320018.0, "percent_of_class": 46.7, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 77,070,018 Common Shares, referred to herein on the same basis as disclosed in Amendment Nos. 26 and 27 to the Schedule 13D, beneficially owned by Atlas Investissement, plus 1,250,000 additional Common Shares that Atlas Investissement expects to purchase under the Amended Equity Derivative Transaction Agreements on June 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-076853", "person_seq": 0, "reporting_person_cik": 1802528, "reporting_person_name": "Fairmount Funds Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6713519.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6713519.0, "aggregate_amount_owned": 6713519.0, "percent_of_class": 9.84, "type_of_reporting_person": "IA", "comment_content": "The securities include (i) 298,647 shares of common stock, $0.00001 par value per share (the \"Common Stock\") and (ii) 6,414,872 shares of Common Stock issuable upon conversion of 6,414,872 shares of Non-Voting Common Stock, par value $0.00001 per share (the \"Non-Voting Common Stock\"), the conversion of which is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock, both directly held by Fairmount Healthcare Fund II L.P., a Delaware limited partnership (\"Fund II\"). The securities exclude shares of Common Stock issuable upon conversion of shares of Non-Voting Common Stock held by Fund II in excess of the beneficial ownership limitation.\n\nRow 13 is based on 68,226,742 shares of Common Stock outstanding as of June 18, 2026, consisting of (i) 61,697,073 shares of Common Stock outstanding as June 15, 2026, as reported in the Merger Agreement (defined below), (ii) 114,797 shares underlying vested stock options owned by the Reporting Persons and (iii) 6,414,872 shares of Common Stock underlying the 6,414,872 shares of Non-Voting Common Stock owned by Fund II, applying the beneficial ownership limitation." }, { "accession_no": "0001104659-26-076853", "person_seq": 1, "reporting_person_cik": 1769651, "reporting_person_name": "Fairmount Healthcare Fund II L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6713519.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6713519.0, "aggregate_amount_owned": 6713519.0, "percent_of_class": 9.84, "type_of_reporting_person": "PN", "comment_content": "The securities include (i) 298,647 shares of Common Stock and (ii) 6,414,872 shares of Common Stock issuable upon conversion of 6,414,872 shares of Non-Voting Common Stock, the conversion of which is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock, both directly held by Fund II. The securities exclude shares of Common Stock issuable upon conversion of shares of Non-Voting Common Stock held by Fund II in excess of the beneficial ownership limitation.\n\nRow 13 is based on 68,226,742 shares of Common Stock outstanding as of June 18, 2026, consisting of (i) 61,697,073 shares of Common Stock outstanding as June 15, 2026, as reported in the Merger Agreement (defined below), (ii) 114,797 shares underlying vested stock options owned by the Reporting Persons and (iii) 6,414,872 shares of Common Stock underlying the 6,414,872 shares of Non-Voting Common Stock owned by Fund II, applying the beneficial ownership limitation." }, { "accession_no": "0001104659-26-076853", "person_seq": 2, "reporting_person_cik": 1663607, "reporting_person_name": "Peter Evan Harwin", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 93374.0, "shared_voting_power": 6715415.0, "sole_dispositive_power": 93374.0, "shared_dispositive_power": 6715415.0, "aggregate_amount_owned": 6808789.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": "The securities include (a) 51,166 shares of Common Stock held directly by Mr. Harwin, (b) 42,208 shares of Common Stock underlying vested options held by Mr. Harwin* and (c) Fund II's direct holdings of (i) 298,647 shares of Common Stock and (ii) 6,416,768 shares of Common Stock issuable upon conversion of 6,416,768 shares of Non-Voting Common Stock, the conversion of which is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock. The securities exclude shares of Common Stock issuable upon conversion of shares of Non-Voting Common Stock in excess of the beneficial ownership limitation.\n\nRow 13 is based on 68,156,049 shares of Common Stock outstanding as of June 18, 2026, consisting of (i) 61,697,073 shares of Common Stock outstanding as June 15, 2026, as reported in the Merger Agreement (defined below), (ii) 42,208 shares of Common Stock underlying vested options held by Mr. Harwin and (iii) 6,808,789 shares of Common Stock underlying the 6,808,789 shares of Non-Voting Common Stock owned by Fund II, subject to the beneficial ownership limitation.\n\n* Under Mr. Harwin's arrangement with Fairmount, Mr. Harwin holds the options for one or more investment vehicles managed by Fairmount (each, a \"Fairmount Fund\"). Mr. Harwin is obligated to turn over to Fairmount any net cash or stock received from the option for the benefit of such Fairmount Fund. Mr. Harwin therefore disclaims beneficial ownership of the option and underlying common stock." }, { "accession_no": "0001104659-26-076853", "person_seq": 3, "reporting_person_cik": 1830177, "reporting_person_name": "Tomas Kiselak", "fund_type": "AF", "citizenship_or_org": "2B", "sole_voting_power": 123755.0, "shared_voting_power": 6685034.0, "sole_dispositive_power": 123755.0, "shared_dispositive_power": 6685034.0, "aggregate_amount_owned": 6808789.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": "The securities include (a) 51,166 shares of Common Stock held directly by Mr. Kiselak, (b) 72,589 shares of Common Stock underlying vested options held by Mr. Kiselak* and (c) Fund II's direct holdings of (i) 298,647 shares of Common Stock and (ii) 6,386,387 shares of Common Stock issuable upon conversion of 6,386,387 shares of Non-Voting Common Stock, the conversion of which is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock. The securities exclude shares of Common Stock issuable upon conversion of shares of Non-Voting Common Stock in excess of the beneficial ownership limitation.\n\nRow 13 is based on 68,156,049 shares of Common Stock outstanding as of June 18, 2026, consisting of (i) 61,697,073 shares of Common Stock outstanding as June 15, 2026, as reported in the Merger Agreement (defined below), (ii) 72,589 shares of Common Stock underlying vested options held by Mr. Kiselak and (iii) 6,386,387 shares of Common Stock underlying the 6,386,387 shares of Non-Voting Common Stock owned by Fund II, subject to the beneficial ownership limitation.* Under Mr. Kiselak's arrangement with Fairmount, Mr. Kiselak holds the options for one or more investment vehicles managed by Fairmount (each, a \"Fairmount Fund\"). Mr. Kiselak is obligated to turn over to Fairmount any net cash or stock received from the option for the benefit of such Fairmount Fund. Mr. Kiselak therefore disclaims beneficial ownership of the option and underlying common stock." }, { "accession_no": "0001104659-26-076961", "person_seq": 0, "reporting_person_cik": 1802528, "reporting_person_name": "Fairmount Funds Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8835440.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8835440.0, "aggregate_amount_owned": 8835440.0, "percent_of_class": 9.15, "type_of_reporting_person": "IA", "comment_content": "The securities represent 8,835,440 shares of common stock, $0.0001 par value per share (the \"Common Stock\") issuable upon conversion of 220,886 shares of Series A Preferred Stock, par value $0.0001 per share (the \"Series A Preferred Stock\"), held directly by Fairmount Healthcare Fund II L.P. (\"Fund II\"). The securities exclude shares of Common Stock issuable upon conversion of shares of Series A Preferred Stock held directly by Fund II in excess of the beneficial ownership limitation of 9.99%.\n\nRow 13 is based on 96,572,019 shares of Common Stock outstanding as of June 23, 2026, consisting of (i) 86,841,253 shares of Common Stock outstanding as of April 28, 2026, as reported in the Company's Form 10-Q filed on May 5, 2026, (ii) 666,680 shares of Common Stock issued upon the June 23, 2026 conversion by Fund II of 16,667 shares of the Series B Preferred Stock, par value $0.0001 per share (the \"Series B Preferred Stock\") (iii) 228,646 shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons and (iv) 8,835,440 shares of Common Stock underlying the 220,886 shares of Series A Preferred Stock owned by Fund II, applying the beneficial ownership limitation." }, { "accession_no": "0001104659-26-076961", "person_seq": 1, "reporting_person_cik": 1769651, "reporting_person_name": "Fairmount Healthcare Fund II L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8835440.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8835440.0, "aggregate_amount_owned": 8835440.0, "percent_of_class": 9.15, "type_of_reporting_person": "PN", "comment_content": "The securities represent 8,835,440 shares of Common Stock issuable upon conversion of 220,886 shares of Series A Preferred Stock held directly by Fund II. The securities exclude shares of Common Stock issuable upon conversion of shares of Series A Preferred Stock held directly by Fund II in excess of the beneficial ownership limitation of 9.99%.\n\nRow 13 is based on 96,572,019 shares of Common Stock outstanding as of June 23, 2026, consisting of (i) 86,841,253 shares of Common Stock outstanding as of April 28, 2026, as reported in the Company's Form 10-Q filed on May 5, 2026, (ii) 666,680 shares of Common Stock issued upon the June 23, 2026 conversion by Fund II of 16,667 shares of the Series B Preferred Stock (iii) 228,646 shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons and (iv) 8,835,440 shares of Common Stock underlying the 220,886 shares of Series A Preferred Stock owned by Fund II, applying the beneficial ownership limitation." }, { "accession_no": "0001104659-26-076961", "person_seq": 2, "reporting_person_cik": 1663607, "reporting_person_name": "Peter Evan Harwin", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 520361.0, "shared_voting_power": 9146840.0, "sole_dispositive_power": 520361.0, "shared_dispositive_power": 9146840.0, "aggregate_amount_owned": 9667201.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": "The securities include (a) 406,038 shares of Common Stock held directly by Mr. Harwin, (b) 114,323 shares of Common Stock issuable upon the exercise of options that are currently exercisable or will be exercisable within 60 days of the date of this filing held directly by Mr. Harwin*, and (c) Fund II's direct holdings of 9,146,840 shares of Common Stock issuable upon conversion of 228,671 shares of Series A Preferred Stock held directly by Fund II. The securities exclude shares of Common Stock issuable upon conversion of shares of Series A Preferred Stock held directly by Fund II in excess of the beneficial ownership limitation of 9.99%.\n\nRow 13 is based on 96,769,096 shares of Common Stock outstanding as of June 23, 2026, consisting of (i) 86,841,253 shares of Common Stock outstanding as of April 28, 2026, as reported in the Company's Form 10-Q filed on May 5, 2026, (ii) 666,680 shares of Common Stock issued upon the June 23, 2026 conversion by Fund II of 16,667 shares of the Series B Preferred Stock, (iii) 114,323 shares of Common Stock underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by Mr. Harwin and (iii) 9,146,840 shares of Common Stock underlying the 228,671 shares of Series A Preferred Stock owned by Fund II, applying the beneficial ownership limitation.\n\n* Under Mr. Harwin's arrangement with Fairmount, Mr. Harwin holds the options for one or more investment vehicles managed by Fairmount (each, a \"Fairmount Fund\"). Mr. Harwin is obligated to turn over to Fairmount any net cash or stock received from the option for the benefit of such Fairmount Fund. Mr. Harwin therefore disclaims beneficial ownership of the option and underlying common stock." }, { "accession_no": "0001104659-26-076961", "person_seq": 3, "reporting_person_cik": 1830177, "reporting_person_name": "Tomas Kiselak", "fund_type": "AF", "citizenship_or_org": "2B", "sole_voting_power": 520361.0, "shared_voting_power": 9146840.0, "sole_dispositive_power": 520361.0, "shared_dispositive_power": 9146840.0, "aggregate_amount_owned": 9667201.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": "The securities include (a) 406,038 shares of Common Stock held directly by Mr. Kiselak, (b) 114,323 shares of Common Stock issuable upon the exercise of options that are currently exercisable or will be exercisable within 60 days of the date of this filing held directly by Mr. Kiselak*, and (c) Fund II's direct holdings of 9,146,840 shares of Common Stock issuable upon conversion of 228,671 shares of Series A Preferred Stock held directly by Fund II. The securities exclude shares of Common Stock issuable upon conversion of shares of Series A Preferred Stock held directly by Fund II in excess of the beneficial ownership limitation of 9.99%.\n\nRow 13 is based on 96,769,096 shares of Common Stock outstanding as of June 23, 2026, consisting of (i) 86,841,253 shares of Common Stock outstanding as of April 28, 2026, as reported in the Company's Form 10-Q filed on May 5, 2026, (ii) 666,680 shares of Common Stock issued upon the June 23, 2026 conversion by Fund II of 16,667 shares of the Series B Preferred Stock, (iii) 114,323 shares of Common Stock underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by Mr. Harwin and (iii) 9,146,840 shares of Common Stock underlying the 228,671 shares of Series A Preferred Stock owned by Fund II, applying the beneficial ownership limitation.\n\n* Under Mr. Kiselak's arrangement with Fairmount, Mr. Kiselak holds the options for one or more investment vehicles managed by Fairmount (each, a \"Fairmount Fund\"). Mr. Kiselak is obligated to turn over to Fairmount any net cash or stock received from the option for the benefit of such Fairmount Fund. Mr. Kiselak therefore disclaims beneficial ownership of the option and underlying common stock." }, { "accession_no": "0001104659-26-077206", "person_seq": 0, "reporting_person_cik": 2088938, "reporting_person_name": "RBCH Ltd", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 2222222.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2222222.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2222222.0, "percent_of_class": 22.74, "type_of_reporting_person": "OO", "comment_content": "Share amounts above have been adjusted to reflect the impact of a 1-for-10 reverse stock split of the Issuer's ordinary shares that became effective on May 14, 2026 (the \"Reverse Stock Split\")\n\nFor Box 7, 9 and 11: Reflects (a) 1,111,111 class B ordinary shares, $0.05 nominal value per share (\"Class B Ordinary Shares\"), of Brera Holdings PLC, an Irish public limited company (the \"Issuer\"), and (b) warrants to purchase 1,111,111 Class B Ordinary Shares, at a price of $6.75 per Class B Ordinary Share (the \"Common Warrants\"), in each case as adjusted by the Reverse Stock Split and held directly by RBCH Ltd.\n\nFor Box 13: The denominator of the fraction upon which this percentage is calculated is based (i) on 8,199,540 Class B Ordinary Shares outstanding as of February 28, 2026, as reported in the Issuer's Form 6-K filed on March 24, 2026, which has been adjusted to reflect RBCH Ltd.'s exercise of its previously reported pre-funded warrants to purchase 461,111 Class B Ordinary Shares at price of $0.05 per Class B Ordinary Share (the \"Pre-Funded Warrants\" and together with the Common Warrants, the \"Warrants\"), and (ii) the 1,111,111 Class B Ordinary Shares issuable upon exercise of the Common Warrants held directly by RBCH Ltd, in each case as adjusted by the Reverse Stock Split.\n\nThe Common Warrants held by RBCH Ltd. are currently subject to a beneficial ownership limitation limiting the number of Class B Ordinary Shares that RBCH Ltd. can beneficially own to no more than 19.99% (the \"Beneficial Ownership Limitation\")." }, { "accession_no": "0001104659-26-077206", "person_seq": 1, "reporting_person_cik": 2088940, "reporting_person_name": "Viktor Fischer", "fund_type": "AF", "citizenship_or_org": "2B", "sole_voting_power": 1111.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1111.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1111.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "* Less than 1%.\n\nFor Box 7, 9 and 11: Prior to resigning as a director of the Issuer on April 5, 2026, Viktor Fischer was entitled to compensation from the Issuer in connection with his service as a director. Mr. Fischer was previously issued 4,444, as adjusted by the Reverse Stock Split, restricted stock units (\"RSUs\") of the Issuer under the Issuer's 2022 Equity Incentive Plan. The RSUs were to vest in eight equal quarterly installments, commencing on October 21, 2025, subject to Mr. Fischer's continued service to the Issuer through each such vesting date. 1,111 of these RSUs, as adjusted by the Reverse Stock Split, had fully vested as of January 21, 2026, but have not yet been settled. As a result of Mr. Fischer's resignation, the remaining RSUs that had not yet vested have been forfeited, terminated and cancelled.\n\nViktor Fischer and Jakub Havrlant, as the indirect holders of 100% of the outstanding equity of the general partner of Rockaway Blockchain Fund I, L.P., the sole shareholder of RBCH Ltd. with the right to remove and replace directors of RBCH Ltd., may be deemed to be the beneficial owners of the reported shares of RBCH Ltd. Viktor Fischer and Jakub Havrlant disclaim any beneficial ownership in the reported shares of RBCH Ltd. See also comments for RBCH Ltd.\n\nFor Box 13: See comments for RBCH Ltd." }, { "accession_no": "0001104659-26-077206", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jakub Havrlant", "fund_type": "AF", "citizenship_or_org": "2N", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "For Box 7, 9 and 11: Viktor Fischer and Jakub Havrlant, as the indirect holders of 100% of the outstanding equity of the general partner of Rockaway Blockchain Fund I, L.P., the sole shareholder of RBCH Ltd. with the right to remove and replace the directors of RBCH Ltd., may be deemed to be the beneficial owners of the reported shares of RBCH Ltd. Viktor Fischer and Jakub Havrlant disclaim any beneficial ownership in the reported shares of RBCH Ltd. See also comments for RBCH Ltd.\n\nFor Box 13: See comments for RBCH Ltd." }, { "accession_no": "0001104659-26-077298", "person_seq": 0, "reporting_person_cik": 2043487, "reporting_person_name": "Etika Automotive Sdn Bhd", "fund_type": "WC", "citizenship_or_org": "N8", "sole_voting_power": 179754096.0, "shared_voting_power": 0.0, "sole_dispositive_power": 179754096.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 179754096.0, "percent_of_class": 27.8, "type_of_reporting_person": "CO", "comment_content": "Note to Row (7) and (9) - Represents 179,754,096 Ordinary Shares held by Etika Automotive Sdn Bhd (\"Etika\").\n\nNote to Row (13) - The percentage of class of securities beneficially owned by the reporting person and the voting power represented thereby are based on a total of 647,687,049 issued and outstanding Ordinary Shares as of May 20, 2026 (excluding Ordinary Shares issued to Deutsche Bank Trust Company Americas, the depositary of our ADS program, for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under our stock incentive plan)." }, { "accession_no": "0001104659-26-077307", "person_seq": 0, "reporting_person_cik": 2009447, "reporting_person_name": "MCB PR Capital LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077307", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "MCB Acquisitions Manager LLC", "fund_type": "OO", "citizenship_or_org": "MD", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077307", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "P. David Bramble", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-077369", "person_seq": 0, "reporting_person_cik": 933422, "reporting_person_name": "James H. Dahl", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 824979.0, "shared_voting_power": 173750.0, "sole_dispositive_power": 824979.0, "shared_dispositive_power": 173750.0, "aggregate_amount_owned": 998729.0, "percent_of_class": 18.8, "type_of_reporting_person": "IN", "comment_content": "* This calculation is based on 5,305,199 Shares of Common Stock outstanding as of March 10, 2026 reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ended January 31, 2026, filed with the Securities and Exchange Commission (the \"SEC\") on March 12, 2026." }, { "accession_no": "0001104659-26-077369", "person_seq": 1, "reporting_person_cik": 1984157, "reporting_person_name": "Rainey E. Lancaster", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 173750.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 173750.0, "aggregate_amount_owned": 173750.0, "percent_of_class": 3.3, "type_of_reporting_person": "IN", "comment_content": "* This calculation is based on 5,305,199 Shares of Common Stock outstanding as of March 10, 2026 reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ended January 31, 2026, filed with the SEC on March 12, 2026." }, { "accession_no": "0001104659-26-077403", "person_seq": 0, "reporting_person_cik": 2066762, "reporting_person_name": "Altitude V Holdings, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 6728262.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6728262.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6728262.0, "percent_of_class": 13.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077403", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Altitude VI Holdings, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 5307628.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5307628.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5307628.0, "percent_of_class": 10.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077403", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Arlington Capital Partners V, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 6728262.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6728262.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6728262.0, "percent_of_class": 13.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-077403", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Arlington Capital Partners VI, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5307628.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5307628.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5307628.0, "percent_of_class": 10.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-077403", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Arlington Management V, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 6728262.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6728262.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6728262.0, "percent_of_class": 13.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077403", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Arlington Management VI, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5307628.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5307628.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5307628.0, "percent_of_class": 10.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 0, "reporting_person_cik": 1566491, "reporting_person_name": "Apollo Principal Holdings A GP, Ltd", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 12495825.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12495825.0, "aggregate_amount_owned": 12495825.0, "percent_of_class": 15.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 1, "reporting_person_cik": 1682821, "reporting_person_name": "AP Dakota Co-Invest, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3184833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3184833.0, "aggregate_amount_owned": 3184833.0, "percent_of_class": 4.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 2, "reporting_person_cik": 1878274, "reporting_person_name": "AP VIII Dakota Holdings Borrower, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9310992.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9310992.0, "aggregate_amount_owned": 9310992.0, "percent_of_class": 11.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 3, "reporting_person_cik": 1877428, "reporting_person_name": "AP Dakota Co-Invest GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3184833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3184833.0, "aggregate_amount_owned": 3184833.0, "percent_of_class": 4.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 4, "reporting_person_cik": 2047274, "reporting_person_name": "AP VIII Dakota Holdings Borrower GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9310992.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9310992.0, "aggregate_amount_owned": 9310992.0, "percent_of_class": 11.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 5, "reporting_person_cik": 1877482, "reporting_person_name": "AP VIII Dakota Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9310992.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9310992.0, "aggregate_amount_owned": 9310992.0, "percent_of_class": 11.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 6, "reporting_person_cik": 1600221, "reporting_person_name": "Apollo Advisors VIII, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12495825.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12495825.0, "aggregate_amount_owned": 12495825.0, "percent_of_class": 15.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 7, "reporting_person_cik": 1600223, "reporting_person_name": "Apollo Capital Management VIII, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12495825.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12495825.0, "aggregate_amount_owned": 12495825.0, "percent_of_class": 15.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-077438", "person_seq": 8, "reporting_person_cik": 1648671, "reporting_person_name": "APH Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 12495825.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12495825.0, "aggregate_amount_owned": 12495825.0, "percent_of_class": 15.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-077544", "person_seq": 0, "reporting_person_cik": 1695459, "reporting_person_name": "Mantle Ridge LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 209944.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 209944.0, "aggregate_amount_owned": 209944.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": "* All percentage calculations set forth herein are based upon the aggregate of 192,174,588 shares of Common Stock outstanding as of May 26, 2026, as reported in Dollar Tree, Inc.'s Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") on May 28, 2026." }, { "accession_no": "0001104659-26-077544", "person_seq": 1, "reporting_person_cik": 1893902, "reporting_person_name": "MR Cobalt Advisor LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 209944.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 209944.0, "aggregate_amount_owned": 209944.0, "percent_of_class": 0.1, "type_of_reporting_person": "IA", "comment_content": "*All percentage calculations set forth herein are based upon the aggregate of 192,174,588 shares of Common Stock outstanding as of May 26, 2026, as reported in Dollar Tree, Inc.'s Form 10-Q filed with the SEC on May 28, 2026." }, { "accession_no": "0001104659-26-077544", "person_seq": 2, "reporting_person_cik": 1413084, "reporting_person_name": "Paul C. Hilal", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 100.0, "shared_voting_power": 209944.0, "sole_dispositive_power": 100.0, "shared_dispositive_power": 209944.0, "aggregate_amount_owned": 210044.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "*All percentage calculations set forth herein are based upon the aggregate of 192,174,588 shares of Common Stock outstanding as of May 26, 2026, as reported in Dollar Tree, Inc.'s Form 10-Q filed with the SEC on May 28, 2026." }, { "accession_no": "0001104659-26-077958", "person_seq": 0, "reporting_person_cik": 2018653, "reporting_person_name": "OSN Streaming Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 7417345.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7417345.0, "aggregate_amount_owned": 7417345.0, "percent_of_class": 71.27, "type_of_reporting_person": "CO", "comment_content": "1. Each of shared voting power, shared dispositive power and aggregate amount beneficially owned by each reporting person with respect to the Reporting Persons consists of (i) 6,074,721 ordinary shares, par value $0.001 per share (the \"Ordinary Shares\") of Anghami Inc., an exempted company incorporated in the Cayman Islands with limited liability (the \"Issuer\"), plus (ii) 1,342,624 Ordinary Shares issuable upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons.\n\n2. The calculation of the percentage ownership in this Schedule 13D with respect to the Reporting Persons is based on a total of 10,407,432 Ordinary Shares, which includes (i) 9,064,808 Ordinary Shares outstanding as of December 31, 2025, as reported in the Annual Report on Form 20-F filed by the Issuer on April 30, 2026, plus (ii) 1,342,624 Ordinary Shares upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons. In accordance with SEC rules governing beneficial ownership, the calculation of the percentage ownership includes warrants and convertible notes held by the Reporting Persons but does not include any other shares issuable upon the exercise of any other outstanding warrants or convertible notes held by other persons." }, { "accession_no": "0001104659-26-077958", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "OSN Streaming Holding Limited", "fund_type": "OO", "citizenship_or_org": "C0", "sole_voting_power": 0.0, "shared_voting_power": 7417345.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7417345.0, "aggregate_amount_owned": 7417345.0, "percent_of_class": 71.27, "type_of_reporting_person": "OO", "comment_content": "1. Each of shared voting power, shared dispositive power and aggregate amount beneficially owned by each reporting person with respect to the Reporting Persons consists of (i) 6,074,721 Ordinary Shares, plus (ii) 1,342,624 Ordinary Shares issuable upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons.\n\n2. The calculation of the percentage ownership in this Schedule 13D with respect to the Reporting Persons is based on a total of 10,407,432 Ordinary Shares, which includes (i) 9,064,808 Ordinary Shares outstanding as of December 31, 2025, as reported in the Annual Report on Form 20-F filed by the Issuer on April 30, 2026, plus (ii) 1,342,624 Ordinary Shares upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons. In accordance with SEC rules governing beneficial ownership, the calculation of the percentage ownership includes warrants and convertible notes held by the Reporting Persons but does not include any other shares issuable upon the exercise of any other outstanding warrants or convertible notes held by other persons." }, { "accession_no": "0001104659-26-077958", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Panther Media Holding Limited", "fund_type": "OO", "citizenship_or_org": "C0", "sole_voting_power": 0.0, "shared_voting_power": 7417345.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7417345.0, "aggregate_amount_owned": 7417345.0, "percent_of_class": 71.27, "type_of_reporting_person": "OO", "comment_content": "1. Each of shared voting power, shared dispositive power and aggregate amount beneficially owned by each reporting person with respect to the Reporting Persons consists of (i) 6,074,721 Ordinary Shares, plus (ii) 1,342,624 Ordinary Shares issuable upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons.\n\n2. The calculation of the percentage ownership in this Schedule 13D with respect to the Reporting Persons is based on a total of 10,407,432 Ordinary Shares, which includes (i) 9,064,808 Ordinary Shares outstanding as of December 31, 2025, as reported in the Annual Report on Form 20-F filed by the Issuer on April 30, 2026, plus (ii) 1,342,624 Ordinary Shares upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons. In accordance with SEC rules governing beneficial ownership, the calculation of the percentage ownership includes warrants and convertible notes held by the Reporting Persons but does not include any other shares issuable upon the exercise of any other outstanding warrants or convertible notes held by other persons." }, { "accession_no": "0001104659-26-077958", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Panther Media Group Limited", "fund_type": "OO", "citizenship_or_org": "C0", "sole_voting_power": 0.0, "shared_voting_power": 7417345.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7417345.0, "aggregate_amount_owned": 7417345.0, "percent_of_class": 71.27, "type_of_reporting_person": "OO", "comment_content": "1. Each of shared voting power, shared dispositive power and aggregate amount beneficially owned by each reporting person with respect to the Reporting Persons consists of (i) 6,074,721 Ordinary Shares, plus (ii) 1,342,624 Ordinary Shares issuable upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons.\n\n2. The calculation of the percentage ownership in this Schedule 13D with respect to the Reporting Persons is based on a total of 10,407,432 Ordinary Shares, which includes (i) 9,064,808 Ordinary Shares outstanding as of December 31, 2025, as reported in the Annual Report on Form 20-F filed by the Issuer on April 30, 2026, plus (ii) 1,342,624 Ordinary Shares upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons. In accordance with SEC rules governing beneficial ownership, the calculation of the percentage ownership includes warrants and convertible notes held by the Reporting Persons but does not include any other shares issuable upon the exercise of any other outstanding warrants or convertible notes held by other persons." }, { "accession_no": "0001104659-26-077958", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Kuwait Projects Company (Holding) K.S.C.P", "fund_type": "OO", "citizenship_or_org": "M6", "sole_voting_power": 0.0, "shared_voting_power": 7417345.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7417345.0, "aggregate_amount_owned": 7417345.0, "percent_of_class": 71.27, "type_of_reporting_person": "HC", "comment_content": "1. Each of shared voting power, shared dispositive power and aggregate amount beneficially owned by each reporting person with respect to the Reporting Persons consists of (i) 6,074,721 Ordinary Shares, plus (ii) 1,342,624 Ordinary Shares issuable upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons.\n\n2. The calculation of the percentage ownership in this Schedule 13D with respect to the Reporting Persons is based on a total of 10,407,432 Ordinary Shares, which includes (i) 9,064,808 Ordinary Shares outstanding as of December 31, 2025, as reported in the Annual Report on Form 20-F filed by the Issuer on April 30, 2026, plus (ii) 1,342,624 Ordinary Shares upon the exercise of warrants to acquire Ordinary Shares beneficially owned by the Reporting Persons. In accordance with SEC rules governing beneficial ownership, the calculation of the percentage ownership includes warrants and convertible notes held by the Reporting Persons but does not include any other shares issuable upon the exercise of any other outstanding warrants or convertible notes held by other persons." }, { "accession_no": "0001104659-26-078036", "person_seq": 0, "reporting_person_cik": 1764895, "reporting_person_name": "Glory Achievement Fund Limited", "fund_type": "PF", "citizenship_or_org": "E9", "sole_voting_power": 64018111.0, "shared_voting_power": 0.0, "sole_dispositive_power": 64018111.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 64018111.0, "percent_of_class": 40.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-078036", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bull Group Limited", "fund_type": "PF", "citizenship_or_org": "E9", "sole_voting_power": 64018111.0, "shared_voting_power": 0.0, "sole_dispositive_power": 64018111.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 64018111.0, "percent_of_class": 40.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-078036", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BULL TRUST", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 64018111.0, "shared_voting_power": 0.0, "sole_dispositive_power": 64018111.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 64018111.0, "percent_of_class": 40.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-078371", "person_seq": 0, "reporting_person_cik": 1814042, "reporting_person_name": "Brown Jameson Pruitt", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1000.0, "shared_voting_power": 877529.0, "sole_dispositive_power": 1000.0, "shared_dispositive_power": 877529.0, "aggregate_amount_owned": 878529.0, "percent_of_class": 31.5, "type_of_reporting_person": "IN", "comment_content": "Row 7 & 9: Number of Depositary Receipts held directly by Jameson Brown as of the date of the filing of this statement (the \"Statement\").\nRow 8 & 10: Consists of (i) 517,849 Depositary Receipts held of record by HBC Holdings, LLC (\"HBC\"); (ii) 287,500 Depositary Receipts held by HJB 2009 Holdings, LLC(\"HJB\"); (iii) 62,190 Depositary Receipts held by the Hamilton Company Charitable Foundation (the \"Foundation\"); and (iv) 9,990 Depositary Receipts held by NewReal, Inc. (\"New Real\"). Mr. Brown has shared voting and dispositive power with: (i) Sally Michael with respect to HBC; (ii) Harley Brown and Sally Michael with respect to HJB (HJB is owned 50% by JPB Real Estate LLC, an entity owned by Jameson Brown, and 50% by Maisie Brown LLC, an entity owned by Harley Brown. Sally Michael serves as the Manager of HJB.); (iii) Ronald Brown and Harley Brown with respect to securities held by the Foundation; and (iv) Ronald Brown with respect to securities held by New Real, which serves as the general partner of the Partnership.\nRow 11: Consists of (i) 1,000 Depositary Receipts held by Mr. Brown with sole voting and dispositive powers, and (ii) the 877,529 Depositary Receipts as to which Mr. Brown has shared voting and dispositive power as described in footnote 3 above.\nRow 13: Based on 2,788,713 Depositary Receipts outstanding as of May 8, 2026." }, { "accession_no": "0001104659-26-078371", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "HBC Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "MA", "sole_voting_power": 517849.0, "shared_voting_power": 0.0, "sole_dispositive_power": 517849.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 517849.0, "percent_of_class": 18.57, "type_of_reporting_person": "OO", "comment_content": "Row 7, 9 & 11: Consists of Depositary Receipt held of record by HBC Holdings, LLC (\"HBC\") as of the date of the filing of this Statement. Jameson Brown and Sally Michael share voting and dispositive power with respect to the Depositary Receipts held by HBC, and may be deemed to beneficially own the Depositary Receipts held by HBC.\nRow 13: Based on 2,788,713 Depositary Receipts outstanding as of May 8, 2026." }, { "accession_no": "0001104659-26-078371", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "HJB 2009 Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "MA", "sole_voting_power": 287500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 287500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 287500.0, "percent_of_class": 10.31, "type_of_reporting_person": "OO", "comment_content": "Row 7, 9 & 11: Consists of Depositary Receipts held of record by HJB 2009 Holdings, LLC (\"HJB\"), as of the filing date of this Statement. HJB is owned 50% by JPB Real Estate LLC, an entity owned by Jameson Brown, and 50% by Maisie Brown LLC, an entity owned by Harley Brown. Sally Michael is the Manager. Accordingly, Jameson Brown, Sally Michael, and Harley Brown may be deemed to beneficially own the Depositary Receipts held by HJB.\nRow 13: Based on 2,788,713 Depositary Receipts outstanding as of May 8, 2026." }, { "accession_no": "0001104659-26-078371", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "JPB Real Estate LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 287500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 287500.0, "aggregate_amount_owned": 287500.0, "percent_of_class": 10.31, "type_of_reporting_person": "OO", "comment_content": "Row 8, 10 & 11: Consists of the Depositary Receipts held of record as of the date of this Statement by HJB 2009 Holdings, LLC (\"HJB\"). JPB Real Estate LLC (\"JPB\") is owned by Jameson Brown. HJB is owned 50% by JPB and 50% by Maisie Brown LLC, which is owned by Harley Brown. Accordingly, JPB may be deemed to have shared voting and dispositive power over the Depositary Receipts, and Jameson Brown and JPB, Sally Michael, Harley Brown and Maise Brown LLC may be deemed to beneficially own the Depositary Receipts held by HJB.\nRow 13: Based on 2,788,713 Depositary Receipts outstanding as of May 8, 2026." }, { "accession_no": "0001104659-26-078371", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Maisie Brown LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 287500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 287500.0, "aggregate_amount_owned": 287500.0, "percent_of_class": 10.31, "type_of_reporting_person": "OO", "comment_content": "Row 8, 10 & 11: Consists of the Depositary Receipts held of record as of the filing date of this Statement by HJB 2009 Holdings, LLC (\"HJB\"). Maisie Brown LLC (\"Maisie\") is owned by Harley Brown. HJB is owned 50% by Maisie and 50% by JPB Real Estate LLC (\"JPB\"), which is owned by Jameson Brown. Accordingly, Maisie may be deemed to have shared voting and dispositive power over the Depositary Receipts, and Harley Brown and Maisie, Jameson Brown and JPB, and Sally Michael, may be deemed to beneficially own the Depositary Receipts held by HJB.\nRow 13: Based on 2,788,713 Depositary Receipts outstanding as of May 8, 2026." }, { "accession_no": "0001104659-26-078371", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Harley Brown", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 349690.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 349690.0, "aggregate_amount_owned": 349690.0, "percent_of_class": 12.54, "type_of_reporting_person": "IN", "comment_content": "Row 8, 10 & 11: Consists of the (i) 287,500 Depositary Receipts held of record by HJB 2009 Holdings, LLC (\"HJB\"), as of the filing date of this Statement; and (ii) 62,190 Depositary Receipts held by the Hamilton Company Charitable Foundation. Harley Brown owns Maisie Brown LLC, which together with by JPB Real Estate LLC, an entity owned by Jameson Brown, owns HJB, and Sally Michael is the Manager of HJB. Accordingly, Jameson Brown, Sally Michael, and Harley Brown share voting and dispositive power with respect to the Depositary Receipts held by HJB and may be deemed to beneficially own the Depositary Receipts held by HJB. Harley Brown, Jameson Brown and Ronald Brown may be deemed to share beneficiary ownership as to the Depository Receipts held by the Foundation, as trustees.\nRow 13: Based on 2,788,713 Depositary Receipts outstanding as of May 8, 2026." }, { "accession_no": "0001104659-26-078371", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Ronald Brown", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 164780.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 164780.0, "aggregate_amount_owned": 164780.0, "percent_of_class": 5.9, "type_of_reporting_person": "IN", "comment_content": "Row 8, 10 & 11: Consists of (i) 92,600 Depositary Receipts held of record by Ronald Brown and his wife; (ii) 62,190 Depositary Receipts held by the Hamilton Company Charitable Foundation (the \"Foundation\"); and (iii) 9,990 Depositary Receipts held by NewReal, Inc. (\"New Real\"). Mr. Brown shares voting and dispositive power with: (i) his wife with respect to the 92,600 Depositary Receipt that are jointly held; (ii) Harley Brown and Jameson Brown with respect to 62,190 Depositary Receipts held by the Foundation, of which they are each a trustee; and (iii) Jameson Brown with respect to securities held by New Real (which serves as the general partner of the Partnership).\nRow 13: Based on 2,788,713 Depositary Receipts outstanding as of May 8, 2026." }, { "accession_no": "0001104659-26-078371", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Sally Michael", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 805349.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 805349.0, "aggregate_amount_owned": 805349.0, "percent_of_class": 28.88, "type_of_reporting_person": "IN", "comment_content": "Row 8, 10 & 11: Consists, as of the filing date of this Statement, of (i) 517,849 Depositary Receipts held of record by HBC Holdings, LLC (\"HBC\"); and (ii) 287,500 Depositary Receipts held of record by HJB 2009 Holdings, LLC (\"HJB\"). Jameson Brown and Sally Michael are the managers of HBC with joint voting and dispositive control over the Depositary Receipts. Accordingly, Mr. Brown and Ms. Michael may be deemed to beneficially own the Depositary Receipts held by HBC. HJB is owned 50% by JPB, an entity owned by Jameson Brown, and 50% by Maisie, an entity owned by Harley Brown. Sally Michael is the Manager of HJB. Accordingly, Jameson Brown, Sally Michael, and Harley Brown may be deemed to beneficially own the Depositary Receipts held by HJB. Ms. Michael has no pecuniary interest in any of the Depositary Receipts or other securities of the Partnership and as such disclaims all beneficial ownership.\nRow 13: Based on 2,788,713 Depositary Receipts outstanding as of May 8, 2026." }, { "accession_no": "0001104659-26-078652", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Gale Hoese", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 558000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 558000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078652", "person_seq": 1, "reporting_person_cik": 2128672, "reporting_person_name": "Andrew Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 21048.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21048.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078652", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jill Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 13952.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13952.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078652", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "David Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 84573.49, "shared_voting_power": 270.0, "sole_dispositive_power": 84573.49, "shared_dispositive_power": 270.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078652", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Denise Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1305.0, "shared_voting_power": 270.0, "sole_dispositive_power": 1305.0, "shared_dispositive_power": 270.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078652", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Jonathan Hoese", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 25000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078652", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Tamara Retka", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8312.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8312.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078652", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Noah Retka", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5026.62, "shared_voting_power": 0.0, "sole_dispositive_power": 5026.62, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078652", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Joseph Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 3500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 720987.11, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-078686", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "OO", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 13718812.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13718812.0, "aggregate_amount_owned": 13718812.0, "percent_of_class": 12.6, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes (i) 4,848,356 Common Shares, no par value per share (\"Common Shares\") of Versamet Royalties Corporation held by Tether Investments, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.; and (ii) 8,870,456 Common Shares held by Tether International, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\n\nNote in relation to Item 13: This percentage is calculated based upon 108,590,241 Common Shares outstanding on May 19, 2026, as reported in the Issuer's Information Circular included as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 28, 2026." }, { "accession_no": "0001104659-26-078686", "person_seq": 1, "reporting_person_cik": 2049832, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 4848356.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4848356.0, "aggregate_amount_owned": 4848356.0, "percent_of_class": 4.5, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 108,590,241 Common Shares outstanding on May 19, 2026, as reported in the Issuer's Information Circular included as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 28, 2026." }, { "accession_no": "0001104659-26-078686", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 8870456.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8870456.0, "aggregate_amount_owned": 8870456.0, "percent_of_class": 8.2, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 108,590,241 Common Shares outstanding on May 19, 2026, as reported in the Issuer's Information Circular included as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 28, 2026." }, { "accession_no": "0001104659-26-078686", "person_seq": 3, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 13718812.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13718812.0, "aggregate_amount_owned": 13718812.0, "percent_of_class": 12.6, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes (i) 4,848,356 Common Shares held by Tether Investments, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.; and (ii) 8,870,456 Common Shares held by Tether International, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 108,590,241 Common Shares outstanding on May 19, 2026, as reported in the Issuer's Information Circular included as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 28, 2026." }, { "accession_no": "0001104659-26-078972", "person_seq": 0, "reporting_person_cik": 1952901, "reporting_person_name": "Atlas Investissement SAS", "fund_type": "BK", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 82982244.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82982244.0, "aggregate_amount_owned": 82982244.0, "percent_of_class": 49.5, "type_of_reporting_person": "CO", "comment_content": "(1) Reflects 76,982,244 common shares, par value $1.50 per share (\"Common Shares\") of Millicom International Cellular S.A., a Luxembourg company (the \"Issuer\"), beneficially owned by Atlas Investissement SAS, a company incorporated under French law as a societe par actions simplifiee (\"Atlas Investissement\"), plus 6,000,000 additional Common Shares that Atlas Investissement expects to purchase under the Equity Derivative Transaction Agreements (as defined in Item 4 below) on or before September 29, 2026. Iliad Holding SAS (\"Iliad Holding\"), as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya SAS (\"Maya\"), as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. Xavier Niel, the President of Maya, Jules Niel, John Niel, Elisa Niel and Joseph Niel (together, the \"Niel Family\") may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-078972", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Iliad Holding SAS", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 82982244.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82982244.0, "aggregate_amount_owned": 82982244.0, "percent_of_class": 49.5, "type_of_reporting_person": "CO", "comment_content": "(1) Reflects 76,982,244 Common Shares beneficially owned by Atlas Investissement, plus 6,000,000 additional Common Shares that Atlas Investissement expects to purchase under the Equity Derivative Transaction Agreements on or before September 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-078972", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Maya SAS", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 82982244.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82982244.0, "aggregate_amount_owned": 82982244.0, "percent_of_class": 49.5, "type_of_reporting_person": "CO", "comment_content": "(1) Reflects 76,982,244 Common Shares beneficially owned by Atlas Investissement, plus 6,000,000 additional Common Shares that Atlas Investissement expects to purchase under the Equity Derivative Transaction Agreements on or before September 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-078972", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Xavier Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 82982244.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82982244.0, "aggregate_amount_owned": 82982244.0, "percent_of_class": 49.5, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 76,982,244 Common Shares beneficially owned by Atlas Investissement, plus 6,000,000 additional Common Shares that Atlas Investissement expects to purchase under the Equity Derivative Transaction Agreements on or before September 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-078972", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Jules Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 82982244.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82982244.0, "aggregate_amount_owned": 82982244.0, "percent_of_class": 49.5, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 76,982,244 Common Shares beneficially owned by Atlas Investissement, plus 6,000,000 additional Common Shares that Atlas Investissement expects to purchase under the Equity Derivative Transaction Agreements on or before September 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-078972", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "John Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 82982244.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82982244.0, "aggregate_amount_owned": 82982244.0, "percent_of_class": 49.5, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 76,982,244 Common Shares beneficially owned by Atlas Investissement, plus 6,000,000 additional Common Shares that Atlas Investissement expects to purchase under the Equity Derivative Transaction Agreements on or before September 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-078972", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Elisa Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 82982244.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82982244.0, "aggregate_amount_owned": 82982244.0, "percent_of_class": 49.5, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 76,982,244 Common Shares beneficially owned by Atlas Investissement, plus 6,000,000 additional Common Shares that Atlas Investissement expects to purchase under the Equity Derivative Transaction Agreements on or before September 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-078972", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Joseph Niel", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 82982244.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82982244.0, "aggregate_amount_owned": 82982244.0, "percent_of_class": 49.5, "type_of_reporting_person": "IN", "comment_content": "(1) Reflects 76,982,244 Common Shares beneficially owned by Atlas Investissement, plus 6,000,000 additional Common Shares that Atlas Investissement expects to purchase under the Equity Derivative Transaction Agreements on or before September 29, 2026. Iliad Holding, as the controlling shareholder of Atlas Investissement, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement. Maya, as the controlling shareholder of Iliad Holding, may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Iliad Holding and Atlas Investissement. The Niel Family may be deemed to have shared beneficial ownership over the Common Shares beneficially owned by Atlas Investissement, Iliad Holding and Maya.\n\n(2) The percentage reflected in row 13 in the table above is calculated on the basis of 167,707,493 Common Shares outstanding as of May 31, 2026 (169,000,000 Common Shares outstanding, less 1,292,507 Common Shares held in treasury), as set forth in the last relevant update available on the date hereof on the Issuer's website." }, { "accession_no": "0001104659-26-079298", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 37729510.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37729510.0, "aggregate_amount_owned": 37729510.0, "percent_of_class": 19.7, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 37,729,510 Class A ordinary shares, par value $0.0000001 per share (\"Class A Shares\") of Bitdeer Technologies Group held by Tether International, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 191,152,162 Class A Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report of Form 20-F filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-079298", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-079298", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 37729510.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37729510.0, "aggregate_amount_owned": 37729510.0, "percent_of_class": 19.7, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 191,152,162 Class A Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report of Form 20-F filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-079298", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Giancarlo Devasini", "fund_type": "WC", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 37729510.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 37729510.0, "aggregate_amount_owned": 37729510.0, "percent_of_class": 19.7, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 37,729,510 Class A Shares held by Tether International, S.A. de C.V., a wholly owned subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 191,152,162 Class A Shares outstanding on December 31, 2025, as reported in the Issuer's Annual Report of Form 20-F filed with the Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001104659-26-079336", "person_seq": 0, "reporting_person_cik": 904548, "reporting_person_name": "Charles W. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 16588953.0, "shared_voting_power": 132092361.0, "sole_dispositive_power": 16588953.0, "shared_dispositive_power": 132092361.0, "aggregate_amount_owned": 148681314.0, "percent_of_class": 51.0, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock, $0.001 par value per share ('Class A Common Stock') and Class B Common Stock, $0.001 par value per share ('Class B Common Stock') of EchoStar Corporation ('EchoStar'). The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power and Sole Dispositive Power totals consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network Corporation ('DISH Network') 401(k) Employee Savings Plan (the 'DISH Network 401(k) Plan'); (iii) 2,388,447 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 1,497,478 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mr. Ergen has the right to acquire beneficial ownership of such shares within 60 days after June 26, 2026; and (v) 1,551,355 shares of Class A Common Stock held by CONX Corp. ('CONX') and beneficially owned indirectly by Mr. Ergen through nXgen Opportunities, LLC ('nXgen'), which controls CONX.\n\n(3) Shared Voting Power and Shared Dispositive Power totals consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mr. Ergen's spouse, Cantey M. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 11,921 shares of Class A Common Stock beneficially owned by one of Mr. Ergen's children; (iv) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mr. Ergen is an officer and for which he shares voting and dispositive power with Mrs. Ergen; (v) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, LLC ('Telluray Holdings'), for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; (vi) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2024 SATS GRAT (the '2024 July GRAT'); (vii) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year May 2025 SATS GRAT (the \"2025 May GRAT\"); (viii) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2025 SATS GRAT (the \"2025 June GRAT\"); (ix) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2025 SATS GRAT (the '2025 July GRAT'); and (x) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2026 SATS GRAT (the \"2026 June GRAT\").\n\n(4) Percent of Class Represented is based on 159,081,159 shares of Class A Common Stock outstanding on June 26, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mr. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, June 26, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mr. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, June 26, 2026). Pursuant to the Amended and Restated Support Agreement dated as of October 2, 2023 (the 'Amended Support Agreement', see Exhibit E), Mr. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mr. Ergen's effective total voting power in such circumstances as of June 26, 2026 is approximately 89.4 percent." }, { "accession_no": "0001104659-26-079336", "person_seq": 1, "reporting_person_cik": 1138538, "reporting_person_name": "Cantey M. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 131327505.0, "shared_voting_power": 15869839.0, "sole_dispositive_power": 68459307.0, "shared_dispositive_power": 78738037.0, "aggregate_amount_owned": 147197344.0, "percent_of_class": 50.7, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power shares consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after June 26, 2026; (iv) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings; (v) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2024 July GRAT; (vi) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vii) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (viii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; and (ix) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT. Mrs. Ergen exercises voting power with respect to Telluray Holdings and each of the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT and the 2026 June GRAT independently and, with respect to the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT, and the 2026 June GRAT, in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(3) Shared Voting Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 2,388,447 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; and (vi) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(4) Sole Dispositive Power shares consist of: (i) 1,967 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after June 26, 2026; (iv) 18,561,842 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2024 July GRAT; (v) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vi) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (vii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; and (viii) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT. Mrs. Ergen exercises dispositive power with respect to each of the 2024 July GRAT, the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT and the 2026 June GRAT independently and in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(5) Shared Dispositive Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 2,388,447 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; (vi) 2,350,696 shares of Class A Common Stock and 60,517,502 shares of Class B Common Stock held by Telluray Holdings, for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; and (vii) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(6) Percent of Class Represented is based on 159,081,159 of Class A Common Stock outstanding on June 26, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mrs. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, June 26, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mrs. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either exercisable as of, or may become exercisable within 60 days after, June 26, 2026). Pursuant to the Amended Support Agreement (see Exhibit E), Mrs. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mrs. Ergen's effective total voting power in such circumstances as of June 26, 2026 is approximately 89.3 percent." }, { "accession_no": "0001104659-26-079336", "person_seq": 2, "reporting_person_cik": 2030396, "reporting_person_name": "Ergen Two-Year July 2024 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 18561842.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18561842.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18561842.0, "percent_of_class": 10.5, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,081,159 shares of Class A Common Stock outstanding on June 26, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2024 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2024 July GRAT may be deemed to beneficially own would be approximately 6.4 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2024 July GRAT beneficially owns equity securities of EchoStar representing approximately 12.6 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-079336", "person_seq": 3, "reporting_person_cik": 2070254, "reporting_person_name": "Ergen Two-Year May 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 23097210.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23097210.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23097210.0, "percent_of_class": 12.7, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,081,159 shares of Class A Common Stock outstanding on June 26, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 May GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 May GRAT may be deemed to beneficially own would be approximately 8.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 May GRAT beneficially owns equity securities of EchoStar representing approximately 15.7 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-079336", "person_seq": 4, "reporting_person_cik": 2076356, "reporting_person_name": "Ergen Two-Year June 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 14483467.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14483467.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14483467.0, "percent_of_class": 8.3, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,081,159 shares of Class A Common Stock outstanding on June 26, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 June GRAT may be deemed to beneficially own would be approximately 5.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 June GRAT beneficially owns equity securities of EchoStar representing approximately 9.8 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-079336", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year July 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 8000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8000000.0, "percent_of_class": 4.8, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,081,159 shares of Class A Common Stock outstanding on June 26, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 July GRAT may be deemed to beneficially own would be approximately 2.8 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 July GRAT beneficially owns equity securities of EchoStar representing approximately 5.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-079336", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year June 2026 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 4300000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4300000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4300000.0, "percent_of_class": 2.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,081,159 shares of Class A Common Stock outstanding on June 26, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2026 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2026 June GRAT may be deemed to beneficially own would be approximately 1.5 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2026 June GRAT beneficially owns equity securities of EchoStar representing approximately 2.9 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-079336", "person_seq": 7, "reporting_person_cik": 1747721, "reporting_person_name": "Telluray Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 62868198.0, "shared_voting_power": 0.0, "sole_dispositive_power": 62868198.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 62868198.0, "percent_of_class": 28.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time. Totals consist of: (i) 2,350,696 shares of Class A Common Stock; and (ii) 60,517,502 shares of Class B Common Stock, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings.\n\n(2) Percent of Class Represented is based on 159,081,159 shares of Class A Common Stock outstanding on June 26, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by Telluray Holdings into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that Telluray Holdings may be deemed to beneficially own would be approximately 21.7 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, Telluray Holdings beneficially owns equity securities of EchoStar representing approximately 41.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock). Pursuant to the Amended Support Agreement dated as of October 2, 2023 (see Exhibit E), Telluray Holdings and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Telluray Holdings' effective total voting power in such circumstances as of June 26, 2026 is approximately 41.1 percent." }, { "accession_no": "0001104659-26-079374", "person_seq": 0, "reporting_person_cik": 898286, "reporting_person_name": "Caisse de depot et placement du Quebec", "fund_type": "OO", "citizenship_or_org": "A8", "sole_voting_power": 6789418.28, "shared_voting_power": 0.0, "sole_dispositive_power": 6789418.28, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6789418.28, "percent_of_class": 19.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-079415", "person_seq": 0, "reporting_person_cik": 1633120, "reporting_person_name": "Van Herk Investments B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 15384250.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15384250.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of ProQR Therapeutics N.V. (the \"Issuer\") expected to be issued and outstanding as of June 26, 2026, as described in the Issuer's Prospectus Supplement dated June 25, 2026 and filed with the SEC pursuant to Rule 424(b)(5) on June 26, 2026 (the \"Prospectus Supplement\") (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079415", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Van Herk Investments THI B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079415", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Van Herk Private Equity Investments B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079415", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Stichting Administratiekantoor Penulata", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "OO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079415", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Van Herk Management Services B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079415", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Onroerend Goed Beheer- en Beleggingsmaatschappij A. van Herk B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079415", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "A. van Herk Holding B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079415", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Stichting Administratiekantoor Abchrys", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "OO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079415", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Adrianus van Herk", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "IN", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-079450", "person_seq": 0, "reporting_person_cik": 1352851, "reporting_person_name": "Magnetar Financial LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-079450", "person_seq": 1, "reporting_person_cik": 1353085, "reporting_person_name": "Magnetar Capital Partners LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001104659-26-079450", "person_seq": 2, "reporting_person_cik": 1368026, "reporting_person_name": "Supernova Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001104659-26-079450", "person_seq": 3, "reporting_person_cik": 1953511, "reporting_person_name": "David J. Snyderman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-080004", "person_seq": 0, "reporting_person_cik": 1294704, "reporting_person_name": "D. E. Shaw Valence Portfolios, L.L.C.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 38362468.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38362468.0, "aggregate_amount_owned": 38362468.0, "percent_of_class": 7.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-080004", "person_seq": 1, "reporting_person_cik": 1277502, "reporting_person_name": "D. E. Shaw & Co., L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 40242495.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 40242495.0, "aggregate_amount_owned": 40242495.0, "percent_of_class": 8.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-080004", "person_seq": 2, "reporting_person_cik": 1009268, "reporting_person_name": "D. E. Shaw & Co., L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 40630726.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 40630726.0, "aggregate_amount_owned": 40630726.0, "percent_of_class": 8.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-080004", "person_seq": 3, "reporting_person_cik": 1023870, "reporting_person_name": "David E. Shaw", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 40630726.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 40630726.0, "aggregate_amount_owned": 40630726.0, "percent_of_class": 8.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-080010", "person_seq": 0, "reporting_person_cik": 1802528, "reporting_person_name": "Fairmount Funds Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14553895.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14553895.0, "aggregate_amount_owned": 14553895.0, "percent_of_class": 19.47, "type_of_reporting_person": "IA", "comment_content": "The securities (a) include (i) 1,131,954 shares of common stock, $0.001 par value per share (the \"Common Stock\"), 2,973,894 shares of Common Stock issuable upon the exercise of Pre-Funded Warrants and 7,874,739 shares of Common Stock issuable upon conversion of 94,497 shares of Series B non-voting convertible preferred stock, par value $0.001 per share (the \"Series B Preferred Stock\"), directly held by Fairmount Healthcare Fund II L.P., a Delaware limited partnership (\"Fund II\"), and (ii) 2,573,308 shares of Common Stock directly held by Fairmount Healthcare Co-Invest III L.P., a Delaware limited partnership (\"Co-Invest\"), and (b) exclude 2,323,770 shares of Common Stock issuable upon exercise of Pre-Funded Warrants directly held by Fund II. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock and the conversion of the Series B Preferred Stock is subject to a beneficial ownership limitation of 19.99%. The securities exclude shares of Common Stock issuable upon exercise of Pre-Funded Warrants in excess of such beneficial ownership limitation. At such time as Fairmount Funds Management LLC, a Delaware limited liability company and Securities and Exchange Commission registered investment adviser under the Investment Advisers Act of 1940 (\"Fairmount\"), and its affiliates beneficially own 9.0% or less of the Common Stock, the beneficial ownership limitation with respect to the Series B Preferred Stock will automatically reduce to 9.99%.\n\nRow 13 is based on 74,733,166 shares of Common Stock outstanding as of July 1, 2026, consisting of (i) 60,312,101 shares of Common Stock outstanding as of April 30, 2026, as reported in the Company's Form 10-Q filed on May 13, 2026, (ii) 3,553,410 shares of Common Stock issued upon conversion of Series B Preferred Stock by the Reporting Persons on July 1, 2026, (iii) 19,022 shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons, (iv) 2,973,894 shares of Common Stock underlying the 2,973,894 Pre-Funded Warrants, subject to the beneficial ownership limitation, and (iv) 7,874,739 shares of Common Stock underlying the 94,497 shares of Series B Preferred Stock owned by the Reporting Persons." }, { "accession_no": "0001104659-26-080010", "person_seq": 1, "reporting_person_cik": 1769651, "reporting_person_name": "Fairmount Healthcare Fund II L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 11980587.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11980587.0, "aggregate_amount_owned": 11980587.0, "percent_of_class": 16.03, "type_of_reporting_person": "PN", "comment_content": "The securities (a) include 1,131,954 shares of Common Stock, 2,973,894 shares of Common Stock issuable upon the exercise of Pre-Funded Warrants and 7,874,739 shares of Common Stock issuable upon conversion of 94,497 shares of Series B Preferred Stock and (b) exclude 2,323,770 shares of Common Stock issuable upon exercise of Pre-Funded Warrants. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock and the conversion of the Series B Preferred Stock is subject to a beneficial ownership limitation of 19.99%. The securities exclude shares of Common Stock issuable upon exercise of Pre-Funded Warrants in excess of such beneficial ownership limitation. At such time as Fairmount and its affiliates beneficially own 9.0% or less of the Common Stock, the beneficial ownership limitation with respect to the Series B Preferred Stock will automatically reduce to 9.99%.\n\nRow 13 is based on 74,733,166 shares of Common Stock outstanding as of July 1, 2026, consisting of (i) 60,312,101 shares of Common Stock outstanding as of April 30, 2026, as reported in the Company's Form 10-Q filed on May 13, 2026, (ii) 3,553,410 shares of Common Stock issued upon conversion of Series B Preferred Stock by the Reporting Persons on July 1, 2026, (iii) 19,022 shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons, (iv) 2,973,894 shares of Common Stock underlying the 2,973,894 Pre-Funded Warrants, subject to the beneficial ownership limitation and (v) 7,874,739 shares of Common Stock underlying the 94,497 shares of Series B Preferred Stock owned by the Reporting Persons." }, { "accession_no": "0001104659-26-080010", "person_seq": 2, "reporting_person_cik": 2009690, "reporting_person_name": "Fairmount Healthcare Co-Invest III L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2573308.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2573308.0, "aggregate_amount_owned": 2573308.0, "percent_of_class": 4.03, "type_of_reporting_person": "PN", "comment_content": "The securities listed represent 2,573,308 shares of Common Stock held directly by Co-Invest.\n\nRow 13 is based on 60,312,101 shares of Common Stock outstanding as of April 30, 2026, as reported in the Company's Form 10-Q filed on May 13, 2026." }, { "accession_no": "0001104659-26-080010", "person_seq": 3, "reporting_person_cik": 1663607, "reporting_person_name": "Harwin Peter Evan", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 19022.0, "shared_voting_power": 14553895.0, "sole_dispositive_power": 19022.0, "shared_dispositive_power": 14553895.0, "aggregate_amount_owned": 14572917.0, "percent_of_class": 19.5, "type_of_reporting_person": "IN", "comment_content": "The securities include (a) 19,022 shares of Common Stock issuable upon the exercise of options that are currently exercisable or will be exercisable within 60 days of the date of this filing held directly by Mr. Harwin*, (b) Fund II's direct holdings of (i) 1,131,954 shares of Common Stock, (ii) 2,973,894 shares of Common Stock issuable upon the exercise of Pre-Funded Warrants, and (iii) 7,874,739 shares of Common Stock issuable upon conversion of 94,497 shares of Series B Preferred Stock held directly by Fund II, and (c) Co-Invest's direct holdings of 2,573,308 shares of Common Stock. The securities exclude 2,323,770 shares of Common Stock issuable upon exercise of Pre-Funded Warrants directly held by Fund II. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Common Stock and the conversion of the Series B Preferred Stock is subject to a beneficial ownership limitation of 19.99%. At such time as Fairmount and its affiliates beneficially own 9.0% or less of the Common Stock, the beneficial ownership limitation with respect to the Series B Preferred Stock will automatically reduce to 9.99%.\n\nRow 13 is based on 74,733,166 shares of Common Stock outstanding as of July 1, 2026, consisting of (i) 60,312,101 shares of Common Stock outstanding as of April 30, 2026, as reported in the Company's Form 10-Q filed on May 13, 2026, (ii) 3,553,410 shares of Common Stock issued upon conversion of Series B Preferred Stock by the Reporting Persons on July 1, 2026, (iii) 19,022 shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons, (iv) 2,973,894 shares of Common Stock underlying the 2,973,894 Pre-Funded Warrants, subject to the beneficial ownership limitation and (v) 7,874,739 shares of Common Stock underlying the 94,497 shares of Series B Preferred Stock owned by the Reporting Persons.\n\n* Under Mr. Harwin's arrangement with Fairmount, Mr. Harwin holds the options for one or more investment vehicles managed by Fairmount (each, a \"Fairmount Fund\"). Mr. Harwin is obligated to turn over to Fairmount any net cash or stock received from the option for the benefit of such Fairmount Fund. Mr. Harwin therefore disclaims beneficial ownership of the option and underlying common stock." }, { "accession_no": "0001104659-26-080010", "person_seq": 4, "reporting_person_cik": 1830177, "reporting_person_name": "Kiselak Tomas", "fund_type": "AF", "citizenship_or_org": "2B", "sole_voting_power": 0.0, "shared_voting_power": 14533895.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14533895.0, "aggregate_amount_owned": 14533895.0, "percent_of_class": 19.47, "type_of_reporting_person": "IN", "comment_content": "The information in the \"Comments\" to the cover page for Fairmount Funds Management LLC above is hereby incorporated by reference." }, { "accession_no": "0001104659-26-080162", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "OO", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 20354627.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20354627.0, "aggregate_amount_owned": 20354627.0, "percent_of_class": 31.6, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 12,852,125 common shares, no par value (\"Common Shares\") of Elemental Royalty Corporation held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A and 7,502,502 Common Shares of held by Tether Investments, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 64,383,030 Common Shares outstanding on May 11, 2026, as reported in the Issuer's Management's Discussion & Analysis included as an exhibit to its Form 6-K filed with the Securities and Exchange Commission on May 13, 2026." }, { "accession_no": "0001104659-26-080162", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 12852125.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12852125.0, "aggregate_amount_owned": 12852125.0, "percent_of_class": 20.0, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 64,383,030 Common Shares outstanding on May 11, 2026, as reported in the Issuer's Management's Discussion & Analysis included as an exhibit to its Form 6-K filed with the Securities and Exchange Commission on May 13, 2026." }, { "accession_no": "0001104659-26-080162", "person_seq": 2, "reporting_person_cik": 2049832, "reporting_person_name": "Tether Investments, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 7502502.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7502502.0, "aggregate_amount_owned": 7502502.0, "percent_of_class": 11.7, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 64,383,030 Common Shares outstanding on May 11, 2026, as reported in the Issuer's Management's Discussion & Analysis included as an exhibit to its Form 6-K filed with the Securities and Exchange Commission on May 13, 2026." }, { "accession_no": "0001104659-26-080162", "person_seq": 3, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 20354627.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20354627.0, "aggregate_amount_owned": 20354627.0, "percent_of_class": 31.6, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 12,852,125 Common Shares held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. and 7,502,502 Common Shares of held by Tether Investments, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 64,383,030 Common Shares outstanding on May 11, 2026, as reported in the Issuer's Management's Discussion & Analysis included as an exhibit to its Form 6-K filed with the Securities and Exchange Commission on May 13, 2026." }, { "accession_no": "0001104659-26-080363", "person_seq": 0, "reporting_person_cik": 1965905, "reporting_person_name": "Eric Li", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 108325939.0, "shared_voting_power": 0.0, "sole_dispositive_power": 99358168.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 99358168.0, "percent_of_class": 60.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 1, "reporting_person_cik": 1936654, "reporting_person_name": "VOLVO CAR CORPORATION", "fund_type": "WC", "citizenship_or_org": "V7", "sole_voting_power": 32691731.0, "shared_voting_power": 0.0, "sole_dispositive_power": 32691731.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 32691731.0, "percent_of_class": 19.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "PSD INVESTMENT LIMITED", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 42917431.0, "shared_voting_power": 0.0, "sole_dispositive_power": 33949660.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 33949660.0, "percent_of_class": 20.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "PSD CAPITAL LIMITED", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 42917431.0, "shared_voting_power": 0.0, "sole_dispositive_power": 33949660.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 33949660.0, "percent_of_class": 20.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "SNITA HOLDING B.V.", "fund_type": "AF", "citizenship_or_org": "P7", "sole_voting_power": 32691731.0, "shared_voting_power": 0.0, "sole_dispositive_power": 32691731.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 32691731.0, "percent_of_class": 19.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 5, "reporting_person_cik": 1899294, "reporting_person_name": "VOLVO CAR AB", "fund_type": "WC", "citizenship_or_org": "V7", "sole_voting_power": 32691731.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32691731.0, "aggregate_amount_owned": 32691731.0, "percent_of_class": 19.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "GEELY SWEDEN HOLDINGS AB", "fund_type": "WC", "citizenship_or_org": "V7", "sole_voting_power": 65408508.0, "shared_voting_power": 0.0, "sole_dispositive_power": 65408508.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 65408508.0, "percent_of_class": 39.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "SHANGHAI GEELY ZHAOYUAN INTERNATIONAL INVESTMENT CO., LTD", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 65408508.0, "shared_voting_power": 0.0, "sole_dispositive_power": 65408508.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 65408508.0, "percent_of_class": 39.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "BEIJING GEELY WANYUAN INTERNATIONAL INVESTMENT CO., LTD", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 65408508.0, "shared_voting_power": 0.0, "sole_dispositive_power": 65408508.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 65408508.0, "percent_of_class": 39.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "BEIJING GEELY KAISHENG INTERNATIONAL INVESTMENT CO., LTD", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 65408508.0, "shared_voting_power": 0.0, "sole_dispositive_power": 65408508.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 65408508.0, "percent_of_class": 39.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "ZHEJIANG GEELY HOLDING GROUP COMPANY LIMITED", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 65408508.0, "shared_voting_power": 0.0, "sole_dispositive_power": 65408508.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 65408508.0, "percent_of_class": 39.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080363", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "GEELY SWEDEN AUTOMOTIVE INVESTMENT B.V.", "fund_type": "WC", "citizenship_or_org": "P7", "sole_voting_power": 32250434.0, "shared_voting_power": 0.0, "sole_dispositive_power": 32250434.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 32250434.0, "percent_of_class": 19.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-080856", "person_seq": 0, "reporting_person_cik": 1201895, "reporting_person_name": "IVASCYN DANIEL J", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 4138497.19, "shared_voting_power": 0.0, "sole_dispositive_power": 4138497.19, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4138497.19, "percent_of_class": 6.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-080877", "person_seq": 0, "reporting_person_cik": 1845105, "reporting_person_name": "Sofinnova Crossover I SLP", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 3535843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2474299.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3535843.0, "percent_of_class": 4.3, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 7 and 8: Sofinnova Partners SAS, a French corporation (\"SP SAS\"), the management company of Sofinnova Crossover I SLP (\"SC\"), may be deemed to have sole voting power, and Antoine Papiernik (\"Papiernik\"), Cedric Moreau (\"Moreau\"), Kinam Hong (\"Hong\"), Joseph Anderson (\"Anderson\") and Jacques Theurillat (\"Theurillat\"), the members of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote in relation to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Papiernik, Moreau, Hong, Anderson and Theurillat, the members of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 2,474,299 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 3,535,843 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,130,598 voting rights outstanding as of May 31, 2026." }, { "accession_no": "0001104659-26-080877", "person_seq": 1, "reporting_person_cik": 1574139, "reporting_person_name": "Sofinnova Partners SAS", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 3535843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2474299.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3535843.0, "percent_of_class": 4.3, "type_of_reporting_person": "OO", "comment_content": "Note in relation to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Papiernik, Moreau, Hong, Anderson and Theurillat, the members of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote in relation to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Papiernik, Moreau, Hong, Anderson and Theurillat, the members of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 2,474,299 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 3,535,843 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,130,598 voting rights outstanding as of May 31, 2026." }, { "accession_no": "0001104659-26-080877", "person_seq": 2, "reporting_person_cik": 1768408, "reporting_person_name": "Antoine Papiernik", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 3535843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2474299.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3535843.0, "percent_of_class": 4.3, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Papiernik, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Papiernik, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 2,474,299 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 3,535,843 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,130,598 voting rights outstanding as of May 31, 2026." }, { "accession_no": "0001104659-26-080877", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Cedric Moreau", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 3535843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2474299.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3535843.0, "percent_of_class": 4.3, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Moreau, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Moreau, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 2,474,299 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 3,535,843 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,130,598 voting rights outstanding as of May 31, 2026." }, { "accession_no": "0001104659-26-080877", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Kinam Hong", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3535843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2474299.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3535843.0, "percent_of_class": 4.3, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Hong, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Hong, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 2,474,299 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 3,535,843 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,130,598 voting rights outstanding as of May 31, 2026." }, { "accession_no": "0001104659-26-080877", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Joseph Anderson", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 3535843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2474299.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3535843.0, "percent_of_class": 4.3, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Anderson, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Anderson, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 2,474,299 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 3,535,843 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,130,598 voting rights outstanding as of May 31, 2026." }, { "accession_no": "0001104659-26-080877", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Jacques Theurillat", "fund_type": "OO", "citizenship_or_org": "V8", "sole_voting_power": 3535843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2474299.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3535843.0, "percent_of_class": 4.3, "type_of_reporting_person": "IN", "comment_content": "Note to Items 7 and 8: SP SAS, the management company of SC, may be deemed to have sole voting power, and Theurillat, a member of the investment committee of SC, may be deemed to have shared power to vote these shares.\n\nNote to Items 9 and 10: SP SAS, the management company of SC, may be deemed to have sole power to dispose of these shares, and Theurillat, a member of the investment committee of SC, may be deemed to have shared power to dispose of these shares.\n\nNote in relation to Items 8, 10, 11 and 13: The Reporting Person beneficially owns 2,474,299 Ordinary Shares (including ordinary shares represented by American depositary shares) and has 3,535,843 voting rights related to such shares. The aggregate amount beneficially owned and percent of class reported above are based on the Reporting Person's voting rights and the 82,130,598 voting rights outstanding as of May 31, 2026." }, { "accession_no": "0001104659-26-081046", "person_seq": 0, "reporting_person_cik": 1884066, "reporting_person_name": "Allseas Group S.A.", "fund_type": "OO", "citizenship_or_org": "V8", "sole_voting_power": 0.0, "shared_voting_power": 66502501.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 66502501.0, "aggregate_amount_owned": 66502501.0, "percent_of_class": 15.4, "type_of_reporting_person": "CO", "comment_content": "Box 8, 10 and 11 - Includes (i) 62,419,168 common shares (\"TMC Common Shares\") of TMC the metals company Inc. (the \"Issuer\") held by Allseas Group S.A., (ii) 1,750,000 shares of TMC Common Shares issuable upon the exercise of Class A Warrants acquired by Allseas Group S.A. on August 16, 2023 and (iii) 2,333,333 shares of TMC Common Shares issuable upon the exercise of Class C Warrants acquired by Allseas Group S.A. on May 22, 2025.\n\nBox 13 - The percentage is based upon 433,221,138 shares of TMC Common Shares, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001104659-26-081046", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Allseas Investments S.A.", "fund_type": "OO", "citizenship_or_org": "V8", "sole_voting_power": 0.0, "shared_voting_power": 66502501.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 66502501.0, "aggregate_amount_owned": 66502501.0, "percent_of_class": 15.4, "type_of_reporting_person": "CO", "comment_content": "Box 8, 10 and 11 - Includes (i) 62,419,168 common shares (\"TMC Common Shares\") of TMC the metals company Inc. (the \"Issuer\") held by Allseas Group S.A., (ii) 1,750,000 shares of TMC Common Shares issuable upon the exercise of Class A Warrants acquired by Allseas Group S.A. on August 16, 2023 and (iii) 2,333,333 shares of TMC Common Shares issuable upon the exercise of Class C Warrants acquired by Allseas Group S.A. on May 22, 2025.\n\nBox 13 - The percentage is based upon 433,221,138 shares of TMC Common Shares, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001104659-26-081046", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Argentum Cedit Virtuti NV", "fund_type": "OO", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 67502501.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 67502501.0, "aggregate_amount_owned": 67502501.0, "percent_of_class": 15.6, "type_of_reporting_person": "HC", "comment_content": "Box 13 - The percentage is based upon 433,221,138 shares of TMC Common Shares, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 14, 2026.\n\nBox 8, 10 and 11 - Includes (i) 62,419,168 shares of TMC Common Shares held by Allseas Group S.A., (ii) 1,750,000 shares of TMC Common Shares issuable upon the exercise of Class A Warrants acquired by Allseas Group S.A. on August 16, 2023, (iii) 2,333,333 shares of TMC Common Shares issuable upon the exercise of Class C Warrants acquired by Allseas Group S.A. on May 22, 2025 and (iv) 1,000,000 shares of TMC Common Shares held by Argentum Cedit Virtuti NV." }, { "accession_no": "0001104659-26-081046", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Stichting Administratiekantoor Aequa Lance Foundation", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 67502501.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 67502501.0, "aggregate_amount_owned": 67502501.0, "percent_of_class": 15.6, "type_of_reporting_person": "CO", "comment_content": "Box 13 - The percentage is based upon 433,221,138 shares of TMC Common Shares, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 14, 2026.\n\nBox 8, 10 and 11 - Includes (i) 62,419,168 shares of TMC Common Shares held by Allseas Group S.A., (ii) 1,750,000 shares of TMC Common Shares issuable upon the exercise of Class A Warrants acquired by Allseas Group S.A. on August 16, 2023, (iii) 2,333,333 shares of TMC Common Shares issuable upon the exercise of Class C Warrants acquired by Allseas Group S.A. on May 22, 2025 and (iv) 1,000,000 shares of TMC Common Shares held by Argentum Cedit Virtuti NV." }, { "accession_no": "0001104659-26-081046", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Edward Heerema", "fund_type": "OO", "citizenship_or_org": "V8", "sole_voting_power": 0.0, "shared_voting_power": 67502501.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 67502501.0, "aggregate_amount_owned": 67502501.0, "percent_of_class": 15.6, "type_of_reporting_person": "IN", "comment_content": "Box 13 - The percentage is based upon 433,221,138 shares of TMC Common Shares, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 14, 2026.\n\nBox 8, 10 and 11 - Includes (i) 62,419,168 shares of TMC Common Shares held by Allseas Group S.A., (ii) 1,750,000 shares of TMC Common Shares issuable upon the exercise of Class A Warrants acquired by Allseas Group S.A. on August 16, 2023, (iii) 2,333,333 shares of TMC Common Shares issuable upon the exercise of Class C Warrants acquired by Allseas Group S.A. on May 22, 2025 and (iv) 1,000,000 shares of TMC Common Shares held by Argentum Cedit Virtuti NV." }, { "accession_no": "0001104659-26-081193", "person_seq": 0, "reporting_person_cik": 1248580, "reporting_person_name": "John P Calamos, Sr.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 950844.53, "sole_dispositive_power": 0.0, "shared_dispositive_power": 950844.53, "aggregate_amount_owned": 950844.53, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": "The percentage reflected in Row 13 was calculated based on 5,869,565 total shares of Class I Common Stock outstanding as of 6/30/2026." }, { "accession_no": "0001104659-26-081193", "person_seq": 1, "reporting_person_cik": 1316507, "reporting_person_name": "Calamos Advisors LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 11888.57, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11888.57, "aggregate_amount_owned": 11888.57, "percent_of_class": 0.2, "type_of_reporting_person": "IA", "comment_content": "The percentage reflected in Row 13 was calculated based on 5,869,565 total shares of Class I Common Stock outstanding as of 6/30/2026." }, { "accession_no": "0001104659-26-081193", "person_seq": 2, "reporting_person_cik": 1307316, "reporting_person_name": "Calamos Family Partners, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 938955.96, "sole_dispositive_power": 0.0, "shared_dispositive_power": 938955.96, "aggregate_amount_owned": 938955.96, "percent_of_class": 16.0, "type_of_reporting_person": "CO", "comment_content": "The percentage reflected in Row 13 was calculated based on 5,869,565 total shares of Class I Common Stock outstanding as of 6/30/2026." }, { "accession_no": "0001104659-26-081268", "person_seq": 0, "reporting_person_cik": 1538653, "reporting_person_name": "Prescott General Partners LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1456150.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1456150.0, "aggregate_amount_owned": 1456150.0, "percent_of_class": 31.4, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-081268", "person_seq": 1, "reporting_person_cik": 1236417, "reporting_person_name": "Prescott Associates L.P.", "fund_type": "WC", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 895796.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 895796.0, "aggregate_amount_owned": 895796.0, "percent_of_class": 19.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-081268", "person_seq": 2, "reporting_person_cik": 1236415, "reporting_person_name": "Idoya Partners L.P.", "fund_type": "WC", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 518550.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 518550.0, "aggregate_amount_owned": 518550.0, "percent_of_class": 11.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-081268", "person_seq": 3, "reporting_person_cik": 1236421, "reporting_person_name": "Prescott Investors Profit Sharing Trust", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 50286.0, "shared_voting_power": 0.0, "sole_dispositive_power": 50286.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 50286.0, "percent_of_class": 1.1, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-081268", "person_seq": 4, "reporting_person_cik": 926688, "reporting_person_name": "Thomas W. Smith", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 493000.0, "shared_voting_power": 61150.0, "sole_dispositive_power": 493000.0, "shared_dispositive_power": 61150.0, "aggregate_amount_owned": 554150.0, "percent_of_class": 11.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081268", "person_seq": 5, "reporting_person_cik": 1203547, "reporting_person_name": "Scott J. Vassalluzzo", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 31788.0, "shared_voting_power": 0.0, "sole_dispositive_power": 31788.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 31788.0, "percent_of_class": 0.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081270", "person_seq": 0, "reporting_person_cik": 1538653, "reporting_person_name": "Prescott General Partners LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1427060.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1427060.0, "aggregate_amount_owned": 1427060.0, "percent_of_class": 13.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-081270", "person_seq": 1, "reporting_person_cik": 1236417, "reporting_person_name": "Prescott Associates L.P.", "fund_type": "WC", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 901241.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 901241.0, "aggregate_amount_owned": 901241.0, "percent_of_class": 8.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-081270", "person_seq": 2, "reporting_person_cik": 1236421, "reporting_person_name": "Prescott Investors Profit Sharing Trust", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 41437.0, "shared_voting_power": 0.0, "sole_dispositive_power": 41437.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 41437.0, "percent_of_class": 0.4, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-081270", "person_seq": 3, "reporting_person_cik": 926688, "reporting_person_name": "Thomas W. Smith", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 587845.0, "shared_voting_power": 62675.0, "sole_dispositive_power": 587845.0, "shared_dispositive_power": 62675.0, "aggregate_amount_owned": 650520.0, "percent_of_class": 6.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081270", "person_seq": 4, "reporting_person_cik": 1203547, "reporting_person_name": "Scott J. Vassalluzzo", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 68516.0, "shared_voting_power": 0.0, "sole_dispositive_power": 68516.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 68516.0, "percent_of_class": 0.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081276", "person_seq": 0, "reporting_person_cik": 1480561, "reporting_person_name": "UAW Retiree Medical Benefits Trust", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 620852.88, "sole_dispositive_power": 0.0, "shared_dispositive_power": 620852.88, "aggregate_amount_owned": 620852.88, "percent_of_class": 99.0, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-081276", "person_seq": 1, "reporting_person_cik": 1795057, "reporting_person_name": "UAW Chrysler Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 121066.31, "sole_dispositive_power": 0.0, "shared_dispositive_power": 121066.31, "aggregate_amount_owned": 121066.31, "percent_of_class": 19.3, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-081276", "person_seq": 2, "reporting_person_cik": 1795052, "reporting_person_name": "UAW Ford Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 188739.28, "sole_dispositive_power": 0.0, "shared_dispositive_power": 188739.28, "aggregate_amount_owned": 188739.28, "percent_of_class": 30.1, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-081276", "person_seq": 3, "reporting_person_cik": 1795050, "reporting_person_name": "UAW GM Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 311047.3, "sole_dispositive_power": 0.0, "shared_dispositive_power": 311047.3, "aggregate_amount_owned": 311047.3, "percent_of_class": 49.6, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-081276", "person_seq": 4, "reporting_person_cik": 1794997, "reporting_person_name": "Hershel Harper", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 620852.88, "sole_dispositive_power": 0.0, "shared_dispositive_power": 620852.88, "aggregate_amount_owned": 620852.88, "percent_of_class": 99.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081507", "person_seq": 0, "reporting_person_cik": 2023157, "reporting_person_name": "Anette Schmid", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 34888004.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34888004.0, "aggregate_amount_owned": 34888004.0, "percent_of_class": 40.25, "type_of_reporting_person": "IN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000. On July 3, 2026 Christian Schmid transferred 500,000 shares he owned to Helmut Rauch, an employee and manger at Gebr. Schmid GmbH.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 65,675,726, and a total of 21,000,000 outstanding private and public warrants, a total of 86,675,726 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 18 million in convertible notes have been converted to date, or the potential further conversion a USD 20 million convertible note as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-081507", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Schmid Aequitas GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 15680589.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15680589.0, "aggregate_amount_owned": 15680589.0, "percent_of_class": 18.1, "type_of_reporting_person": "PN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000. On July 3, 2026 Christian Schmid transferred 500,000 shares he owned to Helmut Rauch, an employee and manger at Gebr. Schmid GmbH.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 65,675,726, and a total of 21,000,000 outstanding private and public warrants, a total of 86,675,726 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 18 million in convertible notes have been converted to date, or the potential further conversion a USD 20 million convertible note as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-081507", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Schmid Grundstucke GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 1028074.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1028074.0, "aggregate_amount_owned": 1028074.0, "percent_of_class": 1.19, "type_of_reporting_person": "PN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000. On July 3, 2026 Christian Schmid transferred 500,000 shares he owned to Helmut Rauch, an employee and manger at Gebr. Schmid GmbH.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 65,675,726, and a total of 21,000,000 outstanding private and public warrants, a total of 86,675,726 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 18 million in convertible notes have been converted to date, or the potential further conversion a USD 20 million convertible note as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-081507", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Christian Schmid", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 34888004.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34888004.0, "aggregate_amount_owned": 34888004.0, "percent_of_class": 40.25, "type_of_reporting_person": "IN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000. On July 3, 2026 Christian Schmid transferred 500,000 shares he owned to Helmut Rauch, an employee and manger at Gebr. Schmid GmbH.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 65,675,726, and a total of 21,000,000 outstanding private and public warrants, a total of 86,675,726 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 18 million in convertible notes have been converted to date, or the potential further conversion a USD 20 million convertible note as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-081507", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "C. Schmid Beteiligung GmbH & Co. KG", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 19085322.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19085322.0, "aggregate_amount_owned": 19085322.0, "percent_of_class": 22.02, "type_of_reporting_person": "PN", "comment_content": "Row 7 and 11: On May 14, 2026, the Community of Heirs of Dieter C. Schmid (Erbengemeinschaft) distributed all of its 14,937,000 ordinary shares of SCHMID Group N.V., with 10,341,000 ordinary shares transferred to Christian Schmid and 4,596,000 ordinary shares transferred to Anette Schmid. On the same date, in connection with capital increases and related transfer arrangements, Anette Schmid contributed (i) 6,894,000 ordinary shares previously held by her and (ii) the 4,596,000 ordinary shares received from the Erbengemeinschaft to Schmid Aequitas GmbH & Co. KG, and Christian Schmid contributed (i) 4,979,000 ordinary shares previously held by him and (ii) the 10,341,000 ordinary shares received from the Erbengemeinschaft to C. Schmid Beteiligung GmbH & Co. KG. In addition and under the same agreements, each GmbH & Co. KG received the economic ownership of (i) 2,500,000 Earn-Out Shares and (ii) 1,000,000 warrants plus an additional 1,000,000 transfer-warrants (with the transfer-warrants to be delivered), in each case through trustee/nominee arrangements where legal title or transfer mechanics were restricted. The Earn-Out Shares, issued to Anette Schmid and Christian Schmid by the Issuer on April 30, 2024, are not included in, and are not counted toward, the aggregate number of ordinary shares reported in Rows 7-11. Per the Earn-Out Agreement the voting and dispositive power for these shares has not yet vested in the Reporting Persons, for which reason the 5,000,000 earn-out shares have not been counted towards this aggregate share total. On May 23, 2026 (i) 2,190,589 ordinary shares were issued to Anette Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 13,850,000, which she assigned to Schmid Aequitas GmbH & Co. KG, and (ii) 1,265,322 Ordinary Shares were issued to Christian Schmid in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 8,000,000, which he assigned to C. Schmid Beteiligung GmbH & Co. KG. In total Anette Schmid now holds 13,680,589 ordinary shares in the Issuer through her investment vehicle Schmid Aequitas GmbH & Co. KG, and Christian Schmid holds 16,585,322 ordinary shares in the Issuer through his investment vehicle C. Schmid Beteiligung GmbH & Co. KG. On May 23, 2026 Anette Schmid was also issued 24,247 and 18,782 ordinary shares and Christian Schmid was issued 37,150 and 13,840 ordinary shares. These were issued as bonus compensation due to them for their work in a management capacity for the Issuer in fiscal year 2023, and in connection with outstanding and unpaid board compensation claims for fiscal year 2025, respectively. They hold these securities directly. On May 23, 2026, Schmid Grundstucke GmbH & Co. KG, a company ultimately and solely controlled by Anette Schmid, received 1,028,074 ordinary shares in exchange for the setting off of outstanding claims against Issuer group companies amounting to EUR 6,500,000. On July 3, 2026 Christian Schmid transferred 500,000 shares he owned to Helmut Rauch, an employee and manger at Gebr. Schmid GmbH.\n\nAnette Schmid, Christian Schmid, Schmid Aequitas GmbH & Co. KG and C. Schmid Beteiligung GmbH & Co. KG entered into a Joint Filing Agreement and a Joint Voting Agreement dated May 18, 2026, both of which Schmid Grundstucke GmbH & Co. KG joined by the Joinder Agreement dated May 26, 2026. Pursuant to the Joint Filing Agreement the parties agreed to file this Schedule 13D/A (and any subsequent amendments) jointly, and agreed to be responsible only for the completeness and accuracy of information relating to themselves and for timely filing. The Joint Voting Agreement, pursuant to which each party agreed to vote (or cause to be voted) all shares beneficially owned by such party in accordance with a joint determination, is also an acknowledgement by the parties that they constitute a \"group\" for purposes of Section 13(d)(3) and Rule 13d-5. Accordingly, each Reporting Person reports shared (and not sole) voting and dispositive power with the other Reporting Persons with respect to the securities reported herein.\n\nRow 13: Based on the current number of outstanding ordinary shares, 65,675,726, and a total of 21,000,000 outstanding private and public warrants, a total of 86,675,726 ordinary shares are outstanding as of May 26, 2026 for the purposes of this Row 13. The percentage assumes a 1:1 conversion of all outstanding warrants to ordinary shares, but does not reflect the potential conversion of a EUR 2.5 million term loan facility with Black Forest Special Situations I, the potential further conversion a USD 30 million convertible note and an additional 3,744,150 warrants, of which USD 18 million in convertible notes have been converted to date, or the potential further conversion a USD 20 million convertible note as the number of shares these instruments convert into is subject to changes in USD-EUR exchange rates and the share price of the Company respectively." }, { "accession_no": "0001104659-26-081559", "person_seq": 0, "reporting_person_cik": 1846370, "reporting_person_name": "Richard Griffiths", "fund_type": "PF", "citizenship_or_org": "Y9", "sole_voting_power": 30844458.0, "shared_voting_power": 0.0, "sole_dispositive_power": 30844458.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 30844458.0, "percent_of_class": 21.7, "type_of_reporting_person": "IN", "comment_content": "* Consists of (i) 19,155,522 ordinary shares represented by American Depositary Shares (\"ADSs\") held by Ora Capital Limited; (ii) 1,815,522 ordinary shares represented by ADSs held by Sarossa Plc; (iii) 3,000,000 ordinary shares represented by ADSs held by Cream Capital Limited; ; (iv) 300,000 ordinary shares represented by ADSs held by Blake Holdings Limited; (v) 360,000 ordinary shares represented by ADSs held by Ora Ventures Limited; (vi) 190,500 ordinary shares represented by ADSs held by Pinkey's Limited; and (vii) 6,022,914 ordinary shares represented by ADSs held by Mr. Griffiths. Each ADS represents, and at the holder's option is convertible into, three ordinary shares of the Issuer. Mr. Griffiths is a director and the controlling shareholder of each of Ora Capital Limited, Ora Ventures Limited, Blake Holdings Limited, Sarossa Plc and Cream Capital Limited and a controlling shareholder of Pinkey's Limited and possesses the power to direct the voting and disposition of these shares.\n\n**This percentage is calculated based upon the 141,701,847 outstanding ordinary shares of the Issuer, as disclosed in the Issuer's last SEC filing." }, { "accession_no": "0001104659-26-081559", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Ora Capital Limited", "fund_type": "WC", "citizenship_or_org": "Y9", "sole_voting_power": 19155522.0, "shared_voting_power": 0.0, "sole_dispositive_power": 19155522.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 19155522.0, "percent_of_class": 13.5, "type_of_reporting_person": "CO", "comment_content": "* Consists of 19,155,522 ordinary shares represented by ADSs held by Ora Capital Limited.\n\n**This percentage is calculated based upon the 141,701,847 outstanding ordinary shares of the Issuer, as disclosed in the Issuer's last SEC filing." }, { "accession_no": "0001104659-26-081782", "person_seq": 0, "reporting_person_cik": 2076325, "reporting_person_name": "Jason David Sawyer", "fund_type": "SC", "citizenship_or_org": "Z4", "sole_voting_power": 540000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 540000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 540000.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": "Beneficial ownership consists of 40,000 restricted stock units vested on December 22, 2025, 250,000 restricted stock units vested on March 31, 2026 and an additional 250,000 restricted stock units vested on June 30, 2026." }, { "accession_no": "0001104659-26-081783", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Gale Hoese", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 700000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 700000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081783", "person_seq": 1, "reporting_person_cik": 2128672, "reporting_person_name": "Andrew Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 21048.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21048.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081783", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jill Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 13952.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13952.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081783", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "David Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 84573.49, "shared_voting_power": 270.0, "sole_dispositive_power": 84573.49, "shared_dispositive_power": 270.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081783", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Denise Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1305.0, "shared_voting_power": 270.0, "sole_dispositive_power": 1305.0, "shared_dispositive_power": 270.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081783", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Jonathan Hoese", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 40000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 40000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081783", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Tamara Retka", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8312.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8312.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081783", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Noah Retka", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-081783", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Joseph Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 3512.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3512.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-082033", "person_seq": 0, "reporting_person_cik": 1137443, "reporting_person_name": "Gary G. Friedman", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 4926337.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4926337.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4926337.0, "percent_of_class": 23.88, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-082399", "person_seq": 0, "reporting_person_cik": 1962464, "reporting_person_name": "Alice H. Chang", "fund_type": "SC", "citizenship_or_org": "F5", "sole_voting_power": 17726784.0, "shared_voting_power": 0.0, "sole_dispositive_power": 17726784.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 17726784.0, "percent_of_class": 17.3, "type_of_reporting_person": "IN", "comment_content": "(1) Represents (i) 597,256 Class A ordinary shares directly held by Alice H. Chang (\"Ms. Chang\"), (ii) 973,744 Class B ordinary shares directly held by Ms. Chang, (iii) 10,622,620 Class B ordinary shares held by GOLDEN EDGE CO., LTD. over which Ms. Chang has sole voting power and sole dispositive power, (iv) 4,669,346 Class B ordinary shares held by DVDonet.com. Inc. over which Ms. Chang has sole voting power and sole dispositive power, (v) 523,008 Class B ordinary shares held by World Speed Company Limited over which Ms. Chang has sole voting power and sole dispositive power, and (vi) 340,810 Class B ordinary shares that Ms. Chang has the right to acquire within 60 days of the date hereof, upon exercise of 340,810 options vested to Ms. Chang under the 2021 Stock Compensation Plan adopted by the Issuer's board of directors on December 13, 2021, as amended (the \"Share Incentive Plan\"). Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own as described in Item 5. See Item 5.\n\n(2) The percentage of class of securities beneficially owned by the Reporting Person is calculated based on a total number of (i) 101,848,671 issued and outstanding ordinary shares (consisting of 85,059,953 Class A ordinary shares and 16,788,718 Class B ordinary shares) of the Issuer as of December 31, 2025, as reported by the Issuer in its annual report on Form 20-F for the fiscal year ended December 31, 2025, filed with the U.S. Securities and Exchange Commission (\"SEC\") on March 13, 2026, and (ii) 340,810 Class B ordinary shares that Ms. Chang has the right to acquire within 60 days of the date hereof, upon exercise of 340,810 options vested to Ms. Chang under the Share Incentive Plan.\n\n(3) The 17,726,784 ordinary shares (consisting of 597,256 Class A ordinary shares and 17,129,528 Class B ordinary shares) beneficially owned by Ms. Chang represents 67.6% of the total outstanding voting power of the Issuer. The percentage of total voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the total voting power of (i) all of the Issuer's Class A ordinary shares and Class B ordinary shares as a single class as of December 31, 2025, and (ii) 340,810 Class B ordinary shares that Ms. Chang has the right to acquire within 60 days of the date hereof, upon exercise of 340,810 options vested to Ms. Chang under the Share Incentive Plan. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of Class B ordinary shares is entitled to ten votes per share on all matters submitted for a vote." }, { "accession_no": "0001104659-26-082399", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Golden Edge Co., Ltd.", "fund_type": "SC", "citizenship_or_org": "D8", "sole_voting_power": 10622620.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10622620.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10622620.0, "percent_of_class": 10.4, "type_of_reporting_person": "CO", "comment_content": "(1) Represents 10,622,620 Class B ordinary shares held by GOLDEN EDGE CO., LTD. over which Ms. Chang has sole voting power and sole dispositive power. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own as described in Item 5. See Item 5.\n\n(2) The percentage of class of securities beneficially owned by the Reporting Person is calculated based on a total number of 101,848,671 issued and outstanding ordinary shares (consisting of 85,059,953 Class A ordinary shares and 16,788,718 Class B ordinary shares) of the Issuer as of December 31, 2025, as reported by the Issuer in its annual report on Form 20-F for the fiscal year ended December 31, 2025, filed with the SEC on March 13, 2026.\n\n(3) The 10,622,620 Class B ordinary shares held by GOLDEN EDGE CO., LTD. represents 42.0% of the total outstanding voting power of the Issuer. The percentage of total voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of all of the Issuer's Class A ordinary shares and Class B ordinary shares as a single class as of December 31, 2025. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of Class B ordinary shares is entitled to ten votes per share on all matters submitted for a vote." }, { "accession_no": "0001104659-26-082399", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "DVDonet.com. Inc.", "fund_type": "SC", "citizenship_or_org": "D8", "sole_voting_power": 4669346.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4669346.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4669346.0, "percent_of_class": 4.6, "type_of_reporting_person": "CO", "comment_content": "(1) Represents 4,669,346 Class B ordinary shares held by DVDonet.com. Inc. over which Ms. Chang has sole voting power and sole dispositive power. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own as described in Item 5. See Item 5.\n\n(2) The percentage of class of securities beneficially owned by the Reporting Person is calculated based on a total number of 101,848,671 issued and outstanding ordinary shares (consisting of 85,059,953 Class A ordinary shares and 16,788,718 Class B ordinary shares) of the Issuer as of December 31, 2025, as reported by the Issuer in its annual report on Form 20-F for the fiscal year ended December 31, 2025, filed with the SEC on March 13, 2026.\n\n(3) The 4,669,346 Class B ordinary shares held by DVDonet.com. Inc. represents 18.5% of the total outstanding voting power of the Issuer. The percentage of total voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of all of the Issuer's Class A ordinary shares and Class B ordinary shares as a single class as of December 31, 2025. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of Class B ordinary shares is entitled to ten votes per share on all matters submitted for a vote." }, { "accession_no": "0001104659-26-082399", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "World Speed Company Limited", "fund_type": "SC", "citizenship_or_org": "D8", "sole_voting_power": 523008.0, "shared_voting_power": 0.0, "sole_dispositive_power": 523008.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 523008.0, "percent_of_class": 0.5, "type_of_reporting_person": "CO", "comment_content": "(1) Represents 523,008 Class B ordinary shares held by World Speed Company Limited over which Ms. Chang has sole voting power and sole dispositive power. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own as described in Item 5. See Item 5.\n\n(2) The percentage of class of securities beneficially owned by the Reporting Person is calculated based on a total number of 101,848,671 issued and outstanding ordinary shares (consisting of 85,059,953 Class A ordinary shares and 16,788,718 Class B ordinary shares) of the Issuer as of December 31, 2025, as reported by the Issuer in its annual report on Form 20-F for the fiscal year ended December 31, 2025, filed with the SEC on March 13, 2026.\n\n(3) The 523,008 Class B ordinary shares held by World Speed Company Limited represents 2.1% of the total outstanding voting power of the Issuer. The percentage of total voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of all of the Issuer's Class A ordinary shares and Class B ordinary shares as a single class as of December 31, 2025. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of Class B ordinary shares is entitled to ten votes per share on all matters submitted for a vote." }, { "accession_no": "0001104659-26-082401", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "CyberLink Corp.", "fund_type": "SC", "citizenship_or_org": "F5", "sole_voting_power": 0.0, "shared_voting_power": 36960961.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 36960961.0, "aggregate_amount_owned": 36960961.0, "percent_of_class": 36.3, "type_of_reporting_person": "CO", "comment_content": "(1) Represents 36,960,961 Class A ordinary shares directly held by CyberLink International Technology Corp. (\"CyberLink International\"), a wholly-owned subsidiary of CyberLink Corp. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own as described in Item 5. See Item 5.\n\n(2) The percentage of class of securities beneficially owned by the Reporting Person is calculated based on a total number of 101,848,671 issued and outstanding ordinary shares (consisting of 85,059,953 Class A ordinary shares and 16,788,718 Class B ordinary shares) of the Issuer as of December 31, 2025, as reported by the Issuer in its annual report on Form 20-F for the fiscal year ended December 31, 2025, filed with the U.S. Securities and Exchange Commission (\"SEC\") on March 13, 2026.\n\n(3) The 36,960,961 Class A ordinary shares beneficially owned by CyberLink Corp. represents 14.6% of the total outstanding voting power of the Issuer. The percentage of total voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of all of the Issuer's Class A ordinary shares and Class B ordinary shares as a single class as of December 31, 2025. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of Class B ordinary shares is entitled to ten votes per share on all matters submitted for a vote." }, { "accession_no": "0001104659-26-082401", "person_seq": 1, "reporting_person_cik": 1962696, "reporting_person_name": "CyberLink International Technology Corp.", "fund_type": "SC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 36960961.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 36960961.0, "aggregate_amount_owned": 36960961.0, "percent_of_class": 36.3, "type_of_reporting_person": "CO", "comment_content": "(1) Represents 36,960,961 Class A ordinary shares directly held by CyberLink International. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own as described in Item 5. See Item 5.\n\n(2) The percentage of class of securities beneficially owned by the Reporting Person is calculated based on a total number of 101,848,671 issued and outstanding ordinary shares (consisting of 85,059,953 Class A ordinary shares and 16,788,718 Class B ordinary shares) of the Issuer as of December 31, 2025, as reported by the Issuer in its annual report on Form 20-F for the fiscal year ended December 31, 2025, filed with the U.S. Securities and Exchange Commission (\"SEC\") on March 13, 2026.\n\n(3) The 36,960,961 Class A ordinary shares beneficially owned by CyberLink International represents 14.6% of the total outstanding voting power of the Issuer. The percentage of total voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of all of the Issuer's Class A ordinary shares and Class B ordinary shares as a single class as of December 31, 2025. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of Class B ordinary shares is entitled to ten votes per share on all matters submitted for a vote." }, { "accession_no": "0001104659-26-083164", "person_seq": 0, "reporting_person_cik": 42872, "reporting_person_name": "Fresenius Medical Care Holdings, Inc.", "fund_type": "WC", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 18312735.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18312735.0, "aggregate_amount_owned": 18312735.0, "percent_of_class": 6.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-083164", "person_seq": 1, "reporting_person_cik": 1333141, "reporting_person_name": "Fresenius Medical Care AG", "fund_type": "AF", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 18312735.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18312735.0, "aggregate_amount_owned": 18312735.0, "percent_of_class": 6.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-083372", "person_seq": 0, "reporting_person_cik": 1480561, "reporting_person_name": "UAW Retiree Medical Benefits Trust", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 70836094.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 70836094.0, "aggregate_amount_owned": 70836094.0, "percent_of_class": 99.3, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-083372", "person_seq": 1, "reporting_person_cik": 1795057, "reporting_person_name": "UAW Chrysler Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 13813035.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13813035.0, "aggregate_amount_owned": 13813035.0, "percent_of_class": 19.4, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-083372", "person_seq": 2, "reporting_person_cik": 1795052, "reporting_person_name": "UAW Ford Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 21534171.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21534171.0, "aggregate_amount_owned": 21534171.0, "percent_of_class": 30.2, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-083372", "person_seq": 3, "reporting_person_cik": 1795050, "reporting_person_name": "UAW GM Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 35488888.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35488888.0, "aggregate_amount_owned": 35488888.0, "percent_of_class": 49.7, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-083372", "person_seq": 4, "reporting_person_cik": 1794997, "reporting_person_name": "Hershel Harper", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 70836094.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 70836094.0, "aggregate_amount_owned": 70836094.0, "percent_of_class": 99.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-083513", "person_seq": 0, "reporting_person_cik": 904548, "reporting_person_name": "Charles W. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 19211014.0, "shared_voting_power": 129470333.0, "sole_dispositive_power": 19211014.0, "shared_dispositive_power": 129470333.0, "aggregate_amount_owned": 148681347.0, "percent_of_class": 50.9, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock, $0.001 par value per share ('Class A Common Stock') and Class B Common Stock, $0.001 par value per share ('Class B Common Stock') of EchoStar Corporation ('EchoStar'). The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power and Sole Dispositive Power totals consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network Corporation ('DISH Network') 401(k) Employee Savings Plan (the 'DISH Network 401(k) Plan'); (iii) 5,010,508 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 1,497,478 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mr. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 10, 2026; and (v) 1,551,355 shares of Class A Common Stock held by CONX Corp. ('CONX') and beneficially owned indirectly by Mr. Ergen through nXgen Opportunities, LLC ('nXgen'), which controls CONX.\n\n(3) Shared Voting Power and Shared Dispositive Power totals consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mr. Ergen's spouse, Cantey M. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 11,921 shares of Class A Common Stock beneficially owned by one of Mr. Ergen's children; (iv) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mr. Ergen is an officer and for which he shares voting and dispositive power with Mrs. Ergen; (v) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, LLC ('Telluray Holdings'), for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; (vi) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year May 2025 SATS GRAT (the \"2025 May GRAT\"); (vii) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2025 SATS GRAT (the \"2025 June GRAT\"); (viii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2025 SATS GRAT (the '2025 July GRAT'); and (ix) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2026 SATS GRAT (the \"2026 June GRAT\").\n\n(4) Percent of Class Represented is based on 159,134,547 shares of Class A Common Stock outstanding on July 10, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mr. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 10, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mr. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 10, 2026). Pursuant to the Amended and Restated Support Agreement dated as of October 2, 2023 (the 'Amended Support Agreement', see Exhibit E), Mr. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mr. Ergen's effective total voting power in such circumstances as of July 10, 2026 is approximately 89.4 percent." }, { "accession_no": "0001104659-26-083513", "person_seq": 1, "reporting_person_cik": 1138538, "reporting_person_name": "Cantey M. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 128705477.0, "shared_voting_power": 18491900.0, "sole_dispositive_power": 49897498.0, "shared_dispositive_power": 97299879.0, "aggregate_amount_owned": 147197377.0, "percent_of_class": 50.7, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power shares consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 10, 2026; (iv) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings; (v) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vi) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (vii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; and (viii) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT. Mrs. Ergen exercises voting power with respect to Telluray Holdings and each of the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT and the 2026 June GRAT independently and, with respect to the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT, and the 2026 June GRAT, in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(3) Shared Voting Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 5,010,508 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; and (vi) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(4) Sole Dispositive Power shares consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 10, 2026; (iv) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (v) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (vi) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; and (vii) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT. Mrs. Ergen exercises dispositive power with respect to each of the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT and the 2026 June GRAT independently and in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(5) Shared Dispositive Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 5,010,508 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; (vi) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; and (vii) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(6) Percent of Class Represented is based on 159,134,547 of Class A Common Stock outstanding on July 10, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mrs. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 10, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mrs. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either exercisable as of, or may become exercisable within 60 days after, July 10, 2026). Pursuant to the Amended Support Agreement (see Exhibit E), Mrs. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mrs. Ergen's effective total voting power in such circumstances as of July 10, 2026 is approximately 89.3 percent." }, { "accession_no": "0001104659-26-083513", "person_seq": 2, "reporting_person_cik": 2030396, "reporting_person_name": "Ergen Two-Year July 2024 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-083513", "person_seq": 3, "reporting_person_cik": 2070254, "reporting_person_name": "Ergen Two-Year May 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 23097210.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23097210.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23097210.0, "percent_of_class": 12.7, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,134,547 shares of Class A Common Stock outstanding on July 10, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 May GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 May GRAT may be deemed to beneficially own would be approximately 8.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 May GRAT beneficially owns equity securities of EchoStar representing approximately 15.7 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-083513", "person_seq": 4, "reporting_person_cik": 2076356, "reporting_person_name": "Ergen Two-Year June 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 14483467.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14483467.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14483467.0, "percent_of_class": 8.3, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,134,547 shares of Class A Common Stock outstanding on July 10, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 June GRAT may be deemed to beneficially own would be approximately 5.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 June GRAT beneficially owns equity securities of EchoStar representing approximately 9.8 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-083513", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year July 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 8000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8000000.0, "percent_of_class": 4.8, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,134,547 shares of Class A Common Stock outstanding on July 10, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 July GRAT may be deemed to beneficially own would be approximately 2.8 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 July GRAT beneficially owns equity securities of EchoStar representing approximately 5.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-083513", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year June 2026 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 4300000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4300000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4300000.0, "percent_of_class": 2.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,134,547 shares of Class A Common Stock outstanding on July 10, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2026 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2026 June GRAT may be deemed to beneficially own would be approximately 1.5 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2026 June GRAT beneficially owns equity securities of EchoStar representing approximately 2.9 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-083513", "person_seq": 7, "reporting_person_cik": 1747721, "reporting_person_name": "Telluray Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 78807979.0, "shared_voting_power": 0.0, "sole_dispositive_power": 78807979.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 78807979.0, "percent_of_class": 33.5, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time. Totals consist of: (i) 2,350,696 shares of Class A Common Stock; and (ii) 76,457,283 shares of Class B Common Stock, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings.\n\n(2) Percent of Class Represented is based on 159,134,547 shares of Class A Common Stock outstanding on July 10, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by Telluray Holdings into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that Telluray Holdings may be deemed to beneficially own would be approximately 27.1 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, Telluray Holdings beneficially owns equity securities of EchoStar representing approximately 52.1 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock). Pursuant to the Amended Support Agreement dated as of October 2, 2023 (see Exhibit E), Telluray Holdings and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Telluray Holdings' effective total voting power in such circumstances as of July 10, 2026 is approximately 51.9 percent." }, { "accession_no": "0001104659-26-083585", "person_seq": 0, "reporting_person_cik": 2067359, "reporting_person_name": "Valetudo Therapeutics LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9617954.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5244351.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9617954.0, "percent_of_class": 14.3, "type_of_reporting_person": "PN", "comment_content": "(1) Consists of 5,244,351 shares of common stock held by Valetudo Therapeutics LLC (\"Valetudo\") and 4,373,603 shares of common stock held by Ewon Comfortech Co., Ltd over which Valetudo retains voting power pursuant to a voting agreement. Chris Kim is the Chief Executive Officer and controlling member of Valetudo and has voting and dispositive power over, and may be deemed to be the beneficial owner of the shares held by Valetudo. Mr. Kim disclaims any such beneficial ownership except to the extent of his pecuniary interest.\n(2) Consists of 5,244,351 shares of common stock held by Valetudo.\n(3) Percentage is calculated based on 67,160,362 shares of common stock outstanding on July 2, 2026." }, { "accession_no": "0001104659-26-083585", "person_seq": 1, "reporting_person_cik": 1972385, "reporting_person_name": "Chris Kim", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 9617954.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5244351.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9617954.0, "percent_of_class": 14.3, "type_of_reporting_person": "IN", "comment_content": "(1) Consists of 5,244,351 shares of common stock held by Valetudo Therapeutics LLC (\"Valetudo\") and 4,373,603 shares of common stock held by Ewon Comfortech Co., Ltd over which Valetudo retains voting power pursuant to a voting agreement. Chris Kim is the Chief Executive Officer and controlling member of Valetudo and has voting and dispositive power over, and may be deemed to be the beneficial owner of the shares held by Valetudo. Mr. Kim disclaims any such beneficial ownership except to the extent of his pecuniary interest.\n(2) Consists of 5,244,351 shares of common stock held by Valetudo.\n(3) Percentage is calculated based on 67,160,362 shares of common stock outstanding on July 2, 2026." }, { "accession_no": "0001104659-26-083783", "person_seq": 0, "reporting_person_cik": 1729200, "reporting_person_name": "FIRMENT SHIPPING INC.", "fund_type": "AF", "citizenship_or_org": "1T", "sole_voting_power": 0.0, "shared_voting_power": 6578633.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6578633.0, "aggregate_amount_owned": 6578633.0, "percent_of_class": 30.5, "type_of_reporting_person": "CO", "comment_content": "Row 13: Percentage calculations are based on 21,582,301 common shares of the Issuer outstanding as of March 31, 2026 as stated in the Issuer's report on Form 6-K filed on June 10, 2026." }, { "accession_no": "0001104659-26-083783", "person_seq": 1, "reporting_person_cik": 2112540, "reporting_person_name": "Feidakis Georgios", "fund_type": "PF", "citizenship_or_org": "J3", "sole_voting_power": 0.0, "shared_voting_power": 6578633.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6578633.0, "aggregate_amount_owned": 6578633.0, "percent_of_class": 30.5, "type_of_reporting_person": "IN", "comment_content": "Row 8, 10, 11: Mr. Feidakis may be deemed to beneficially own common shares through Firment Shipping Inc., a Marshall Islands corporation controlled by Mr. Feidakis.\n\nRow 13: Percentage calculations are based on 21,582,301 common shares of the Issuer outstanding as of March 31, 2026 as stated in the Issuer's report on Form 6-K filed on June 10, 2026." }, { "accession_no": "0001104659-26-083931", "person_seq": 0, "reporting_person_cik": 2049575, "reporting_person_name": "V-CO Investors LLC", "fund_type": "PF", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 514498.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 514498.0, "aggregate_amount_owned": 514498.0, "percent_of_class": 3.7, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon (i) 13,894,600 shares of Common Stock as of May 20, 2026, as reported by the Issuer on its Quarterly Report on Form 10-Q, filed with the SEC on May 20, 2026, plus (ii) 86,979 shares of Common Stock issuable upon conversion or exercise of securities held by V-Co Investors 4 LLC in light of the beneficial ownership limitation described in Item 5 below." }, { "accession_no": "0001104659-26-083931", "person_seq": 1, "reporting_person_cik": 2114466, "reporting_person_name": "V-Co Investors 2 LLC", "fund_type": "PF", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 828000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 828000.0, "aggregate_amount_owned": 828000.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon (i) 13,894,600 shares of Common Stock as of May 20, 2026, as reported by the Issuer on its Quarterly Report on Form 10-Q, filed with the SEC on May 20, 2026, plus (ii) 86,979 shares of Common Stock issuable upon conversion or exercise of securities held by V-Co Investors 4 LLC in light of the beneficial ownership limitation described in Item 5 below." }, { "accession_no": "0001104659-26-083931", "person_seq": 2, "reporting_person_cik": 2114460, "reporting_person_name": "V-Co Investors 3 LLC", "fund_type": "PF", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 1353625.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1353625.0, "aggregate_amount_owned": 1353625.0, "percent_of_class": 9.7, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon (i) 13,894,600 shares of Common Stock as of May 20, 2026, as reported by the Issuer on its Quarterly Report on Form 10-Q, filed with the SEC on May 20, 2026, plus (ii) 86,979 shares of Common Stock issuable upon conversion or exercise of securities held by V-Co Investors 4 LLC in light of the beneficial ownership limitation described in Item 5 below." }, { "accession_no": "0001104659-26-083931", "person_seq": 3, "reporting_person_cik": 2137034, "reporting_person_name": "V-Co Investors 4 LLC", "fund_type": "PF", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 86979.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 86979.0, "aggregate_amount_owned": 86979.0, "percent_of_class": 0.6, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon (i) 13,894,600 shares of Common Stock as of May 20, 2026, as reported by the Issuer on its Quarterly Report on Form 10-Q, filed with the SEC on May 20, 2026, plus (ii) 86,979 shares of Common Stock issuable upon conversion or exercise of securities held by V-Co Investors 4 LLC in light of the beneficial ownership limitation described in Item 5 below." }, { "accession_no": "0001104659-26-083931", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "SP Manager LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 2783102.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2783102.0, "aggregate_amount_owned": 2783102.0, "percent_of_class": 19.9, "type_of_reporting_person": "OO", "comment_content": "The percentage is calculated based upon (i) 13,894,600 shares of Common Stock as of May 20, 2026, as reported by the Issuer on its Quarterly Report on Form 10-Q, filed with the SEC on May 20, 2026, plus (ii) 86,979 shares of Common Stock issuable upon conversion or exercise of securities held by V-Co Investors 4 LLC in light of the beneficial ownership limitation described in Item 5 below." }, { "accession_no": "0001104659-26-083931", "person_seq": 5, "reporting_person_cik": 2074003, "reporting_person_name": "Michael C. Skaff", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2783102.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2783102.0, "aggregate_amount_owned": 2783102.0, "percent_of_class": 19.9, "type_of_reporting_person": "IN", "comment_content": "The percentage is calculated based upon (i) 13,894,600 shares of Common Stock as of May 20, 2026, as reported by the Issuer on its Quarterly Report on Form 10-Q, filed with the SEC on May 20, 2026, plus (ii) 86,979 shares of Common Stock issuable upon conversion or exercise of securities held by V-Co Investors 4 LLC in light of the beneficial ownership limitation described in Item 5 below." }, { "accession_no": "0001104659-26-083957", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "OO", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 12587333.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12587333.0, "aggregate_amount_owned": 12587333.0, "percent_of_class": 13.5, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 12,587,333 common shares, no par value (\"Common Shares\") of Metalla Royalty & Streaming Ltd. held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-083957", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 12587333.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12587333.0, "aggregate_amount_owned": 12587333.0, "percent_of_class": 13.5, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-083957", "person_seq": 2, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 12587333.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12587333.0, "aggregate_amount_owned": 12587333.0, "percent_of_class": 13.5, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 12,587,333 Common Shares held by Tether International, S.A. de C.V. a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 93,442,762 shares outstanding as of May 7, 2026, as reported in the Management Information Circular filed as an exhibit to the Form 6-K filed with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001104659-26-084244", "person_seq": 0, "reporting_person_cik": 1232258, "reporting_person_name": "HBM Healthcare Investments (Cayman) Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 80971680.0, "shared_voting_power": 0.0, "sole_dispositive_power": 80971680.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 80971680.0, "percent_of_class": 12.5, "type_of_reporting_person": "CO", "comment_content": "The amount of shares reported in rows 7, 9 and 11 reflect the number of Ordinary Shares (as defined herein) represented by the ADSs (as defined herein) that the Reporting Person owns or has the right to acquire within 60 days via exercise of Pre-Funded Warrants (as defined herein). Voting and investment power over the Ordinary Shares represented by the ADSs held by HBM Healthcare Investments (Cayman) Ltd. is exercised by the board of directors of HBM Healthcare Investments (Cayman) Ltd. (the \"Board\"). The Board consists of Jean-Marc LeSieur, Richard H. Coles, Sophia Harris, Dr. Andreas Wicki, Mark Kronenfeld, M.D., and Richard Paul Woodhouse, none of whom has individual voting or investment power with respect to the Ordinary Shares represented by ADSs." }, { "accession_no": "0001104659-26-084327", "person_seq": 0, "reporting_person_cik": 1263508, "reporting_person_name": "Baker Bros. Advisors LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 4877963.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4877963.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4877963.0, "percent_of_class": 9.99, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-084327", "person_seq": 1, "reporting_person_cik": 1580575, "reporting_person_name": "Baker Bros. Advisors (GP) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 4877963.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4877963.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4877963.0, "percent_of_class": 9.99, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001104659-26-084327", "person_seq": 2, "reporting_person_cik": 1087939, "reporting_person_name": "Julian C. Baker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4877963.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4877963.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4877963.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-084327", "person_seq": 3, "reporting_person_cik": 1087940, "reporting_person_name": "Felix J. Baker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4877963.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4877963.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4877963.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-084636", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "DEFJ, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 83285.0, "shared_voting_power": 0.0, "sole_dispositive_power": 83285.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 83285.0, "percent_of_class": 8.8, "type_of_reporting_person": "OO", "comment_content": "Note to Row 7, 9, and 11: The reported amount consists of 83,285 shares of common stock, $0.0001 par value per share (\"Common Stock\") of TransCode Therapeutics, Inc. (the \"Company\"), held directly by DEFJ, LLC. The reported amount excludes (i) 11,813,859 shares of Common Stock issuable upon conversion of 1,181.3859 shares of Series A Non-Voting Convertible Preferred Stock, par value $0.0001 per share (\"Series A Preferred Stock\"), and (ii) 2,237,337 shares of Common Stock issuable upon conversion of 223.7337 shares of Series B Non-Voting Convertible Preferred Stock, par value $0.0001 per share (\"Series B Preferred Stock\" and, together with the Series A Preferred Stock, the \"Preferred Stock\").\n\nNote to Row 13: Based on 950,302 shares of Common Stock outstanding as of May 12, 2026 as disclosed in the Company's Quarterly Report on Form 10-Q filed with the SEC on May 15, 2026." }, { "accession_no": "0001104659-26-084636", "person_seq": 1, "reporting_person_cik": 1297567, "reporting_person_name": "CK Life Sciences Int'l., (Holdings) Inc.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 83285.0, "shared_voting_power": 0.0, "sole_dispositive_power": 83285.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 83285.0, "percent_of_class": 8.8, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7, 9, and 11: The reported amount consists of 83,285 shares of Common Stock, held directly by DEFJ, LLC. The reported amount excludes (i) 11,813,859 shares of Common Stock issuable upon conversion of 1,181.3859 shares of Series A Preferred Stock, and (ii) 2,237,337 shares of Common Stock issuable upon conversion of 223.7337 shares of Series B Preferred Stock.\n\nNote to Row 13: Based on 950,302 shares of Common Stock outstanding as of May 12, 2026 as disclosed in the Company's Quarterly Report on Form 10-Q filed with the SEC on May 15, 2026." }, { "accession_no": "0001104659-26-084641", "person_seq": 0, "reporting_person_cik": 1076352, "reporting_person_name": "Rothberg Jonathan M.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 102079.0, "shared_voting_power": 726696.0, "sole_dispositive_power": 102079.0, "shared_dispositive_power": 726696.0, "aggregate_amount_owned": 828775.0, "percent_of_class": 0.4, "type_of_reporting_person": "IN", "comment_content": "This Reporting Person's table is for Class A common stock.\n\nRows 7, 9 and 11 consists of (i) 80,434 shares of Class A common stock of Butterfly Network, Inc. (f/k/a Longview Acquisition Corp.) (the \"Issuer\") held by Jonathan M. Rothberg, Ph.D. and (ii) stock options to purchase 21,645 shares of Class A common stock of the Issuer which are exercisable within 60 days of July 17, 2026, held by Dr. Jonathan M. Rothberg.\n\nRows 8, 10 and 11 consists of 726,696 shares of Class A common stock of the Issuer held by Dr. Rothberg's spouse.\n\nRow 13 is calculated based on 234,842,768 shares of Class A common stock of the Issuer outstanding as of April 20, 2026." }, { "accession_no": "0001104659-26-084641", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Rothberg Jonathan M.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 25213303.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25213303.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 25213303.0, "percent_of_class": 100.0, "type_of_reporting_person": "IN", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRows 7, 9 and 11 consists of 25,213,303 shares of Class B common stock of the Issuer held by 4C Holdings I, LLC, 4C Holdings II, LLC, 4C Holdings III, LLC, 4C Holdings IV, LLC and 4C Holdings V, LLC and shares distributed from 4C Holdings I, LLC and held by entities owned by trusts created for the benefit of Dr. Jonathan Rothberg's children.\n\nRow 13 is calculated based on 25,213,303 shares of Class B common stock of the Issuer outstanding as of July 17, 2026." }, { "accession_no": "0001104659-26-084641", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "4C Holdings I, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4716596.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4716596.0, "aggregate_amount_owned": 4716596.0, "percent_of_class": 18.7, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 25,213,303 shares of Class B common stock of the Issuer outstanding as of July 17, 2026." }, { "accession_no": "0001104659-26-084641", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "4C Holdings II, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2621701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2621701.0, "aggregate_amount_owned": 2621701.0, "percent_of_class": 10.4, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 25,213,303 shares of Class B common stock of the Issuer outstanding as of July 17, 2026." }, { "accession_no": "0001104659-26-084641", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "4C Holdings III, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2621701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2621701.0, "aggregate_amount_owned": 2621701.0, "percent_of_class": 10.4, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 25,213,303 shares of Class B common stock of the Issuer outstanding as of July 17, 2026." }, { "accession_no": "0001104659-26-084641", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "4C Holdings IV, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2621701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2621701.0, "aggregate_amount_owned": 2621701.0, "percent_of_class": 10.4, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 25,213,303 shares of Class B common stock of the Issuer outstanding as of July 17, 2026." }, { "accession_no": "0001104659-26-084641", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "4C Holdings V, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8845238.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8845238.0, "aggregate_amount_owned": 8845238.0, "percent_of_class": 35.1, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 25,213,303 shares of Class B common stock of the Issuer outstanding as of July 17, 2026." }, { "accession_no": "0001104659-26-084768", "person_seq": 0, "reporting_person_cik": 1425738, "reporting_person_name": "Redmile Group, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10019421.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10019421.0, "aggregate_amount_owned": 10019421.0, "percent_of_class": 9.9, "type_of_reporting_person": "IA", "comment_content": "(1) The source of funds was working capital of certain private investment funds managed by Redmile Group, LLC (the \"Redmile Funds\"), including Redmile Biopharma Investments II, L.P. (\"RBI II\").\n\n(2) The information in Item 5(a) relating to the shares of common stock, par value $0.0001 per share, of the Issuer (the \"Common Stock\") that are or may be deemed beneficially owned by Redmile Group, LLC (\"Redmile\") as of July 17, 2026 and the calculation of the beneficial ownership percentage of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-084768", "person_seq": 1, "reporting_person_cik": 1650527, "reporting_person_name": "Jeremy C. Green", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 10019421.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10019421.0, "aggregate_amount_owned": 10019421.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": "(1) The source of funds was working capital of the Redmile Funds, including RBI II.\n\n(2) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by Jeremy Green as of July 17, 2026 and the calculation of the beneficial ownership percentage of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-084768", "person_seq": 2, "reporting_person_cik": 1772230, "reporting_person_name": "Redmile Biopharma Investments II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8125342.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8125342.0, "aggregate_amount_owned": 8125342.0, "percent_of_class": 8.1, "type_of_reporting_person": "PN", "comment_content": "(1) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by RBI II as of July 17, 2026 and the calculation of the beneficial ownership percentage of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-084857", "person_seq": 0, "reporting_person_cik": 1803336, "reporting_person_name": "LAW Man San Vincent", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 178142363.0, "shared_voting_power": 0.0, "sole_dispositive_power": 178142363.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 178142363.0, "percent_of_class": 9.3, "type_of_reporting_person": "IN", "comment_content": "*Mr. Law beneficially owns (i) 178,142,363 Class A Ordinary Shares composed of (a) 85,572,963 Class A Ordinary Shares owned by Good Luck as described below, and (b) 132,242 ADSs which represent 92,569,400 Class A Ordinary Shares owned by Mr. Law directly; (ii) 6 Class B Ordinary Shares, which are owned by Delite as described below; (iii) 65,000 Class A Preference Shares, which are owned by Good Luck as described below; and (iv) 65,000 Class A II Preference Shares, which are owned by Good Luck as described below. Since July 6, 2026, the former ADS ratio of 1 ADS to 100 Class A Ordinary Shares has been changed to the current ADS ratio of 1 ADS to 700 Class A Ordinary Shares.\n\n**The percentage of the class of securities is calculated on an as-converted basis based on 1,924,330,790 Class A Ordinary Shares, 65,000 Class A Preference Shares, 65,000 Class A II Preference Shares, and 99 Class B Ordinary Shares issued and outstanding as of March 31, 2026, assuming conversion of all Class A Preference Shares, Class A II Preference Shares, and Class B Ordinary Shares into Class A Ordinary Shares at a conversion rate of 1:1.\n\n***The voting power of the shares beneficially owned by Mr. Law represents 93.9% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of all of the Issuer's holders of Class A Ordinary Shares, Class B Ordinary Shares, Class A Preference Shares and Class A II Preference Shares as a single class as of March 31, 2026. Each holder of Class A Ordinary Shares is entitled to one vote per share, each holder of Class B Ordinary Shares is entitled to ten votes per share, each holder of Class A Preference Shares is entitled to 10,000 votes per share, and each holder of Class A II Preference Shares is entitled to 400,000 votes per share as at the date of this Amendment No. 4 on all matters submitted to them for a vote. There is no Class A Ordinary Share to be issued to Mr. Law upon the exercise of options and or the vest of RSUs within 60 days of the date of this Amendment No. 4 granted to him under the 2021 Share Incentive Plan of the Issuer." }, { "accession_no": "0001104659-26-084857", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Delite Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 6.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "*Delite directly holds 6 Class B Ordinary Shares. Delite is 100% owned by Mr. Law. Mr. Law indirectly holds all voting and investment powers of Delite and its assets, and is the sole director of Delite. Pursuant to Section 13(d) of the Securities Exchange Act and the rules promulgated thereunder, Mr. Law may be deemed to beneficially own all of the Ordinary Shares held by Delite.\n\n**The percentage of the class of securities is calculated on an as-converted basis based on 1,924,330,790 Class A Ordinary Shares, 65,000 Class A Preference Shares, 65,000 Class A II Preference Shares, and 99 Class B Ordinary Shares issued and outstanding as of March 31, 2026, assuming conversion of all Class A Preference Shares, Class A II Preference Shares, and Class B Ordinary Shares into Class A Ordinary Shares at a conversion rate of 1:1.\n\n***The voting power of the shares beneficially owned by Delite represents 0.0% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of all of the Issuer's holders of Class A Ordinary Shares, Class B Ordinary Shares, Class A Preference Shares and Class A II Preference Shares as a single class as of March 31, 2026. Each holder of Class A Ordinary Shares is entitled to one vote per share, each holder of Class B Ordinary Shares is entitled to ten votes per share, each holder of Class A Preference Shares is entitled to 10,000 votes per share, and each holder of Class A II Preference Shares is entitled to 400,000 votes per share as at the date of this Amendment No. 4 on all matters submitted to them for a vote. There is no Class A Ordinary Share to be issued to Mr. Law upon the exercise of options and or the vest of RSUs within 60 days of the date of this Amendment No. 4 granted to him under the 2021 Share Incentive Plan of the Issuer." }, { "accession_no": "0001104659-26-084857", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Good Luck Capital Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 85702963.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85702963.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85702963.0, "percent_of_class": 4.5, "type_of_reporting_person": "CO", "comment_content": "*Good Luck directly holds 85,572,963 Class A Ordinary Shares, 65,000 Class A Preference Shares, and 65,000 Class A II Preference Shares. Mr. Law is the sole shareholder of Good Luck. Mr. Law indirectly holds all voting and investment powers of Good Luck and its assets, and is the sole director of Good Luck. Pursuant to Section 13(d) of the Securities Exchange Act and the rules promulgated thereunder, Mr. Law may be deemed to beneficially own all of the Ordinary Shares and the Class A Preference Shares held by Good Luck.\n\n**The percentage of the class of securities is calculated on an as-converted basis based on 1,924,330,790 Class A Ordinary Shares, 65,000 Class A Preference Shares, 65,000 Class A II Preference Shares, and 99 Class B Ordinary Shares issued and outstanding as of March 31, 2026, assuming conversion of all Class A Preference Shares, Class A II Preference Shares, and Class B Ordinary Shares into Class A Ordinary Shares at a conversion rate of 1:1.\n\n*** The voting power of the shares beneficially owned represents 93.6% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of all of the Issuer's holders of Class A Ordinary Shares, Class B Ordinary Shares, Class A Preference Shares and Class A II Preference Shares as a single class as of March 31, 2026. Each holder of Class A Ordinary Shares is entitled to one vote per share, each holder of Class B Ordinary Shares is entitled to ten votes per share, each holder of Class A Preference Shares is entitled to 10,000 votes per share, and each holder of Class A II Preference Shares is entitled to 400,000 votes per share as at the date of this Amendment No. 4 on all matters submitted to them for a vote. There is no Class A Ordinary Share to be issued to Mr. Law upon the exercise of options and or the vest of RSUs within 60 days of the date of this Amendment No. 4 granted to him under the 2021 Share Incentive Plan of the Issuer." }, { "accession_no": "0001104659-26-085114", "person_seq": 0, "reporting_person_cik": 1802528, "reporting_person_name": "Fairmount Funds Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6593385.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6593385.0, "aggregate_amount_owned": 6593385.0, "percent_of_class": 16.5, "type_of_reporting_person": "IA", "comment_content": "The securities include (a) 3,601,316 ordinary shares, $0.001 par value per share (the \"Ordinary Shares\"), 2,890,000 Ordinary Shares issuable upon conversion of 2,890 shares of Series A non-voting convertible preferred shares, par value $0.001 per share (the \"Series A Preferred Shares\"), and 102,069 Ordinary Shares issuable upon exercise of Pre-Funded Warrants directly held by Fairmount Healthcare Fund II L.P. (\"Fund II\") and exclude (b) 2,191,968 Ordinary Shares issuable upon exercise of Pre-Funded Warrants directly held by Fund II due to the application of a beneficial ownership limitation. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Ordinary Shares and the exercise of the Series A Preferred Shares is subject to a beneficial ownership limitation of 19.99%. At such time as Fairmount Funds Management LLC (\"Fairmount\") and its affiliates beneficially own 9.0% or less of the Ordinary Shares, the beneficial ownership limitation with respect to the Series A Preferred Shares will automatically reduce to 9.99%.\n\nRow 13 is based on 39,960,923 Ordinary Shares outstanding as of July 16, 2026, consisting of (i) 36,959,831 Ordinary Shares outstanding as of July 16, 2026, as reported in the Company's prospectus supplement filed pursuant to Rule 424(b)(5) dated July 14, 2026, (ii) 9,023 Ordinary Shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons, (iii) 102,069 Ordinary Shares underlying the Pre-Funded Warrants owned by the Reporting Persons, subject to the beneficial ownership limitation, and (iv) 2,890,000 Ordinary Shares underlying the 2,890 shares of Series A Preferred Shares owned by the Reporting Persons." }, { "accession_no": "0001104659-26-085114", "person_seq": 1, "reporting_person_cik": 1769651, "reporting_person_name": "Fairmount Healthcare Fund II L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6593385.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6593385.0, "aggregate_amount_owned": 6593385.0, "percent_of_class": 16.5, "type_of_reporting_person": "PN", "comment_content": "The securities include (a) 3,601,316 Ordinary Shares, 2,890,000 Ordinary Shares issuable upon conversion of 2,890 Series A Preferred Shares, and 102,069 Ordinary Shares issuable upon exercise of Pre-Funded Warrants directly held by the Reporting Person and exclude (b) 2,191,968 Ordinary Shares issuable upon exercise of Pre-Funded Warrants, due to the application of the beneficial ownership limitation. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Ordinary Shares and the exercise of the Series A Preferred Shares is subject to a beneficial ownership limitation of 19.99%. At such time as Fairmount and its affiliates beneficially own 9.0% or less of the Ordinary Shares, the beneficial ownership limitation with respect to the Series A Preferred Shares will automatically reduce to 9.99%.\n\nRow 13 is based on 39,960,923 Ordinary Shares outstanding as of July 16, 2026, consisting of (i) 36,959,831 Ordinary Shares outstanding as of July 16, 2026, as reported in the Company's prospectus supplement filed pursuant to Rule 424(b)(5) dated July 14, 2026, (ii) 9,023 Ordinary Shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons, (iii) 102,069 Ordinary Shares underlying the Pre-Funded Warrants owned by the Reporting Persons, subject to the beneficial ownership limitation, and (iv) 2,890,000 Ordinary Shares underlying the 2,890 shares of Series A Preferred Shares owned by the Reporting Persons." }, { "accession_no": "0001104659-26-085114", "person_seq": 2, "reporting_person_cik": 1663607, "reporting_person_name": "Peter Harwin", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 9023.0, "shared_voting_power": 6593385.0, "sole_dispositive_power": 9023.0, "shared_dispositive_power": 6593385.0, "aggregate_amount_owned": 6602408.0, "percent_of_class": 16.52, "type_of_reporting_person": "IN", "comment_content": "The securities include (a) 9,023 Ordinary Shares issuable upon the exercise of options that are currently exercisable or will be exercisable within 60 days of the date of this filing held directly by Mr. Harwin*, (b) Fund II's direct holdings of (i) 3,601,316 Ordinary Shares, (ii) 2,890,000 Ordinary Shares issuable upon conversion of 2,890 Series A Preferred Shares, and (iii) 102,069 Ordinary Shares issuable upon exercise of Pre-Funded Warrants directly held by the Reporting Person and (c) exclude 2,191,968 Ordinary Shares issuable upon exercise of Pre-Funded Warrants due to the application of the beneficial ownership limitation. The exercise of the Pre-Funded Warrants is subject to a beneficial ownership limitation of 9.99% of the outstanding Ordinary Shares and the exercise of the Series A Preferred Shares is subject to a beneficial ownership limitation of 19.99%. At such time as Fairmount and its affiliates beneficially own 9.0% or less of the Ordinary Shares, the beneficial ownership limitation with respect to the Series A Preferred Shares will automatically reduce to 9.99%.\n\nRow 13 is based on 39,960,923 Ordinary Shares outstanding as of July 16, 2026, consisting of (i) 36,959,831 Ordinary Shares outstanding as of July 14, 2026, as reported in the Company's prospectus supplement filed pursuant to Rule 424(b)(5) dated July 10, 2026, (ii) 9,023 Ordinary Shares underlying options that are currently exercisable or will be exercisable within 60 days of the date of this filing by the Reporting Persons, (iii) 102,069 Ordinary Shares underlying the Pre-Funded Warrants owned by the Reporting Persons, subject to the beneficial ownership limitation, and (iv) 2,890,000 Ordinary Shares underlying the 2,890 shares of Series A Preferred Shares owned by the Reporting Persons.\n\n* Under Mr. Harwin's arrangement with Fairmount, Mr. Harwin holds the options for one or more investment vehicles managed by Fairmount (each, a \"Fairmount Fund\"). Mr. Harwin is obligated to turn over to Fairmount any net cash or stock received from the option for the benefit of such Fairmount Fund. Mr. Harwin therefore disclaims beneficial ownership of the option and underlying common stock." }, { "accession_no": "0001104659-26-085114", "person_seq": 3, "reporting_person_cik": 1830177, "reporting_person_name": "Tomas Kiselak", "fund_type": "AF", "citizenship_or_org": "2B", "sole_voting_power": 0.0, "shared_voting_power": 6593385.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6593385.0, "aggregate_amount_owned": 6593385.0, "percent_of_class": 16.5, "type_of_reporting_person": "IN", "comment_content": "The information in the \"Comments\" to the cover page for Fairmount Funds Management LLC above is hereby incorporated by reference." }, { "accession_no": "0001104659-26-085392", "person_seq": 0, "reporting_person_cik": 1999695, "reporting_person_name": "Searchlight IV KOR, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-085392", "person_seq": 1, "reporting_person_cik": 1999764, "reporting_person_name": "Searchlight Capital Partners IV GP AGG, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "See Item 4" }, { "accession_no": "0001104659-26-085392", "person_seq": 2, "reporting_person_cik": 1999785, "reporting_person_name": "Searchlight Capital Partners IV GP, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "See Item 4" }, { "accession_no": "0001104659-26-085392", "person_seq": 3, "reporting_person_cik": 2000946, "reporting_person_name": "Searchlight Capital Partners IV GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "See Item 4" }, { "accession_no": "0001104659-26-085499", "person_seq": 0, "reporting_person_cik": 1076352, "reporting_person_name": "Rothberg Jonathan M.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 102079.0, "shared_voting_power": 726696.0, "sole_dispositive_power": 102079.0, "shared_dispositive_power": 726696.0, "aggregate_amount_owned": 828775.0, "percent_of_class": 0.4, "type_of_reporting_person": "IN", "comment_content": "This Reporting Person's table is for Class A common stock.\n\nRows 7, 9 and 11 consists of (i) 80,434 shares of Class A common stock of Butterfly Network, Inc. (f/k/a Longview Acquisition Corp.) (the \"Issuer\") held by Jonathan M. Rothberg, Ph.D. and (ii) stock options to purchase 21,645 shares of Class A common stock of the Issuer which are exercisable within 60 days of July 21, 2026, held by Dr. Jonathan M. Rothberg.\n\nRows 8, 10 and 11 consists of 726,696 shares of Class A common stock of the Issuer held by Dr. Rothberg's spouse.\n\nRow 13 is calculated based on 234,842,768 shares of Class A common stock of the Issuer outstanding as of April 20, 2026." }, { "accession_no": "0001104659-26-085499", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Rothberg Jonathan M.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 22086850.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22086850.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22086850.0, "percent_of_class": 100.0, "type_of_reporting_person": "IN", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRows 7, 9 and 11 consists of 22,086,850 shares of Class B common stock of the Issuer held by 4C Holdings I, LLC, 4C Holdings II, LLC, 4C Holdings III, LLC, 4C Holdings IV, LLC and 4C Holdings V, LLC and shares distributed from 4C Holdings I, LLC and held by entities owned by trusts created for the benefit of Dr. Jonathan Rothberg's children.\n\nRow 13 is calculated based on 22,086,850 shares of Class B common stock of the Issuer outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-085499", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "4C Holdings I, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4716596.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4716596.0, "aggregate_amount_owned": 4716596.0, "percent_of_class": 21.4, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 22,086,850 shares of Class B common stock of the Issuer outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-085499", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "4C Holdings II, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2621701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2621701.0, "aggregate_amount_owned": 2621701.0, "percent_of_class": 11.9, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 22,086,850 shares of Class B common stock of the Issuer outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-085499", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "4C Holdings III, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2621701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2621701.0, "aggregate_amount_owned": 2621701.0, "percent_of_class": 11.9, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 22,086,850 shares of Class B common stock of the Issuer outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-085499", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "4C Holdings IV, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2621701.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2621701.0, "aggregate_amount_owned": 2621701.0, "percent_of_class": 11.9, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 22,086,850 shares of Class B common stock of the Issuer outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-085499", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "4C Holdings V, LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8845238.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8845238.0, "aggregate_amount_owned": 8845238.0, "percent_of_class": 40.0, "type_of_reporting_person": "OO", "comment_content": "This Reporting Person's table is for Class B common stock.\n\nRow 13 is calculated based on 22,086,850 shares of Class B common stock of the Issuer outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-085696", "person_seq": 0, "reporting_person_cik": 1724307, "reporting_person_name": "Juvenescence Limited", "fund_type": "WC", "citizenship_or_org": "Y8", "sole_voting_power": 4400781.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4400781.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4400781.0, "percent_of_class": 27.3, "type_of_reporting_person": "CO", "comment_content": "Note to rows 7, 9 and 11: Comprised of (i) 3,267,188 shares of Common Stock held directly by JuvVentures (UK) Limited, (ii) 755,728 shares of Common Stock that may be acquired on exercise of the Replacement Incentive Warrants held by JuvVentures (UK) Limited and (iii) 377,865 shares of Common Stock that may be acquired on exercise of the Incentive Warrants held by JuvVentures (UK) Limited (capitalized terms are defined below)." }, { "accession_no": "0001104659-26-085696", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "JuvVentures (UK) Limited", "fund_type": "WC", "citizenship_or_org": "X0", "sole_voting_power": 4400781.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4400781.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4400781.0, "percent_of_class": 27.3, "type_of_reporting_person": "CO", "comment_content": "Note to rows 7,9 and 11: Comprised of (i) 3,267,188 shares of Common Stock, (ii) 755,728 shares of Common Stock that may be acquired on exercise of the Replacement Incentive Warrants and (iii) 377,865 shares of Common Stock that may be acquired on exercise of the Incentive Warrants." }, { "accession_no": "0001104659-26-085778", "person_seq": 0, "reporting_person_cik": 1480561, "reporting_person_name": "UAW Retiree Medical Benefits Trust", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 90537109.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 90537109.0, "aggregate_amount_owned": 90537109.0, "percent_of_class": 94.2, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-085778", "person_seq": 1, "reporting_person_cik": 1795057, "reporting_person_name": "UAW Chrysler Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 19185827.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19185827.0, "aggregate_amount_owned": 19185827.0, "percent_of_class": 20.0, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-085778", "person_seq": 2, "reporting_person_cik": 1795052, "reporting_person_name": "UAW Ford Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 29780678.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29780678.0, "aggregate_amount_owned": 29780678.0, "percent_of_class": 31.0, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-085778", "person_seq": 3, "reporting_person_cik": 1795050, "reporting_person_name": "UAW GM Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 41570604.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 41570604.0, "aggregate_amount_owned": 41570604.0, "percent_of_class": 43.3, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-085778", "person_seq": 4, "reporting_person_cik": 1794997, "reporting_person_name": "Hershel Harper", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 90537109.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 90537109.0, "aggregate_amount_owned": 90537109.0, "percent_of_class": 94.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-085813", "person_seq": 0, "reporting_person_cik": 904548, "reporting_person_name": "Charles W. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 14211014.0, "shared_voting_power": 134470333.0, "sole_dispositive_power": 14211014.0, "shared_dispositive_power": 134470333.0, "aggregate_amount_owned": 148681347.0, "percent_of_class": 50.9, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock, $0.001 par value per share ('Class A Common Stock') and Class B Common Stock, $0.001 par value per share ('Class B Common Stock') of EchoStar Corporation ('EchoStar'). The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power and Sole Dispositive Power totals consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network Corporation ('DISH Network') 401(k) Employee Savings Plan (the 'DISH Network 401(k) Plan'); (iii) 10,508 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 1,497,478 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mr. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 20, 2026; and (v) 1,551,355 shares of Class A Common Stock held by CONX Corp. ('CONX') and beneficially owned indirectly by Mr. Ergen through nXgen Opportunities, LLC ('nXgen'), which controls CONX.\n\n(3) Shared Voting Power and Shared Dispositive Power totals consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mr. Ergen's spouse, Cantey M. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 11,921 shares of Class A Common Stock beneficially owned by one of Mr. Ergen's children; (iv) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mr. Ergen is an officer and for which he shares voting and dispositive power with Mrs. Ergen; (v) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, LLC ('Telluray Holdings'), for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; (vi) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year May 2025 SATS GRAT (the \"2025 May GRAT\"); (vii) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2025 SATS GRAT (the \"2025 June GRAT\"); (viii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2025 SATS GRAT (the '2025 July GRAT'); (ix) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2026 SATS GRAT (the \"2026 June GRAT\"); and (x) 5,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2026 ECHO GRAT (the \"2026 July GRAT\").\n\n(4) Percent of Class Represented is based on 159,143,226 shares of Class A Common Stock outstanding on July 20, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mr. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 20, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mr. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 20, 2026). Pursuant to the Amended and Restated Support Agreement dated as of October 2, 2023 (the 'Amended Support Agreement', see Exhibit E), Mr. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mr. Ergen's effective total voting power in such circumstances as of July 20, 2026 is approximately 89.4 percent." }, { "accession_no": "0001104659-26-085813", "person_seq": 1, "reporting_person_cik": 1138538, "reporting_person_name": "Cantey M. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 133705477.0, "shared_voting_power": 13491900.0, "sole_dispositive_power": 54897498.0, "shared_dispositive_power": 92299879.0, "aggregate_amount_owned": 147197377.0, "percent_of_class": 50.7, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power shares consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 20, 2026; (iv) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings; (v) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vi) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (vii) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; (viii) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT; and (ix) 5,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 July GRAT. Mrs. Ergen exercises voting power with respect to Telluray Holdings and each of the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT, the 2026 June GRAT and the 2026 July GRAT independently and, with respect to the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT the 2026 June GRAT and the 2026 July GRAT, in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(3) Shared Voting Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 10,508 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; and (vi) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(4) Sole Dispositive Power shares consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 10, 2026; (iv) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (v) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (vi) 8,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; (vii) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT; and (viii) 5,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 July GRAT. Mrs. Ergen exercises dispositive power with respect to each of the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT, the 2026 June GRAT and the 2026 July GRAT independently and in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(5) Shared Dispositive Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 10,508 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; (vi) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; and (vii) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(6) Percent of Class Represented is based on 159,143,226 of Class A Common Stock outstanding on July 20, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mrs. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 20, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mrs. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either exercisable as of, or may become exercisable within 60 days after, July 20, 2026). Pursuant to the Amended Support Agreement (see Exhibit E), Mrs. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mrs. Ergen's effective total voting power in such circumstances as of July 20, 2026 is approximately 89.3 percent." }, { "accession_no": "0001104659-26-085813", "person_seq": 2, "reporting_person_cik": 2070254, "reporting_person_name": "Ergen Two-Year May 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 23097210.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23097210.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23097210.0, "percent_of_class": 12.7, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,143,226 shares of Class A Common Stock outstanding on July 20, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 May GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 May GRAT may be deemed to beneficially own would be approximately 8.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 May GRAT beneficially owns equity securities of EchoStar representing approximately 15.7 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-085813", "person_seq": 3, "reporting_person_cik": 2076356, "reporting_person_name": "Ergen Two-Year June 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 14483467.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14483467.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14483467.0, "percent_of_class": 8.3, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,143,226 shares of Class A Common Stock outstanding on July 20, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 June GRAT may be deemed to beneficially own would be approximately 5.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 June GRAT beneficially owns equity securities of EchoStar representing approximately 9.8 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-085813", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year July 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 8000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8000000.0, "percent_of_class": 4.8, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,143,226 shares of Class A Common Stock outstanding on July 20, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 July GRAT may be deemed to beneficially own would be approximately 2.8 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 July GRAT beneficially owns equity securities of EchoStar representing approximately 5.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-085813", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year June 2026 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 4300000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4300000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4300000.0, "percent_of_class": 2.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n (2) Percent of Class Represented is based on 159,143,226 shares of Class A Common Stock outstanding on July 20, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2026 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2026 June GRAT may be deemed to beneficially own would be approximately 1.5 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2026 June GRAT beneficially owns equity securities of EchoStar representing approximately 2.9 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-085813", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year July 2026 ECHO GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 5000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5000000.0, "percent_of_class": 3.1, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n (2) Percent of Class Represented is based on 159,143,226 shares of Class A Common Stock outstanding on July 20, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2026 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2026 June GRAT may be deemed to beneficially own would be approximately 1.7 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2026 June GRAT beneficially owns equity securities of EchoStar representing approximately 3.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-085813", "person_seq": 7, "reporting_person_cik": 1747721, "reporting_person_name": "Telluray Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 78807979.0, "shared_voting_power": 0.0, "sole_dispositive_power": 78807979.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 78807979.0, "percent_of_class": 33.5, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time. Totals consist of: (i) 2,350,696 shares of Class A Common Stock; and (ii) 76,457,283 shares of Class B Common Stock, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings.\n\n(2) Percent of Class Represented is based on 159,143,226 shares of Class A Common Stock outstanding on July 20, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by Telluray Holdings into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that Telluray Holdings may be deemed to beneficially own would be approximately 27.1 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, Telluray Holdings beneficially owns equity securities of EchoStar representing approximately 52.1 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock). Pursuant to the Amended Support Agreement dated as of October 2, 2023 (see Exhibit E), Telluray Holdings and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Telluray Holdings' effective total voting power in such circumstances as of July 20, 2026 is approximately 51.9 percent." }, { "accession_no": "0001104659-26-085854", "person_seq": 0, "reporting_person_cik": 1821469, "reporting_person_name": "Series U of UM Partners, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 50616650.0, "shared_voting_power": 0.0, "sole_dispositive_power": 50616650.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 50616650.0, "percent_of_class": 37.3, "type_of_reporting_person": "OO", "comment_content": "Note to rows (7), (9) and (11): Beneficial ownership as of the date of filing this Amendment No. 3 consists of 3,570,000 shares of Class A Common Stock and 47,046,650 shares of Class V Common Stock.\n\nNote to row (13): Calculations are based upon a total of 88,613,213 shares of Class A Common Stock and 55,349,000 shares of Class V Common Stock outstanding as of July 15, 2026 as set forth in the Merger Agreement (as defined below)." }, { "accession_no": "0001104659-26-085854", "person_seq": 1, "reporting_person_cik": 1821472, "reporting_person_name": "Series R of UM Partners LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 8932350.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8932350.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8932350.0, "percent_of_class": 9.2, "type_of_reporting_person": "OO", "comment_content": "Note to rows (7), (9) and (11): Beneficial ownership as of the date of filing this Amendment No. 3 consists of 630,000 shares of Class A Common Stock and 8,302,350 shares of Class V Common Stock.\n\nNote to row (13): Calculations are based upon a total of 88,613,213 shares of Class A Common Stock and 55,349,000 shares of Class V Common Stock outstanding as of July 15, 2026 as set forth in the Merger Agreement." }, { "accession_no": "0001104659-26-085854", "person_seq": 2, "reporting_person_cik": 2146175, "reporting_person_name": "Rice Family Foundation", "fund_type": "OO", "citizenship_or_org": "PA", "sole_voting_power": 900000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 900000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 900000.0, "percent_of_class": 1.0, "type_of_reporting_person": "OO", "comment_content": "Note to rows (7), (9) and (11): Beneficial ownership as of the date of filing this Amendment No. 3 consists of 900,000 shares of Class A Common Stock.\n\nNote to row (13): Calculations are based upon a total of 88,613,213 shares of Class A Common Stock and 55,349,000 shares of Class V Common Stock outstanding as of July 15, 2026 as set forth in the Merger Agreement." }, { "accession_no": "0001104659-26-085854", "person_seq": 3, "reporting_person_cik": 1821519, "reporting_person_name": "Dylan Lissette", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1394295.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1394295.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1394295.0, "percent_of_class": 1.6, "type_of_reporting_person": "IN", "comment_content": "Note to rows (7), (9) and (11): Beneficial ownership as of the date of filing this Amendment No. 3 consists of (i) 143,803 shares of Class A Common Stock; (ii) 335,663 shares of Class A Common Stock issuable upon exercise of vested stock options; (iii) 900,000 shares of Class A Common Stock held by the Rice Family Foundation of which Reporting Person's wife is Trustee, and (iv) 14,829 shares of Class A Common Stock held by a trust for the benefit of Reporting Person's child who shares Reporting Person's household. Reporting Person's beneficial ownership of Class A Common Stock as of the date of filing this Amendment No. 3 excludes 16,927 shares of Class A Common Stock issuable upon settlement of RSUs that vest more than 60 days from the date of filing this Amendment No. 3.\n\nNote to row (13): Calculations are based upon a total of 88,613,213 shares of Class A Common Stock and 55,349,000 shares of Class V Common Stock outstanding as of July 15, 2026 as set forth in the Merger Agreement." }, { "accession_no": "0001104659-26-085854", "person_seq": 4, "reporting_person_cik": 1821476, "reporting_person_name": "Timothy Brown", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 67573.0, "shared_voting_power": 0.0, "sole_dispositive_power": 67573.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 67573.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Note to rows (7), (9) and (11): Beneficial ownership as of the date of filing this Amendment No. 3 consists of 67,573 shares of Class A Common Stock. Reporting Person's beneficial ownership of Class A Common Stock as of the date of filing this Amendment No. 3 excludes 16,927 shares of Class A Common Stock issuable upon settlement of RSUs that vest more than 60 days from the date of filing this Amendment No. 3.\n\nNote to row (13): Calculations are based upon a total of 88,613,213 shares of Class A Common Stock and 55,349,000 shares of Class V Common Stock outstanding as of July 15, 2026 as set forth in the Merger Agreement." }, { "accession_no": "0001104659-26-086210", "person_seq": 0, "reporting_person_cik": 1480561, "reporting_person_name": "UAW Retiree Medical Benefits Trust", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 67001.91, "sole_dispositive_power": 0.0, "shared_dispositive_power": 67001.91, "aggregate_amount_owned": 67001.91, "percent_of_class": 99.1, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-086210", "person_seq": 1, "reporting_person_cik": 1795057, "reporting_person_name": "UAW Chrysler Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 13065.37, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13065.37, "aggregate_amount_owned": 13065.37, "percent_of_class": 19.3, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-086210", "person_seq": 2, "reporting_person_cik": 1795052, "reporting_person_name": "UAW Ford Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 20368.58, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20368.58, "aggregate_amount_owned": 20368.58, "percent_of_class": 30.1, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-086210", "person_seq": 3, "reporting_person_cik": 1795050, "reporting_person_name": "UAW GM Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 33567.96, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33567.96, "aggregate_amount_owned": 33567.96, "percent_of_class": 49.6, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-086210", "person_seq": 4, "reporting_person_cik": 1794997, "reporting_person_name": "Hershel Harper", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 67001.91, "sole_dispositive_power": 0.0, "shared_dispositive_power": 67001.91, "aggregate_amount_owned": 67001.91, "percent_of_class": 99.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-086266", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "DEFJ, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 300040.0, "shared_voting_power": 0.0, "sole_dispositive_power": 300040.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 300040.0, "percent_of_class": 9.9, "type_of_reporting_person": "OO", "comment_content": "Note to Row 7, 9, and 11: The reported amount consists of 300,040 shares of common stock, $0.0001 par value per share (\"Common Stock\") of TransCode Therapeutics, Inc. (the \"Company\"), held directly by DEFJ, LLC. The reported amount excludes (i) 11,813,859 shares of Common Stock issuable upon conversion of 1,181.3859 shares of Series A Non-Voting Convertible Preferred Stock, par value $0.0001 per share (\"Series A Preferred Stock\"), and (ii) 2,020,582 shares of Common Stock issuable upon conversion of 202.0582 shares of Series B Non-Voting Convertible Preferred Stock, par value $0.0001 per share (\"Series B Preferred Stock\" and, together with the Series A Preferred Stock, the \"Preferred Stock\").\n\nNote to Row 13: Based on 3,017,306 shares of Common Stock to be outstanding as of July 23, 2026 following the conversion of certain convertible securities of the Company, as disclosed in the Company's Supplement dated July 17, 2026, to its Proxy Statement dated June 2, 2026." }, { "accession_no": "0001104659-26-086266", "person_seq": 1, "reporting_person_cik": 1297567, "reporting_person_name": "CK Life Sciences Int'l., (Holdings) Inc.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 300040.0, "shared_voting_power": 0.0, "sole_dispositive_power": 300040.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 300040.0, "percent_of_class": 9.9, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7, 9, and 11: The reported amount consists of 300,040 shares of Common Stock, held directly by DEFJ, LLC. The reported amount excludes (i) 11,813,859 shares of Common Stock issuable upon conversion of 1,181.3859 shares of Series A Preferred Stock, and (ii) 2,020,582 shares of Common Stock issuable upon conversion of 202.0582 shares of Series B Preferred Stock.\n\nNote to Row 13: Based on 3,017,306 shares of Common Stock to be outstanding as of July 23, 2026 following the conversion of certain convertible securities of the Company, as disclosed in the Company's Supplement dated July 17, 2026, to its Proxy Statement dated June 2, 2026." }, { "accession_no": "0001104659-26-086334", "person_seq": 0, "reporting_person_cik": 1480561, "reporting_person_name": "UAW Retiree Medical Benefits Trust", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 632140.12, "sole_dispositive_power": 0.0, "shared_dispositive_power": 632140.12, "aggregate_amount_owned": 632140.12, "percent_of_class": 99.0, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-086334", "person_seq": 1, "reporting_person_cik": 1795057, "reporting_person_name": "UAW Chrysler Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 123267.32, "sole_dispositive_power": 0.0, "shared_dispositive_power": 123267.32, "aggregate_amount_owned": 123267.32, "percent_of_class": 19.3, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-086334", "person_seq": 2, "reporting_person_cik": 1795052, "reporting_person_name": "UAW Ford Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 192170.6, "sole_dispositive_power": 0.0, "shared_dispositive_power": 192170.6, "aggregate_amount_owned": 192170.6, "percent_of_class": 30.1, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-086334", "person_seq": 3, "reporting_person_cik": 1795050, "reporting_person_name": "UAW GM Retirees Medical Benefits Plan", "fund_type": "WC", "citizenship_or_org": "XX", "sole_voting_power": 0.0, "shared_voting_power": 316702.2, "sole_dispositive_power": 0.0, "shared_dispositive_power": 316702.2, "aggregate_amount_owned": 316702.2, "percent_of_class": 49.6, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001104659-26-086334", "person_seq": 4, "reporting_person_cik": 1794997, "reporting_person_name": "Hershel Harper", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 632140.12, "sole_dispositive_power": 0.0, "shared_dispositive_power": 632140.12, "aggregate_amount_owned": 632140.12, "percent_of_class": 99.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-086394", "person_seq": 0, "reporting_person_cik": 1001085, "reporting_person_name": "BROOKFIELD CORPORATION", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 320608493.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 320608493.0, "aggregate_amount_owned": 320608493.0, "percent_of_class": 47.1, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount includes 60,703,416 limited partnership units (\"L.P. Units\") of Brookfield Renewable Partners L.P. (the \"Issuer\" or \"BEP\") and 189,508,685 redeemable/exchangeable partnership units of Brookfield Renewable Energy L.P. (\"BRELP\") held by Brookfield Renewable Power Inc. (\"BRPI\"), a wholly-owned subsidiary of Brookfield Corporation (\"Brookfield\"), 4,979,254 redeemable/exchangeable partnership units of BRELP held by Brookfield Energy Marketing L.P. (\"BEMLP\"), a wholly-owned subsidiary of Brookfield, 441,363 L.P. Units held by Brookfield, 8,046,000 L.P. Units held by Brookfield Corporate Holdings III L.P. (\"BCHIIILP\"), a wholly-owned subsidiary of Brookfield, 6,967,670 L.P. Units held by BEP Holdings L.P., a wholly-owned subsidiary of Brookfield, and 5,148,270 L.P. Units owned by subsidiaries of Brookfield Wealth Solutions Ltd., a paired entity to Brookfield (\"BNT\"), that are subject to the terms of the Voting Agreement as previously described in Amendment No. 7 to Schedule 13D.\n\nThis amount also includes class A.2 exchangeable non-voting shares of Brookfield Renewable Holdings Corporation (\"Class A.2 Shares\") held as follows: 2,758,183 Class A.2 Shares held by BRPI, 100,000 Class A.2 Shares held by Brookfield Investments Corporation (\"BIC\"), 28,761,500 Class A.2 Shares held by BIC Holdings LP, a subsidiary of BIC, 100,000 Class A.2 Shares held by Brookfield Corporate Holdings Ltd. and 3,000,000 Class A.2 Shares held by BRPI Holding Inc. (\"BRPIH\"), each of which is a subsidiary of Brookfield. This amount also includes 10,094,152 class A exchangeable subordinate voting shares (\"BEPC Shares\") of Brookfield Renewable Corporation (\"BEPC\") held by subsidiaries of BNT that are subject to the terms of the Voting Agreement as previously described in Amendment No. 7 to Schedule 13D.\n\nIn reference to Row 13 above, as of July 21, 2026, there were approximately 300,111,626 L.P. Units outstanding. Percentage assumes that all of the outstanding 194,487,939 redeemable/exchangeable partnership units of BRELP, all of the outstanding 150,879,577 BEPC Shares, and all of the outstanding 34,719,683 Class A.2 Shares are exchanged for L.P. Units (on a one-for-one basis). Assuming that only the redeemable/exchangeable partnership units of BRELP, BEPC Shares and Class A.2 Shares beneficially owned by Brookfield and BNT, as applicable, are exchanged for L.P. Units (on a one-for-one basis), the percentage would be 59.4%." }, { "accession_no": "0001104659-26-086394", "person_seq": 1, "reporting_person_cik": 1861643, "reporting_person_name": "BAM PARTNERS TRUST", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 320608493.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 320608493.0, "aggregate_amount_owned": 320608493.0, "percent_of_class": 47.1, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount includes L.P. Units, redeemable/exchangeable partnership units of BRELP, BEPC Shares and Class A.2 Shares beneficially owned by Brookfield and BNT.\n\nIn reference to Row 13 above, as of July 21, 2026, there were approximately 300,111,626 L.P. Units outstanding. Percentage assumes that all of the outstanding 194,487,939 redeemable/exchangeable partnership units of BRELP, all of the outstanding 150,879,577 BEPC Shares, and all of the outstanding 34,719,683 Class A.2 Shares are exchanged for L.P. Units (on a one-for-one basis). Assuming that only the redeemable/exchangeable partnership units of BRELP, BEPC Shares and Class A.2 Shares beneficially owned by Brookfield and BNT, as applicable, are exchanged for L.P. Units (on a one-for-one basis), the percentage would be 59.4%." }, { "accession_no": "0001104659-26-086394", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BROOKFIELD RENEWABLE POWER INC.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 260949538.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 260949538.0, "aggregate_amount_owned": 260949538.0, "percent_of_class": 38.4, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount includes 60,703,416 L.P. Units and 189,508,685 redeemable/exchangeable partnership units of BRELP held by BRPI. This amount also includes 2,758,183 Class A.2 Shares held by BRPI, 4,979,254 redeemable/exchangeable partnership units of BRELP held by BEMLP and 3,000,000 Class A.2 Shares held by BRPIH.\n\nIn reference to Row 13 above, as of July 21, 2026, there were approximately 300,111,626 L.P. Units outstanding. Percentage assumes that all of the outstanding 194,487,939 redeemable/exchangeable partnership units of BRELP, all of the outstanding 150,879,577 BEPC Shares, and all of the outstanding 34,719,683 Class A.2 Shares are exchanged for L.P. Units (on a one-for-one basis). Assuming that only the redeemable/exchangeable partnership units of BRELP and the Class A.2 Shares beneficially owned by BRPI, BRPIH and BEMLP are exchanged for L.P. Units (on a one-for-one basis), the percentage would be 52.2%." }, { "accession_no": "0001104659-26-086394", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "BROOKFIELD INVESTMENTS CORPORATION", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 28861500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28861500.0, "aggregate_amount_owned": 28861500.0, "percent_of_class": 4.2, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount includes 28,761,500 Class A.2 Shares held by BIC Holdings LP and 100,000 Class A.2 Shares held by BIC.\n\nIn reference to Row 13 above, as of July 21, 2026, there were approximately 300,111,626 L.P. Units outstanding. Percentage assumes that all of the outstanding 194,487,939 redeemable/exchangeable partnership units of BRELP, all of the outstanding 150,879,577 BEPC Shares, and all of the outstanding 34,719,683 Class A.2 Shares are exchanged for L.P. Units (on a one-for-one basis). Assuming that only the Class A.2 Shares beneficially owned by BIC are exchanged for L.P. Units (on a one-for-one basis), the percentage would be 8.8%." }, { "accession_no": "0001104659-26-086395", "person_seq": 0, "reporting_person_cik": 1001085, "reporting_person_name": "BROOKFIELD CORPORATION", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 44813835.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 44813835.0, "aggregate_amount_owned": 44813835.0, "percent_of_class": 24.1, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, Brookfield Corporation (\"Brookfield\") beneficially owns (i) class A.2 exchangeable non-voting shares of Brookfield Renewable Holdings Corporation (\"Class A.2 Shares\") held as follows and that are subject to the Ownership Cap (as previously described in Item 4 of Amendment No. 7 to Schedule 13D): 2,758,183 Class A.2 Shares held by Brookfield Renewable Power Inc. (\"BRPI\"), 3,000,000 Class A.2 Shares held by BRPI Holding Inc. (\"BRPIH\"), 100,000 Class A.2 Shares held by Brookfield Investments Corporation (\"BIC\"), 28,761,500 Class A.2 Shares held by BIC Holdings LP, a subsidiary of BIC, and 100,000 Class A.2 Shares held by Brookfield Corporate Holdings Ltd., each of which is a subsidiary of Brookfield, and (ii) 10,094,152 class A exchangeable subordinate voting shares (the \"BEPC Shares\") of Brookfield Renewable Corporation (the \"Issuer\" or \"BEPC\") held by subsidiaries of Brookfield Wealth Solutions Ltd., a paired entity to Brookfield (\"BNT\"), that are subject to the terms of the Voting Agreement (as previously described in Item 6 of Amendment No. 7 to Schedule 13D).\n\nAs of the date of this Amendment No. 8 to Schedule 13D, the total number of Class A.2 Shares that may be exchanged into BEPC Shares due to the Ownership Cap is 15,838,188.\n\nIn reference to Row 13 above, the percentage ownership is based on an aggregate number of outstanding BEPC Shares of 150,879,577 as of July 21, 2026. Percentage ownership would be 15.6% assuming only 15,838,188 Class A.2 Shares are exchanged into 15,838,188 BEPC Shares due to the Ownership Cap and the Voting Agreement.\n\nBrookfield Renewable Partners L.P. and its affiliates beneficially own all of the issued and outstanding class B multiple voting shares of the Issuer (\"Class B Shares\"), which represent a 75% voting interest in the Issuer." }, { "accession_no": "0001104659-26-086395", "person_seq": 1, "reporting_person_cik": 1861643, "reporting_person_name": "BAM PARTNERS TRUST", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 44813835.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 44813835.0, "aggregate_amount_owned": 44813835.0, "percent_of_class": 24.1, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount includes (i) BEPC Shares that may be issued to Brookfield upon exchange of Class A.2 Shares without giving effect to the Ownership Cap and (ii) BEPC Shares held by subsidiaries of BNT.\n\nIn reference to Row 13 above, the percentage ownership is based on an aggregate number of outstanding BEPC Shares of 150,879,577 as of July 21, 2026." }, { "accession_no": "0001104659-26-086395", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BROOKFIELD RENEWABLE POWER INC.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 5758183.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5758183.0, "aggregate_amount_owned": 5758183.0, "percent_of_class": 3.7, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount represents BEPC Shares that may be issued to BRPI and its subsidiary, BRPIH, upon exchange of Class A.2 Shares.\n\nIn reference to Row 13 above, the percentage ownership is based on an aggregate number of outstanding BEPC Shares of 150,879,577 as of July 21, 2026." }, { "accession_no": "0001104659-26-086395", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "BROOKFIELD INVESTMENTS CORPORATION", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 28861500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28861500.0, "aggregate_amount_owned": 28861500.0, "percent_of_class": 16.1, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount represents BEPC Shares that may be issued to BIC and BIC Holdings LP upon exchange of Class A.2 Shares.\n\nIn reference to Row 13 above, the percentage ownership is based on an aggregate number of outstanding BEPC Shares of 150,879,577 as of July 21, 2026." }, { "accession_no": "0001104659-26-086395", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "BROOKFIELD RENEWABLE PARTNERS LIMITED", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-086395", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "BROOKFIELD RENEWABLE PARTNERS L.P.", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Brookfield Renewable Partners L.P. and its affiliates beneficially own all of the issued and outstanding Class B Shares, which represent a 75% voting interest in the Issuer." }, { "accession_no": "0001104659-26-086411", "person_seq": 0, "reporting_person_cik": 1001085, "reporting_person_name": "BROOKFIELD CORPORATION", "fund_type": "AF", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 207999242.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 207999242.0, "aggregate_amount_owned": 207999242.0, "percent_of_class": 31.5, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount includes 1,399,230 limited partnership units (\"Units\") of Brookfield Infrastructure Partners L.P. (\"BIP\" or the \"Issuer\") held by subsidiaries of Brookfield Corporation (\"Brookfield\") and 3,287,267 Units held by subsidiaries of Brookfield Wealth Solutions Ltd., a paired entity to Brookfield (\"BNT\"). This amount also includes 150,395,486 redeemable partnership units of Brookfield Infrastructure L.P. (\"RPUs\") held by BIP REU Holdings (2015) L.P., a wholly-owned subsidiary of Brookfield, 23,343,155 RPUs held by BIP REU Holdings (2016) L.P., a wholly-owned subsidiary of Brookfield, 9,192,061 RPUs held by BIP REU Holdings (2019) L.P., a wholly-owned subsidiary of Brookfield, and 7,369,254 RPUs held by BILP Holdings ULC, a wholly-owned subsidiary of Brookfield.\n\nThis amount further includes 1,500,000 class A.2 exchangeable non-voting shares of Brookfield Infrastructure Holdings Corporation (\"Class A.2 Shares\") held by Brookfield and 11,512,789 Class A.2 Shares held by BIPC Holding LP, a wholly-owned subsidiary of Brookfield.\n\nIn reference to Row 13 above, as of July 21, 2026, there were approximately 457,709,338 Units outstanding. Percentage assumes the exchange of the 190,299,956 RPUs and 13,012,789 Class A.2 Shares beneficially owned by Brookfield as of July 21, 2026." }, { "accession_no": "0001104659-26-086411", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "BAM PARTNERS TRUST", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 207999242.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 207999242.0, "aggregate_amount_owned": 207999242.0, "percent_of_class": 31.5, "type_of_reporting_person": "OO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount includes the Units, RPUs and Class A.2 Shares beneficially owned by Brookfield.\n\nIn reference to Row 13 above, as of July 21, 2026, there were approximately 457,709,338 Units outstanding. Percentage assumes the exchange of the 190,299,956 RPUs and 13,012,789 Class A.2 Shares beneficially owned by Brookfield as of July 21, 2026." }, { "accession_no": "0001104659-26-086412", "person_seq": 0, "reporting_person_cik": 1001085, "reporting_person_name": "BROOKFIELD CORPORATION", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 1500000.0, "shared_voting_power": 11512789.0, "sole_dispositive_power": 1500000.0, "shared_dispositive_power": 11512789.0, "aggregate_amount_owned": 13012789.0, "percent_of_class": 9.6, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8 and 10 above, this amount represents class A.2 exchangeable non-voting shares of Brookfield Infrastructure Holdings Corporation (\"Class A.2 Shares\") held by BIPC Holding LP and beneficially owned by BIPC GP Holdings Inc., the general partner of BIPC Holding LP, and Brookfield Corporation (\"Brookfield\"). In aggregate, Brookfield beneficially owns 13,012,789 Class A.2 Shares, which are subject to the Ownership Cap (as previously described in Item 4 of Amendment No. 5 to Schedule 13D). As of July 21, 2026, the total number of Class A.2 Shares that may be exchanged into class A exchangeable subordinate voting shares (the \"BIPC Shares\") of Brookfield Infrastructure Corporation (the \"Issuer\" or \"BIPC\") due to the Ownership Cap is 12,912,552.\n\nIn reference to Row 13 above, the percentage ownership is based on an aggregate of 123,009,048 BIPC Shares outstanding as of July 21, 2026. Percentage ownership would be 9.5% assuming only 12,912,552 Class A.2 Shares are exchanged into 12,912,552 BIPC Shares due to the Ownership Cap.\n\nBrookfield Infrastructure Partners L.P. (\"BIP\") beneficially owns all of the issued and outstanding class B multiple voting shares of the Issuer (the \"Class B Shares\"), which represent a 75.0% voting interest in the Issuer." }, { "accession_no": "0001104659-26-086412", "person_seq": 1, "reporting_person_cik": 1861643, "reporting_person_name": "BAM PARTNERS TRUST", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 13012789.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13012789.0, "aggregate_amount_owned": 13012789.0, "percent_of_class": 9.6, "type_of_reporting_person": "OO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount represents BIPC Shares that may be issued to Brookfield upon exchange of Class A.2 Shares without giving effect to the Ownership Cap.\n\nIn reference to Row 13 above, the percentage ownership is based on an aggregate of 123,009,048 BIPC Shares outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-086412", "person_seq": 2, "reporting_person_cik": 1996787, "reporting_person_name": "BIPC HOLDING LP", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 11512789.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11512789.0, "aggregate_amount_owned": 11512789.0, "percent_of_class": 8.6, "type_of_reporting_person": "PN", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount represents BIPC Shares that may be issued to BIPC Holding LP upon exchange of Class A.2 Shares.\n\nIn reference to Row 13 above, the percentage ownership is based on an aggregate of 123,009,048 BIPC Shares outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-086412", "person_seq": 3, "reporting_person_cik": 1996785, "reporting_person_name": "BIPC GP HOLDINGS INC.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 11512789.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11512789.0, "aggregate_amount_owned": 11512789.0, "percent_of_class": 8.6, "type_of_reporting_person": "CO", "comment_content": "In reference to Rows 8, 10 and 11 above, this amount represents BIPC Shares that may be issued to BIPC Holding LP, for which BIPC GP Holdings Inc. serves as general partner, upon exchange of Class A.2 Shares.\n\nIn reference to Row 13 above, the percentage ownership is based on an aggregate of 123,009,048 BIPC Shares outstanding as of July 21, 2026." }, { "accession_no": "0001104659-26-086412", "person_seq": 4, "reporting_person_cik": 1406234, "reporting_person_name": "BROOKFIELD INFRASTRUCTURE PARTNERS L.P.", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "BIP beneficially owns all of the issued and outstanding Class B Shares, which represent a 75.0% voting interest in the Issuer. Percentage ownership reflects deemed shared beneficial ownership with Brookfield Infrastructure Partners Limited, which serves as the general partner of BIP." }, { "accession_no": "0001104659-26-086412", "person_seq": 5, "reporting_person_cik": 1996567, "reporting_person_name": "BROOKFIELD INFRASTRUCTURE PARTNERS LIMITED", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "Reflects beneficial ownership of the Class B Shares held by BIP." }, { "accession_no": "0001104659-26-086437", "person_seq": 0, "reporting_person_cik": 1764895, "reporting_person_name": "Glory Achievement Fund Limited", "fund_type": "PF", "citizenship_or_org": "E9", "sole_voting_power": 65693947.0, "shared_voting_power": 0.0, "sole_dispositive_power": 65693947.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 65693947.0, "percent_of_class": 41.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-086437", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bull Group Limited", "fund_type": "PF", "citizenship_or_org": "E9", "sole_voting_power": 65693947.0, "shared_voting_power": 0.0, "sole_dispositive_power": 65693947.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 65693947.0, "percent_of_class": 41.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-086437", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BULL TRUST", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 65693947.0, "shared_voting_power": 0.0, "sole_dispositive_power": 65693947.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 65693947.0, "percent_of_class": 41.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-086728", "person_seq": 0, "reporting_person_cik": 1425738, "reporting_person_name": "Redmile Group, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 950994.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 950994.0, "aggregate_amount_owned": 950994.0, "percent_of_class": 9.9, "type_of_reporting_person": "IA", "comment_content": "(1) The source of funds was working capital of certain private investment funds managed by Redmile Group, LLC (the \"Redmile Funds\"), including Redmile Biopharma Investments II, L.P. (\"RBI II\") and Redmile Strategic Long Only Trading Sub, Ltd. (\"Redmile Long Only\").\n\n(2) The information in Item 5(a) relating to the shares of common stock, par value $0.0001 per share, of the Issuer (the \"Common Stock\") that are or may be deemed beneficially owned by Redmile Group, LLC (\"Redmile\") and the calculation of the percent of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-086728", "person_seq": 1, "reporting_person_cik": 1650527, "reporting_person_name": "Green Jeremy", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 950994.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 950994.0, "aggregate_amount_owned": 950994.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": "(1) The source of funds was working capital of the Redmile Funds, including RBI II and Redmile Long Only.\n\n(2) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by Jeremy Green and the calculation of the percent of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-086728", "person_seq": 2, "reporting_person_cik": 1772230, "reporting_person_name": "Redmile Biopharma Investments II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 631020.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 631020.0, "aggregate_amount_owned": 631020.0, "percent_of_class": 6.6, "type_of_reporting_person": "PN", "comment_content": "(1) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by RBI II and the calculation of the percent of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-086728", "person_seq": 3, "reporting_person_cik": 2048243, "reporting_person_name": "Redmile Strategic Long Only Trading Sub, Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 401901.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 401901.0, "aggregate_amount_owned": 401901.0, "percent_of_class": 4.2, "type_of_reporting_person": "CO", "comment_content": "(1) The information in Item 5(a) relating to the shares of Common Stock that are or may be deemed beneficially owned by Redmile Long Only and the calculation of the percent of such class of securities is incorporated by reference herein." }, { "accession_no": "0001104659-26-086735", "person_seq": 0, "reporting_person_cik": 1294704, "reporting_person_name": "D. E. Shaw Valence Portfolios, L.L.C.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32642631.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32642631.0, "aggregate_amount_owned": 32642631.0, "percent_of_class": 6.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-086735", "person_seq": 1, "reporting_person_cik": 1277502, "reporting_person_name": "D. E. Shaw & Co., L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 34348958.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34348958.0, "aggregate_amount_owned": 34348958.0, "percent_of_class": 7.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-086735", "person_seq": 2, "reporting_person_cik": 1009268, "reporting_person_name": "D. E. Shaw & Co., L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 34609565.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34609565.0, "aggregate_amount_owned": 34609565.0, "percent_of_class": 7.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001104659-26-086735", "person_seq": 3, "reporting_person_cik": 1023870, "reporting_person_name": "David E. Shaw", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 34609565.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34609565.0, "aggregate_amount_owned": 34609565.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087077", "person_seq": 0, "reporting_person_cik": 1788316, "reporting_person_name": "Loewenbaum Lilian S.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 186289.0, "shared_voting_power": 0.0, "sole_dispositive_power": 186289.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 186289.0, "percent_of_class": 1.0, "type_of_reporting_person": "IN", "comment_content": "See Item 11: Consists of (a) 25,000 shares of the Issuer's ordinary shares underlying American Depository Shares (\"ADSs\") held in the Lillian Shaw Loewenbaum Trust, and (b) 161,289 shares of the Issuer's ordinary shares underlying ADSs held by the Reporting Person directly." }, { "accession_no": "0001104659-26-087077", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "George Walter Loewenbaum", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1271056.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1271056.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1271056.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": "See Item 11: Consists of (a) 65,000 shares of the Issuer's ordinary shares underlying ADSs held by the Walter Loewenbaum Trust, (b) 235,917 ordinary shares underlying ADSs held by the Reporting Person directly, and (c) 970,139 ordinary shares underlying ADSs held by the Reporting Person in an IRA." }, { "accession_no": "0001104659-26-087077", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Elizabeth S. Loewenbaum", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 20688.0, "shared_voting_power": 0.0, "sole_dispositive_power": 20688.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 20688.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087077", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "The Loewenbaum 1992 Trust", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 1934706.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1934706.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1934706.0, "percent_of_class": 10.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-087077", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "The Waterproof Partnership, Ltd.", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 35500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 35500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 35500.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-087077", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "The Loewenbaum Residence Trust FBO Anna Loewenbaum", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 15000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15000.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-087077", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "The Elizabeth Scott Loewenbaum 1992 Trust", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 15000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15000.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-087077", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Patrick Chalmers", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5100.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5100.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087077", "person_seq": 8, "reporting_person_cik": 1788390, "reporting_person_name": "Reginald J. Hargrove", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 6100.0, "shared_voting_power": 234688.0, "sole_dispositive_power": 6100.0, "shared_dispositive_power": 234688.0, "aggregate_amount_owned": 240788.0, "percent_of_class": 1.3, "type_of_reporting_person": "IN", "comment_content": "See Item 11: Consists of (a) 20,688 shares of the Issuer's ADSs held by spouse, and (b) 214,000 held by trusts over which the reporting person is a trustee with shared voting and dispositive power." }, { "accession_no": "0001104659-26-087077", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Nachum Shamir", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 29298.0, "shared_voting_power": 0.0, "sole_dispositive_power": 29298.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 29298.0, "percent_of_class": 0.2, "type_of_reporting_person": "IN", "comment_content": "Dual citizen of United States and Israel" }, { "accession_no": "0001104659-26-087098", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "DEFJ, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 14134481.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14134481.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14134481.0, "percent_of_class": 83.9, "type_of_reporting_person": "OO", "comment_content": "Note to Row 7, 9, and 11: The reported amount consists of 300,040 shares of common stock, $0.0001 par value per share (\"Common Stock\") of TransCode Therapeutics, Inc. (the \"Company\"), held directly by DEFJ, LLC, 11,813,859 shares of Common Stock issuable upon conversion of 1,181.3859 shares of Series A Non-Voting Convertible Preferred Stock, par value $0.0001 per share (\"Series A Preferred Stock\") held directly by DEFJ, and 2,020,582 shares of Common Stock issuable upon conversion of 202.0582 shares of Series B Non-Voting Convertible Preferred Stock, par value $0.0001 per share (\"Series B Preferred Stock\" and, together with the Series A Preferred Stock, the \"Preferred Stock\") held directly by DEFJ.\n\nNote to Row 13: Based on 3,017,306 shares of Common Stock outstanding as of July 23, 2026 following the conversion of certain convertible securities of the Company, as disclosed in the Company's Supplement dated July 17, 2026, to its Proxy Statement dated June 2, 2026, and also taking into account the shares of Common Stock underlying the Series A Preferred Stock and Series B Preferred Stock held by the Reporting Persons." }, { "accession_no": "0001104659-26-087098", "person_seq": 1, "reporting_person_cik": 1297567, "reporting_person_name": "CK Life Sciences Int'l., (Holdings) Inc.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 14134481.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14134481.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14134481.0, "percent_of_class": 83.9, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7, 9, and 11: The reported amount consists of 300,040 shares of Common Stock, held directly by DEFJ, LLC,11,813,859 shares of Common Stock issuable upon conversion of 1,181.3859 shares of Series A Preferred Stock held directly by DEFJ, and 2,020,582 shares of Common Stock issuable upon conversion of 202.0582 shares of Series B Preferred Stock held directly by DEFJ.\n\nNote to Row 13: Based on 3,017,306 shares of Common Stock outstanding as of July 23, 2026 following the conversion of certain convertible securities of the Company, as disclosed in the Company's Supplement dated July 17, 2026, to its Proxy Statement dated June 2, 2026, and also taking into account the shares of Common Stock underlying the Series A Preferred Stock and Series B Preferred Stock held by the Reporting Persons." }, { "accession_no": "0001104659-26-087976", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Gale Hoese", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 700000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 700000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087976", "person_seq": 1, "reporting_person_cik": 2128672, "reporting_person_name": "Andrew Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 21048.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21048.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087976", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Jill Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 13952.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13952.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087976", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "David Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 84573.49, "shared_voting_power": 270.0, "sole_dispositive_power": 84573.49, "shared_dispositive_power": 270.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087976", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Denise Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1305.0, "shared_voting_power": 270.0, "sole_dispositive_power": 1305.0, "shared_dispositive_power": 270.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087976", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Jonathan Hoese", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 40000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 40000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087976", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Tamara Retka", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8312.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8312.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087976", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Noah Retka", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-087976", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Joseph Schornack", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 3512.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3512.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 878472.49, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-088126", "person_seq": 0, "reporting_person_cik": 1633120, "reporting_person_name": "Van Herk Investments B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 15384250.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15384250.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of ProQR Therapeutics N.V. (the \"Issuer\") expected to be issued and outstanding as of June 26, 2026, as described in the Issuer's Prospectus Supplement dated June 25, 2026 and filed with the SEC pursuant to Rule 424(b)(5) on June 26, 2026 (the \"Prospectus Supplement\") (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088126", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Van Herk Investments THI B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088126", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Van Herk Private Equity Investments B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088126", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Stichting Administratiekantoor Penulata", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "OO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088126", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Van Herk Management Services B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088126", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Onroerend Goed Beheer- en Beleggingsmaatschappij A. van Herk B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088126", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "A. van Herk Holding B.V.", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "CO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088126", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Stichting Administratiekantoor Abchrys", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "OO", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088126", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Adrianus van Herk", "fund_type": "BK", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 15384250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15384250.0, "aggregate_amount_owned": 15384250.0, "percent_of_class": 10.9, "type_of_reporting_person": "IN", "comment_content": "* Based on 141,119,032 ordinary shares, nominal value Euro 0.04 per share, of the Issuer expected to be issued and outstanding as of June 26, 2026, as described in the Prospectus Supplement (after giving effect to the issuances of shares contemplated therein, which the Prospectus Supplement stated were expected to be completed on June 26, 2026)." }, { "accession_no": "0001104659-26-088640", "person_seq": 0, "reporting_person_cik": 1972703, "reporting_person_name": "PGIM Strategic Investments, Inc.", "fund_type": "OO", "citizenship_or_org": "NJ", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "This Schedule 13D relates to the following classes of securities: Class I common shares of beneficial interest, par value $0.001 per share (the \"Class I Common Shares\") with CUSIP No. 71710E309, Class D common shares of beneficial interest, par value $0.001 per share (the \"Class D Common Shares\") with CUSIP 71710E200 and the Class S common shares of beneficial interest, par value $0.001 per share (the \"Class S Common Shares\") with CUSIP 71710E101 of PGIM Private Credit Fund, a Delaware statutory trust (the \"Issuer\"). PGIM Strategic Investments, Inc. has shared voting power and dispositive power with respect to 0 Class I Common Shares, 563.697 Class D Common Shares and 553.400 Class S Common Shares. The aggregate amount beneficially owned by PGIM Strategic Investments, Inc. is 0 Class I Common Shares, 563.697 Class D Common Shares, and 553.400 Class S Common Shares representing 0 percent of Class I Common Shares, 83.7 percent of Class D Common Shares and 0.01 percent of Class S Common Shares. Cover pages are limited to one class of security. The cover pages of this Schedule 13D filing relate to the Class I Common Shares, and this comment shall serve as full disclosure of the beneficial ownership of all classes of securities of the Issuer." }, { "accession_no": "0001104659-26-088640", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "The Prudential Insurance Company of America", "fund_type": "OO", "citizenship_or_org": "NJ", "sole_voting_power": 0.0, "shared_voting_power": 7973656.68, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7973656.68, "aggregate_amount_owned": 7973656.68, "percent_of_class": 65.6, "type_of_reporting_person": "CO", "comment_content": "This Schedule 13D relates to the following classes of securities: Class I common shares of beneficial interest, par value $0.001 per share (the \"Class I Common Shares\") with CUSIP No. 71710E309 and Class D common shares of beneficial interest, par value $0.001 per share (the \"Class D Common Shares\") with CUSIP 71710E200 of PGIM Private Credit Fund, a Delaware statutory trust (the \"Issuer\"). The Prudential Insurance Company of America has shared voting power and dispositive power with respect to 7,973,656.68 Class I Common Shares and 0 Class D Common Shares representing 65.6 percent of Class I Common Shares and 0 percent of Class D Common Shares. The cover pages of this Schedule 13D filing relate to the Class I Common Shares, and this comment shall serve as full disclosure of the beneficial ownership of all classes of securities of the Issuer." }, { "accession_no": "0001104659-26-088640", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Pruco Life Insurance Company", "fund_type": "OO", "citizenship_or_org": "AZ", "sole_voting_power": 0.0, "shared_voting_power": 7973656.68, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7973656.68, "aggregate_amount_owned": 7973656.68, "percent_of_class": 65.6, "type_of_reporting_person": "CO", "comment_content": "This Schedule 13D relates to the following classes of securities: Class I common shares of beneficial interest, par value $0.001 per share (the \"Class I Common Shares\") with CUSIP No. 71710E309 and Class D common shares of beneficial interest, par value $0.001 per share (the \"Class D Common Shares\") with CUSIP 71710E200 of PGIM Private Credit Fund, a Delaware statutory trust (the \"Issuer\"). Pruco Life Insurance Company has shared voting power and dispositive power with respect to 7,973,656.68 Class I Common Shares and 0 Class D Common Shares representing 65.6 percent of Class I Common Shares and 0 percent of Class D Common Shares. Cover pages are limited to one class of security. The cover pages of this Schedule 13D filing relate to the Class I Common Shares, and this comment shall serve as full disclosure of the beneficial ownership of all classes of securities of the Issuer." }, { "accession_no": "0001104659-26-088640", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Prudential Financial, Inc.", "fund_type": "OO", "citizenship_or_org": "NJ", "sole_voting_power": 0.0, "shared_voting_power": 7973656.68, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7973656.68, "aggregate_amount_owned": 7973656.68, "percent_of_class": 65.6, "type_of_reporting_person": "CO", "comment_content": "This Schedule 13D relates to the following classes of securities: Class I common shares of beneficial interest, par value $0.001 per share (the \"Class I Common Shares\") with CUSIP No. 71710E309, Class D common shares of beneficial interest, par value $0.001 per share (the \"Class D Common Shares\") with CUSIP 71710E200 and the Class S common shares of beneficial interest, par value $0.001 per share (the \"Class S Common Shares\") with CUSIP 71710E101 of PGIM Private Credit Fund, a Delaware statutory trust (the \"Issuer\"). Prudential Financial, Inc. has shared voting power and dispositive power with respect to 7,973,656.68 Class I Common Shares, 563.697 Class D Common Shares and 553.400 Class S Common Shares. The aggregate amount beneficially owned by Prudential Financial, Inc. is 7,973,656.68 Class I Common Shares, 563.697 Class D Common Shares, and 553.400 Class S Common Shares representing 65.6 percent of Class I Common Shares, 83.7 percent of Class D Common Shares and 0.01 percent of Class S Common Shares. Cover pages are limited to one class of security. The cover pages of this Schedule 13D filing relate to the Class I Common Shares, and this comment shall serve as full disclosure of the beneficial ownership of all classes of securities of the Issuer." }, { "accession_no": "0001104659-26-088829", "person_seq": 0, "reporting_person_cik": 2025889, "reporting_person_name": "Tether Global Investments Fund, S.I.C.A.F., S.A.", "fund_type": "OO", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 33300000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33300000.0, "aggregate_amount_owned": 33300000.0, "percent_of_class": 14.4, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 33,300,000 common shares, no par value (\"Common Shares\") of Gold Royalty Corp. held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A.\n\nNote in relation to Item 13: This percentage is calculated based upon 230,809,201 Common Shares outstanding on June 2, 2026, as reported in the Issuer's Registration Statement on Form F-3 filed with the Securities and Exchange Commission on June 3, 2026." }, { "accession_no": "0001104659-26-088829", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tether International, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "H3", "sole_voting_power": 0.0, "shared_voting_power": 33300000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33300000.0, "aggregate_amount_owned": 33300000.0, "percent_of_class": 14.4, "type_of_reporting_person": "CO", "comment_content": "Note in relation to Item 13: This percentage is calculated based upon 230,809,201 Common Shares outstanding on June 2, 2026, as reported in the Issuer's Registration Statement on Form F-3 filed with the Securities and Exchange Commission on June 3, 2026." }, { "accession_no": "0001104659-26-088829", "person_seq": 2, "reporting_person_cik": 2050373, "reporting_person_name": "Giancarlo Devasini", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 0.0, "shared_voting_power": 33300000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33300000.0, "aggregate_amount_owned": 33300000.0, "percent_of_class": 14.4, "type_of_reporting_person": "IN", "comment_content": "Note in relation to Items 8, 10 and 11: Includes 33,300,000 Common Shares held by Tether International, S.A. de C.V., a controlled subsidiary of Tether Global Investments Fund, S.I.C.A.F., S.A. Mr. Devasini has a greater than 50% voting interest in Tether Global Investments Fund, S.I.C.A.F., S.A. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest.\n\nNote in relation to Item 13: This percentage is calculated based upon 230,809,201 Common Shares outstanding on June 2, 2026, as reported in the Issuer's Registration Statement on Form F-3 filed with the Securities and Exchange Commission on June 3, 2026." }, { "accession_no": "0001104659-26-089193", "person_seq": 0, "reporting_person_cik": 1788316, "reporting_person_name": "Loewenbaum Lilian S.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 186289.0, "shared_voting_power": 0.0, "sole_dispositive_power": 186289.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 186289.0, "percent_of_class": 0.8, "type_of_reporting_person": "IN", "comment_content": "See Item 11: Consists of (a) 25,000 shares of the Issuer's ordinary shares underlying American Depository Shares (\"ADSs\") held in the Lillian Shaw Loewenbaum Trust, and (b) 161,289 shares of the Issuer's ordinary shares underlying ADSs held by the Reporting Person directly." }, { "accession_no": "0001104659-26-089193", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "George Walter Loewenbaum", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1271056.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1271056.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1271056.0, "percent_of_class": 5.6, "type_of_reporting_person": "IN", "comment_content": "See Item 11: Consists of (a) 65,000 shares of the Issuer's ordinary shares underlying ADSs held by the Walter Loewenbaum Trust, (b) 235,917 ordinary shares underlying ADSs held by the Reporting Person directly, and (c) 970,139 ordinary shares underlying ADSs held by the Reporting Person in an IRA." }, { "accession_no": "0001104659-26-089193", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Elizabeth S. Loewenbaum", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 20688.0, "shared_voting_power": 0.0, "sole_dispositive_power": 20688.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 20688.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-089193", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "The Loewenbaum 1992 Trust", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 5654817.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5654817.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5654817.0, "percent_of_class": 25.0, "type_of_reporting_person": "OO", "comment_content": "See Item 11: Calculated on the basis assuming exercise of the Warrants up to the Beneficial Ownership Limitation." }, { "accession_no": "0001104659-26-089193", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "The Waterproof Partnership, Ltd.", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 35500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 35500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 35500.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-089193", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "The Loewenbaum Residence Trust FBO Anna Loewenbaum", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 15000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15000.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-089193", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "The Elizabeth Scott Loewenbaum 1992 Trust", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 15000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15000.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-089193", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Patrick Chalmers", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5100.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5100.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-089193", "person_seq": 8, "reporting_person_cik": 1788390, "reporting_person_name": "Reginald J. Hargrove", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 6100.0, "shared_voting_power": 234688.0, "sole_dispositive_power": 6100.0, "shared_dispositive_power": 234688.0, "aggregate_amount_owned": 240788.0, "percent_of_class": 1.1, "type_of_reporting_person": "IN", "comment_content": "See Item 11: Consists of (a) 20,688 shares of the Issuer's ADSs held by spouse, and (b) 214,000 held by trusts over which the reporting person is a trustee with shared voting and dispositive power." }, { "accession_no": "0001104659-26-089193", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Nachum Shamir", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 29298.0, "shared_voting_power": 0.0, "sole_dispositive_power": 29298.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 29298.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Dual citizen of United States and Israel" }, { "accession_no": "0001104659-26-089218", "person_seq": 0, "reporting_person_cik": 904548, "reporting_person_name": "Charles W. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 15713454.0, "shared_voting_power": 132967893.0, "sole_dispositive_power": 15713454.0, "shared_dispositive_power": 132967893.0, "aggregate_amount_owned": 148681347.0, "percent_of_class": 50.9, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock, $0.001 par value per share ('Class A Common Stock') and Class B Common Stock, $0.001 par value per share ('Class B Common Stock') of EchoStar Corporation ('EchoStar'). The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power and Sole Dispositive Power totals consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network Corporation ('DISH Network') 401(k) Employee Savings Plan (the 'DISH Network 401(k) Plan'); (iii) 1,512,948 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 1,497,478 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mr. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 29, 2026; and (v) 1,551,355 shares of Class A Common Stock held by CONX Corp. ('CONX') and beneficially owned indirectly by Mr. Ergen through nXgen Opportunities, LLC ('nXgen'), which controls CONX.\n\n(3) Shared Voting Power and Shared Dispositive Power totals consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mr. Ergen's spouse, Cantey M. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 11,921 shares of Class A Common Stock beneficially owned by one of Mr. Ergen's children; (iv) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mr. Ergen is an officer and for which he shares voting and dispositive power with Mrs. Ergen; (v) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, LLC ('Telluray Holdings'), for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; (vi) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year May 2025 SATS GRAT (the \"2025 May GRAT\"); (vii) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2025 SATS GRAT (the \"2025 June GRAT\"); (viii) 6,497,560 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2025 SATS GRAT (the '2025 July GRAT'); (ix) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year June 2026 SATS GRAT (the \"2026 June GRAT\"); and (x) 5,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the Ergen Two-Year July 2026 ECHO GRAT (the \"2026 July GRAT\").\n\n(4) Percent of Class Represented is based on 159,154,243 shares of Class A Common Stock outstanding on July 29, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mr. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 29, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mr. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mr. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 29, 2026). Pursuant to the Amended and Restated Support Agreement dated as of October 2, 2023 (the 'Amended Support Agreement', see Exhibit E), Mr. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mr. Ergen's effective total voting power in such circumstances as of July 29, 2026 is approximately 89.4 percent." }, { "accession_no": "0001104659-26-089218", "person_seq": 1, "reporting_person_cik": 1138538, "reporting_person_name": "Cantey M. Ergen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 132203037.0, "shared_voting_power": 14994340.0, "sole_dispositive_power": 53395058.0, "shared_dispositive_power": 93802319.0, "aggregate_amount_owned": 147197377.0, "percent_of_class": 50.7, "type_of_reporting_person": "IN", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Sole Voting Power shares consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 29, 2026; (iv) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings; (v) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (vi) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (vii) 6,497,560 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; (viii) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT; and (ix) 5,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 July GRAT. Mrs. Ergen exercises voting power with respect to Telluray Holdings and each of the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT, the 2026 June GRAT and the 2026 July GRAT independently and, with respect to the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT, the 2026 June GRAT and the 2026 July GRAT, in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(3) Shared Voting Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 1,512,948 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; and (vi) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(4) Sole Dispositive Power shares consist of: (i) 2,000 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen; (ii) 1,313 shares of Class A Common Stock beneficially owned indirectly by Mrs. Ergen in the DISH Network 401(k) Plan; (iii) 13,508 shares of Class A Common Stock deemed to be beneficially owned under Rule 13d-3(d)(1) because Mrs. Ergen has the right to acquire beneficial ownership of such shares within 60 days after July 29, 2026; (iv) 23,097,210 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 May GRAT; (v) 14,483,467 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2025 June GRAT; (vi) 6,497,560 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the July 2025 GRAT; (vii) 4,300,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 June GRAT; and (viii) 5,000,000 shares of Class B Common Stock owned beneficially by Mrs. Ergen solely by virtue of her position as trustee of the 2026 July GRAT. Mrs. Ergen exercises dispositive power with respect to each of the 2025 May GRAT, the 2025 June GRAT, the 2025 July GRAT, the 2026 June GRAT and the 2026 July GRAT independently and in accordance with her fiduciary responsibilities to the beneficiaries of such trusts.\n\n(5) Shared Dispositive Power shares consist of: (i) 11,140,269 shares of Class A Common Stock beneficially owned directly by Mrs. Ergen's spouse, Mr. Ergen; (ii) 11,404 shares of Class A Common Stock beneficially owned indirectly by Mr. Ergen in the DISH Network 401(k) Plan; (iii) 1,512,948 shares of Class B Common Stock beneficially owned directly by Mr. Ergen; (iv) 11,921 shares of Class A Common Stock beneficially owned by one of Mrs. Ergen's children; (v) 766,443 shares of Class A Common Stock beneficially owned by a charitable foundation for which Mrs. Ergen is an officer and for which she shares voting and dispositive power with Mr. Ergen; (vi) 2,350,696 shares of Class A Common Stock and 76,457,283 shares of Class B Common Stock held by Telluray Holdings, for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings; and (vii) 1,551,355 shares of Class A Common Stock held by CONX and beneficially owned indirectly by Mr. Ergen through nXgen, which controls CONX.\n\n(6) Percent of Class Represented is based on 159,154,243 of Class A Common Stock outstanding on July 29, 2026 and assuming the conversion of only the shares of Class B Common Stock beneficially owned by Mrs. Ergen into Class A Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either currently exercisable as of, or may become exercisable within 60 days after, July 29, 2026. Because each share of Class B Common Stock is entitled to 10 votes per share, Mrs. Ergen may be deemed to beneficially own equity securities of EchoStar representing approximately 90.3 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock and giving effect to the exercise of options held by Mrs. Ergen that are either exercisable as of, or may become exercisable within 60 days after, July 29, 2026). Pursuant to the Amended Support Agreement (see Exhibit E), Mrs. Ergen and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Mrs. Ergen's effective total voting power in such circumstances as of July 29, 2026 is approximately 89.3 percent." }, { "accession_no": "0001104659-26-089218", "person_seq": 2, "reporting_person_cik": 2070254, "reporting_person_name": "Ergen Two-Year May 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 23097210.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23097210.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23097210.0, "percent_of_class": 12.7, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,154,243 shares of Class A Common Stock outstanding on July 29, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 May GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 May GRAT may be deemed to beneficially own would be approximately 8.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 May GRAT beneficially owns equity securities of EchoStar representing approximately 15.7 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-089218", "person_seq": 3, "reporting_person_cik": 2076356, "reporting_person_name": "Ergen Two-Year June 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 14483467.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14483467.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14483467.0, "percent_of_class": 8.3, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,154,243 shares of Class A Common Stock outstanding on July 29, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 June GRAT may be deemed to beneficially own would be approximately 5.0 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 June GRAT beneficially owns equity securities of EchoStar representing approximately 9.8 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-089218", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year July 2025 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 6497560.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6497560.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6497560.0, "percent_of_class": 3.9, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,154,243 shares of Class A Common Stock outstanding on July 29, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2025 July GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2025 July GRAT may be deemed to beneficially own would be approximately 2.2 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2025 July GRAT beneficially owns equity securities of EchoStar representing approximately 4.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-089218", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year June 2026 SATS GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 4300000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4300000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4300000.0, "percent_of_class": 2.6, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,154,243 shares of Class A Common Stock outstanding on July 29, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2026 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2026 June GRAT may be deemed to beneficially own would be approximately 1.5 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2026 June GRAT beneficially owns equity securities of EchoStar representing approximately 2.9 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-089218", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Ergen Two-Year July 2026 ECHO GRAT", "fund_type": "OO", "citizenship_or_org": "CO", "sole_voting_power": 5000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5000000.0, "percent_of_class": 3.1, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time.\n\n(2) Percent of Class Represented is based on 159,154,243 shares of Class A Common Stock outstanding on July 29, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by the 2026 June GRAT into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that the 2026 June GRAT may be deemed to beneficially own would be approximately 1.7 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, the 2026 June GRAT beneficially owns equity securities of EchoStar representing approximately 3.4 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock)." }, { "accession_no": "0001104659-26-089218", "person_seq": 7, "reporting_person_cik": 1747721, "reporting_person_name": "Telluray Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 78807979.0, "shared_voting_power": 0.0, "sole_dispositive_power": 78807979.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 78807979.0, "percent_of_class": 33.5, "type_of_reporting_person": "OO", "comment_content": "(1) All share amounts include shares of Class A Common Stock and Class B Common Stock. The shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time. Totals consist of: (i) 2,350,696 shares of Class A Common Stock; and (ii) 76,457,283 shares of Class B Common Stock, for which Mrs. Ergen has sole voting power as a manager of Telluray Holdings and for which Mr. Ergen and Mrs. Ergen share dispositive power as the managers of Telluray Holdings.\n\n(2) Percent of Class Represented is based on 159,154,243 shares of Class A Common Stock outstanding on July 29, 2026 and assuming conversion of only the shares of Class B Common Stock beneficially owned by Telluray Holdings into Class A Common Stock. Because such Class B Common Stock is convertible on a one-for-one basis into Class A Common Stock, assuming conversion of all shares of outstanding Class B Common Stock into Class A Common Stock, the percentage of the Class A Common Stock that Telluray Holdings may be deemed to beneficially own would be approximately 27.1 percent. Because each share of Class B Common Stock is entitled to 10 votes per share, Telluray Holdings beneficially owns equity securities of EchoStar representing approximately 52.1 percent of the voting power of EchoStar (assuming no conversion of any Class B Common Stock). Pursuant to the Amended Support Agreement dated as of October 2, 2023 (see Exhibit E), Telluray Holdings and certain other Reporting Persons have agreed not to vote, or cause or direct to be voted, the Class A Common Stock beneficially owned by them, other than with respect to any matter presented to the holders of Class A Common Stock on which holders of Class B Common Stock are not entitled to vote, for three years following the closing of the merger between EchoStar and DISH. As a result, Telluray Holdings' effective total voting power in such circumstances as of July 29, 2026 is approximately 51.9 percent." }, { "accession_no": "0001104659-26-089333", "person_seq": 0, "reporting_person_cik": 897485, "reporting_person_name": "Peter R. Kellogg", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 35000.0, "shared_voting_power": 5365010.0, "sole_dispositive_power": 35000.0, "shared_dispositive_power": 5365010.0, "aggregate_amount_owned": 5400010.0, "percent_of_class": 35.5, "type_of_reporting_person": "IN", "comment_content": "I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): N/A" }, { "accession_no": "0001104659-26-089333", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Charles K. Kellogg", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3586664.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3586664.0, "aggregate_amount_owned": 3586664.0, "percent_of_class": 23.6, "type_of_reporting_person": "IN", "comment_content": "I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): N/A" }, { "accession_no": "0001104659-26-089333", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Goose Creek Capital, Inc.", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 3416664.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3416664.0, "aggregate_amount_owned": 3416664.0, "percent_of_class": 22.4, "type_of_reporting_person": "CO", "comment_content": "I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 81-4619377" }, { "accession_no": "0001104659-26-089333", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "IAT Reinsurance Company Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3216664.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3216664.0, "aggregate_amount_owned": 3216664.0, "percent_of_class": 21.1, "type_of_reporting_person": "IC", "comment_content": "I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 98-0121674" }, { "accession_no": "0001104659-26-089333", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "IAT Insurance Group, Inc.", "fund_type": "OO", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 3122488.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3122488.0, "aggregate_amount_owned": 3122488.0, "percent_of_class": 20.5, "type_of_reporting_person": "IC", "comment_content": "I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 56-1171691" }, { "accession_no": "0001104659-26-089333", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Harco National Insurance Company", "fund_type": "OO", "citizenship_or_org": "IL", "sole_voting_power": 0.0, "shared_voting_power": 3122488.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3122488.0, "aggregate_amount_owned": 3122488.0, "percent_of_class": 20.5, "type_of_reporting_person": "IC", "comment_content": "I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 13-6108721" }, { "accession_no": "0001104659-26-089334", "person_seq": 0, "reporting_person_cik": 897485, "reporting_person_name": "Peter R. Kellogg", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 460264.0, "shared_voting_power": 12533196.0, "sole_dispositive_power": 460264.0, "shared_dispositive_power": 12533196.0, "aggregate_amount_owned": 12993460.0, "percent_of_class": 21.46, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-089334", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Charles K. Kellogg", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 11111252.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11111252.0, "aggregate_amount_owned": 11111252.0, "percent_of_class": 18.35, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-089334", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Goose Creek Capital, Inc.", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 11111252.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11111252.0, "aggregate_amount_owned": 11111252.0, "percent_of_class": 18.35, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-089334", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "IAT Reinsurance Company Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 11111252.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11111252.0, "aggregate_amount_owned": 11111252.0, "percent_of_class": 18.35, "type_of_reporting_person": "IC", "comment_content": null }, { "accession_no": "0001104659-26-089334", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "IAT Insurance Group, Inc.", "fund_type": "OO", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 3325000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3325000.0, "aggregate_amount_owned": 3325000.0, "percent_of_class": 5.49, "type_of_reporting_person": "IC", "comment_content": null }, { "accession_no": "0001104659-26-089334", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Harco National Insurance Company", "fund_type": "OO", "citizenship_or_org": "IL", "sole_voting_power": 0.0, "shared_voting_power": 3325000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3325000.0, "aggregate_amount_owned": 3325000.0, "percent_of_class": 5.49, "type_of_reporting_person": "IC", "comment_content": null }, { "accession_no": "0001104659-26-089335", "person_seq": 0, "reporting_person_cik": 897485, "reporting_person_name": "Peter R. Kellogg", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8730672.0, "shared_voting_power": 18220000.0, "sole_dispositive_power": 8730672.0, "shared_dispositive_power": 18220000.0, "aggregate_amount_owned": 26950672.0, "percent_of_class": 40.25, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-089335", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Charles K. Kellogg", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20220000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20220000.0, "aggregate_amount_owned": 20220000.0, "percent_of_class": 30.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001104659-26-089335", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Goose Creek Capital, Inc.", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 18220000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18220000.0, "aggregate_amount_owned": 18220000.0, "percent_of_class": 27.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-089335", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "IAT Reinsurance Company Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 11920000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11920000.0, "aggregate_amount_owned": 11920000.0, "percent_of_class": 17.8, "type_of_reporting_person": "IC", "comment_content": null }, { "accession_no": "0001104659-26-089335", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "IAT Insurance Group, Inc.", "fund_type": "OO", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 6217000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217000.0, "aggregate_amount_owned": 6217000.0, "percent_of_class": 9.28, "type_of_reporting_person": "IC", "comment_content": null }, { "accession_no": "0001104659-26-089335", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Harco National Insurance Company", "fund_type": "OO", "citizenship_or_org": "IL", "sole_voting_power": 0.0, "shared_voting_power": 6217000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217000.0, "aggregate_amount_owned": 6217000.0, "percent_of_class": 9.28, "type_of_reporting_person": "IC", "comment_content": null }, { "accession_no": "0001104659-26-089607", "person_seq": 0, "reporting_person_cik": 1808127, "reporting_person_name": "Oman International Development & Investment Co. SAOG", "fund_type": "OO", "citizenship_or_org": "P4", "sole_voting_power": 9115138.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9115138.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9115138.0, "percent_of_class": 21.4, "type_of_reporting_person": "CO", "comment_content": "For Rows 7, 9, 11: * See Item 5 of this statement on Schedule 13D.\n\nFor Row 13: ** For limited purposes of this statement on Schedule 13D only, the percentage of common shares beneficially owned by the Reporting Person is based on 42,654,198 common shares outstanding as of June 10, 2026, as reported by International General Insurance Holdings Ltd (No. 001-39255) (the \"Company\") in its report on Form 6-K, filed with the Securities and Exchange Commission (the \"SEC\") on June 25, 2026." }, { "accession_no": "0001104659-26-089819", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "DEFJ, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 14134481.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14134481.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14134481.0, "percent_of_class": 83.9, "type_of_reporting_person": "OO", "comment_content": "Note to Row 7, 9, and 11: The reported amount consists of 300,040 shares of common stock, $0.0001 par value per share (\"Common Stock\") of TransCode Therapeutics, Inc. (the \"Company\"), held directly by DEFJ, LLC (\"DEFJ\") prior to the date hereof, 11,813,859 shares of Common Stock issued to DEFJ upon conversion of 1,181.3859 shares of Series A Non-Voting Convertible Preferred Stock, par value $0.0001 per share (\"Series A Preferred Stock\") and 2,020,582 shares of Common Stock issued to DEFJ upon conversion of 202.0582 shares of Series B Non-Voting Convertible Preferred Stock, par value $0.0001 per share (\"Series B Preferred Stock\" and, together with the Series A Preferred Stock, the \"Preferred Stock\").\n\nNote to Row 13: Based on 3,017,306 shares of Common Stock outstanding as of July 23, 2026 following the conversion of certain convertible securities of the Company, as disclosed in the Company's Supplement dated July 17, 2026, to its Proxy Statement dated June 2, 2026, and also taking into account the shares of Common Stock issued to DEFJ upon conversion of the Series A Preferred Stock and the Series B Preferred Stock." }, { "accession_no": "0001104659-26-089819", "person_seq": 1, "reporting_person_cik": 1297567, "reporting_person_name": "CK Life Sciences Int'l., (Holdings) Inc.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 14134481.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14134481.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14134481.0, "percent_of_class": 83.9, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7, 9, and 11: The reported amount consists of 300,040 shares of Common Stock held directly by DEFJ prior to the date hereof, 11,813,859 shares of Common Stock issued to DEFJ upon conversion of 1,181.3859 shares of Series A Preferred Stock and 2,020,582 shares of Common Stock issued to DEFJ upon conversion of 202.0582 shares of Series B Preferred Stock.\n\nNote to Row 13: Based on 3,017,306 shares of Common Stock outstanding as of July 23, 2026 following the conversion of certain convertible securities of the Company, as disclosed in the Company's Supplement dated July 17, 2026, to its Proxy Statement dated June 2, 2026, and also taking into account the shares of Common Stock issued to DEFJ upon conversion of the Series A Preferred Stock and the Series B Preferred Stock." }, { "accession_no": "0001104659-26-089956", "person_seq": 0, "reporting_person_cik": 1373161, "reporting_person_name": "BLUHM NEIL", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 100085274.0, "shared_voting_power": 0.0, "sole_dispositive_power": 100085274.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 100085274.0, "percent_of_class": 46.5, "type_of_reporting_person": "IN", "comment_content": "The reported amount represents (i) 668,418 shares of Class A Common Stock, (ii) 99,289,627 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock) and (iii) 127,229 shares of Class A Common Stock issuable upon conversion of stock options.\n\nThe percent of class is calculated based on 115,626,347 shares of Class A Common Stock outstanding as of July 29, 2026 as reported in the Issuer's Form 10-Q filed on July 30, 2026, as increased by (i) 99,289,627 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock) beneficially owned by the Bluhm Reporting Persons (as defined below) and (ii) 127,229 shares of Class A Common Stock issuable upon conversion of stock options beneficially owned by the Bluhm Reporting Persons." }, { "accession_no": "0001104659-26-089956", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "NGB 2016 REVOCABLE TRUST", "fund_type": "OO", "citizenship_or_org": "IL", "sole_voting_power": 2195752.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2195752.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2195752.0, "percent_of_class": 1.0, "type_of_reporting_person": "OO", "comment_content": "The reported amount represents (i) 668,418 shares of Class A Common Stock and (ii) 1,527,334 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock).\n\nThe percent of class is calculated based on 115,626,347 shares of Class A Common Stock outstanding as of July 29, 2026 as reported in the Issuer's Form 10-Q filed on July 30, 2026, as increased by (i) 99,289,627 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock) beneficially owned by the Bluhm Reporting Persons and (ii) 127,229 shares of Class A Common Stock issuable upon conversion of stock options beneficially owned by the Bluhm Reporting Persons." }, { "accession_no": "0001104659-26-089956", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "NGB 2013 Grandchildren's Dynasty Trust", "fund_type": "OO", "citizenship_or_org": "IL", "sole_voting_power": 96399630.0, "shared_voting_power": 0.0, "sole_dispositive_power": 96399630.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 96399630.0, "percent_of_class": 44.8, "type_of_reporting_person": "OO", "comment_content": "The reported amount represents 96,399,630 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock).\n\nThe percent of class is calculated based on 115,626,347 shares of Class A Common Stock outstanding as of July 29, 2026 as reported in the Issuer's Form 10-Q filed on July 30, 2026, as increased by (i) 99,289,627 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock) beneficially owned by the Bluhm Reporting Persons and (ii) 127,229 shares of Class A Common Stock issuable upon conversion of stock options beneficially owned by the Bluhm Reporting Persons." }, { "accession_no": "0001104659-26-089956", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Rush Street Interactive GP, LLC", "fund_type": "OO", "citizenship_or_org": "IL", "sole_voting_power": 1362663.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1362663.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1362663.0, "percent_of_class": 0.6, "type_of_reporting_person": "OO", "comment_content": "The reported amount represents 1,362,663 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock).\n\nThe percent of class is calculated based on 115,626,347 shares of Class A Common Stock outstanding as of July 29, 2026 as reported in the Issuer's Form 10-Q filed on July 30, 2026, as increased by (i) 99,289,627 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock) beneficially owned by the Bluhm Reporting Persons and (ii) 127,229 shares of Class A Common Stock issuable upon conversion of stock options beneficially owned by the Bluhm Reporting Persons." }, { "accession_no": "0001104659-26-089956", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Richard Schwartz", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 7292836.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7292836.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7292836.0, "percent_of_class": 5.9, "type_of_reporting_person": "IN", "comment_content": "The reported amount represents (i) 6,101,187 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock) and (ii) 1,191,649 shares of Class A Common Stock issuable upon conversion of stock options that have vested or will vest and be exercisable within 60 days.\n\nThe percent of class is calculated based on 115,626,347 shares of Class A Common Stock outstanding as of July 29, 2026 as reported in the Issuer's Form 10-Q filed on July 30, 2026, as increased by 6,101,187 shares of Class A Common Stock issuable upon conversion of RSILP Units (together with an equivalent number of shares of Class V Common Stock) beneficially owned by the Reporting Person and 1,191,649 shares of Class A Common Stock issuable upon conversion of stock options beneficially owned by the Reporting Person." }, { "accession_no": "0001104659-26-089960", "person_seq": 0, "reporting_person_cik": 1900201, "reporting_person_name": "Catalyst4, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 20906689.0, "shared_voting_power": 0.0, "sole_dispositive_power": 20906689.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 20906689.0, "percent_of_class": 47.9, "type_of_reporting_person": "CO", "comment_content": "*The percent of class calculation is based on 43,647,188 shares of voting common stock of the Issuer outstanding as of July 27, 2026." }, { "accession_no": "0001104659-26-089960", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Robert Brown", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20906689.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20906689.0, "aggregate_amount_owned": 20906689.0, "percent_of_class": 47.9, "type_of_reporting_person": "IN", "comment_content": "*The percent of class calculation is based on 43,647,188 shares of voting common stock of the Issuer outstanding as of July 27, 2026." }, { "accession_no": "0001104659-26-089960", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Ekemini Riley", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20906689.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20906689.0, "aggregate_amount_owned": 20906689.0, "percent_of_class": 47.9, "type_of_reporting_person": "IN", "comment_content": "*The percent of class calculation is based on 43,647,188 shares of voting common stock of the Issuer outstanding as of July 27, 2026." }, { "accession_no": "0001104659-26-089960", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Mark Vorsatz", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20906689.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20906689.0, "aggregate_amount_owned": 20906689.0, "percent_of_class": 47.9, "type_of_reporting_person": "IN", "comment_content": "*The percent of class calculation is based on 43,647,188 shares of voting common stock of the Issuer outstanding as of July 27, 2026." }, { "accession_no": "0001104659-26-090354", "person_seq": 0, "reporting_person_cik": 2044245, "reporting_person_name": "CD&R Channel Holdings II, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 33478322.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33478322.0, "aggregate_amount_owned": 33478322.0, "percent_of_class": 19.7, "type_of_reporting_person": "PN", "comment_content": "The reported securities represent (i) 18,517,830 shares of common stock, par value $0.001 per share (the \"Common Stock\"), that are issuable upon the conversion (based on an initial conversion price of $18.844), at the option of the holder, of 348,950 shares of Series A Cumulative Convertible Participating Preferred Stock (the \"Preferred Stock\") beneficially owned by the Reporting Person and (ii) 14,960,492 shares of Common Stock directly held by the Reporting Person.\n\nAll percentages are calculated using a fraction, the numerator of which is the total number of shares of Common Stock set forth above and the denominator of which is 169,944,090, which is equal to the sum of 151,426,260 shares of Common Stock outstanding as of May 5, 2026, as reported in the Issuer's Form 10-Q, filed May 12, 2026, plus 18,517,830 shares of Common Stock issuable upon conversion of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-090354", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "CD&R Channel Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 18517830.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18517830.0, "aggregate_amount_owned": 18517830.0, "percent_of_class": 10.9, "type_of_reporting_person": "PN", "comment_content": "The reported securities represent 18,517,830 shares of Common Stock that are issuable upon the conversion (based on an initial conversion price of $18.844), at the option of the holder, of 348,950 shares of Preferred Stock beneficially owned by the Reporting Person.\n\nAll percentages are calculated using a fraction, the numerator of which is the total number of shares of Common Stock set forth above and the denominator of which is 169,944,090, which is equal to the sum of 151,426,260 shares of Common Stock outstanding as of May 5, 2026, as reported in the Issuer's Form 10-Q, filed May 12, 2026, plus 18,517,830 shares of Common Stock issuable upon conversion of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-090354", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "CD&R Investment Associates XII, Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 33478322.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33478322.0, "aggregate_amount_owned": 33478322.0, "percent_of_class": 19.7, "type_of_reporting_person": "CO", "comment_content": "The reported securities represent (i) 18,517,830 shares of Common Stock that are issuable upon the conversion (based on an initial conversion price of $18.844), at the option of the holder, of 348,950 shares of Preferred Stock beneficially owned by the Reporting Person and (ii) 14,960,492 shares of Common Stock directly held by CD&R Channel Holdings II, L.P. (\"CD&R Holdings II\").\n\nAll percentages are calculated using a fraction, the numerator of which is the total number of shares of Common Stock set forth above and the denominator of which is 169,944,090, which is equal to the sum of 151,426,260 shares of Common Stock outstanding as of May 5, 2026, as reported in the Issuer's Form 10-Q, filed May 12, 2026, plus 18,517,830 shares of Common Stock issuable upon conversion of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-090354", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "CD&R Associates XII, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 33478322.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33478322.0, "aggregate_amount_owned": 33478322.0, "percent_of_class": 19.7, "type_of_reporting_person": "PN", "comment_content": "The reported securities represent (i) 18,517,830 shares of Common Stock that are issuable upon the conversion (based on an initial conversion price of $18.844), at the option of the holder, of 348,950 shares of Preferred Stock beneficially owned by the Reporting Person and (ii) 14,960,492 shares of Common Stock directly held by CD&R Holdings II.\n\nAll percentages are calculated using a fraction, the numerator of which is the total number of shares of Common Stock set forth above and the denominator of which is 169,944,090, which is equal to the sum of 151,426,260 shares of Common Stock outstanding as of May 5, 2026, as reported in the Issuer's Form 10-Q, filed May 12, 2026, plus 18,517,830 shares of Common Stock issuable upon conversion of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001104659-26-090388", "person_seq": 0, "reporting_person_cik": 1665472, "reporting_person_name": "Bruce Bernstein", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 602556.0, "shared_voting_power": 0.0, "sole_dispositive_power": 602556.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 602556.0, "percent_of_class": 6.9, "type_of_reporting_person": "IN", "comment_content": "(1) In reference to rows 7, 9 and 11 above includes (i) 307,991 shares of common stock, par value $0.01 per share (\"common stock\"), of XWELL, Inc. (the \"Issuer\") held by Bruce Bernstein (the \"Reporting Person\") and (ii) 294,565 shares of common stock issuable upon exercise of stock options held by the Reporting Person, which are exercisable within sixty (60) days of this Schedule 13D.\n\n(2) In reference to row 13 above, calculated based on (i) 8,444,266 shares of common stock outstanding as of May 14, 2026 as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 20, 2026 and (ii) 294,565 shares of common stock issuable upon exercise of stock options held by the Reporting Person, which are exercisable within sixty (60) days of this Schedule 13D." }, { "accession_no": "0001104659-26-090533", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "CF Flyer Mezz Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "FCOF V Expansion ULMA-C Investments LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "FCOF V Expansion CDFG MA-C Investments LLC (UL Series)", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Fortress Credit Opportunities Fund V Expansion (G) L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Fortress Credit Opportunities V Advisors LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "FCO Fund V GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Hybrid GP Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "FIG LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Fortress Operating Entity I LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "FIG Blue LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 10, "reporting_person_cik": 1380393, "reporting_person_name": "Fortress Investment Group LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "FINCO I Intermediate Holdco LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "FINCO I LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "FIG Parent, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "Foundation Holdco LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001104659-26-090533", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "FIG Buyer GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-091192", "person_seq": 0, "reporting_person_cik": 1539838, "reporting_person_name": "Diamondback Energy, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 142156718.0, "shared_voting_power": 0.0, "sole_dispositive_power": 142156718.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 142156718.0, "percent_of_class": 42.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-091192", "person_seq": 1, "reporting_person_cik": 1590692, "reporting_person_name": "Diamondback E&P LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 8066528.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8066528.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8066528.0, "percent_of_class": 4.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-091192", "person_seq": 2, "reporting_person_cik": 2068309, "reporting_person_name": "Endeavor Energy Resources, L.P.", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 69626640.0, "shared_voting_power": 0.0, "sole_dispositive_power": 69626640.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 69626640.0, "percent_of_class": 26.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001104659-26-092724", "person_seq": 0, "reporting_person_cik": 1556593, "reporting_person_name": "Rithm Capital Corp.", "fund_type": "SC", "citizenship_or_org": "DE", "sole_voting_power": 1447680.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1447680.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1447680.0, "percent_of_class": 17.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001104659-26-092737", "person_seq": 0, "reporting_person_cik": 882095, "reporting_person_name": "Gilead Sciences, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 31424760.0, "shared_voting_power": 0.0, "sole_dispositive_power": 31424760.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 31424760.0, "percent_of_class": 24.7, "type_of_reporting_person": "CO", "comment_content": "The number of shares reported in rows 7, 9, and 11 consists of (i) 2,200,000 shares of the common stock, par value $0.0001 per share (the \"Common Stock\"), of Arcus Biosciences, Inc. (the \"Issuer\") purchased in the 2020 Public Offering (as defined below), (ii) the initial purchase of 5,963,029 shares of Common Stock pursuant to the Purchase Agreement (as defined below), (iii) the subsequent purchase of 5,650,000 shares of Common Stock pursuant to the Amended and Restated Purchase Agreement (as defined below), (iv) the subsequent purchase of 1,010,000 shares of Common Stock pursuant to the Second Amended and Restated Purchase Agreement (as defined below), (v) the subsequent purchase of 15,238,095 shares of Common Stock of the Issuer pursuant to the Third Amended and Restated Purchase Agreement (as defined below), and (vi) the subsequent purchase of 1,363,636 shares of Common Stock pursuant to the Public Offering (as defined below).\n\nThe percent reported in row 13 is calculated based upon 127,333,376 shares of Common Stock issued and outstanding, as reported in the Quarterly Report on Form 10-Q filed by the Issuer with the Securities and Exchange Commission (the \"SEC\") on August 5, 2026." }, { "accession_no": "0001104659-26-092824", "person_seq": 0, "reporting_person_cik": 1697367, "reporting_person_name": "GEN IV INVESTMENT OPPORTUNITIES, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3494258.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3494258.0, "aggregate_amount_owned": 3494258.0, "percent_of_class": 14.14, "type_of_reporting_person": "OO", "comment_content": "(1) The number of shares reported consists of 3,494,258 shares of Common Stock issuable upon conversion of shares of Series A-1 Preferred Stock pursuant to the Series A-1 Purchase Agreement (as discussed in Item 3), Series A-2 Preferred Stock pursuant to the Series A-2 Purchase Agreement (as discussed in Item 3), Series A-3 Preferred Stock pursuant to the Series A-3 Purchase Agreement (as discussed in Item 3), and Series A-4 Preferred Stock pursuant to the Series A-4 Purchase Agreement (as discussed in Item 3) held by Gen IV Investment Opportunities, LLC (\"Gen IV\"). Neither the filing of this statement on Schedule 13D nor any of its contents shall be deemed to constitute an admission by any Reporting Person hereto that it is the beneficial owner of any Common Stock for purposes of Section 13(d) of the Act of 1934, as amended, or for any other purpose, and such beneficial ownership is hereby expressly disclaimed.\n\n(2) Based on 22,018,849 shares of Common Stock outstanding as of May 8, 2026, as reported in the Issuer's Form 10-Q filed with the SEC on March 23, 2026, plus 3,494,258 shares of converted Common Stock." }, { "accession_no": "0001104659-26-092824", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "LSP GENERATION IV, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3494258.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3494258.0, "aggregate_amount_owned": 3494258.0, "percent_of_class": 14.14, "type_of_reporting_person": "OO", "comment_content": "(1) The number of shares reported consists of 3,494,258 shares of Common Stock issuable upon conversion of shares of Series A-1 Preferred Stock pursuant to the Series A-1 Purchase Agreement (as discussed in Item 3), Series A-2 Preferred Stock pursuant to the Series A-2 Purchase Agreement (as discussed in Item 3), Series A-3 Preferred Stock pursuant to the Series A-3 Purchase Agreement (as discussed in Item 3), and Series A-4 Preferred Stock pursuant to the Series A-4 Purchase Agreement (as discussed in Item 3) held by Gen IV. Neither the filing of this statement on Schedule 13D nor any of its contents shall be deemed to constitute an admission by any Reporting Person hereto that it is the beneficial owner of any Common Stock for purposes of Section 13(d) of the Act of 1934, as amended, or for any other purpose, and such beneficial ownership is hereby expressly disclaimed.\n\n(2) Based on 22,018,849 shares of Common Stock outstanding as of May 8, 2026, as reported in the Issuer's Form 10-Q filed with the SEC on March 23, 2026, plus 3,494,258 shares of converted Common Stock." }, { "accession_no": "0001104659-26-092824", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "LSP INVESTMENT ADVISORS, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3494258.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3494258.0, "aggregate_amount_owned": 3494258.0, "percent_of_class": 14.14, "type_of_reporting_person": "OO", "comment_content": "(1) The number of shares reported consists of 3,494,258 shares of Common Stock issuable upon conversion of shares of Series A-1 Preferred Stock pursuant to the Series A-1 Purchase Agreement (as discussed in Item 3), Series A-2 Preferred Stock pursuant to the Series A-2 Purchase Agreement (as discussed in Item 3), Series A-3 Preferred Stock pursuant to the Series A-3 Purchase Agreement (as discussed in Item 3), and Series A-4 Preferred Stock pursuant to the Series A-4 Purchase Agreement (as discussed in Item 3) held by Gen IV. Neither the filing of this statement on Schedule 13D nor any of its contents shall be deemed to constitute an admission by any Reporting Person hereto that it is the beneficial owner of any Common Stock for purposes of Section 13(d) of the Act of 1934, as amended, or for any other purpose, and such beneficial ownership is hereby expressly disclaimed.\n\n(2) Based on 22,018,849 shares of Common Stock outstanding as of May 8, 2026, as reported in the Issuer's Form 10-Q filed with the SEC on March 23, 2026, plus 3,494,258 shares of converted Common Stock." }, { "accession_no": "0001104659-26-092824", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Paul Segal", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3494258.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3494258.0, "aggregate_amount_owned": 3494258.0, "percent_of_class": 14.14, "type_of_reporting_person": "IN", "comment_content": "(1) The number of shares reported consists of 3,494,258 shares of Common Stock issuable upon conversion of shares of Series A-1 Preferred Stock pursuant to the Series A-1 Purchase Agreement (as discussed in Item 3), Series A-2 Preferred Stock pursuant to the Series A-2 Purchase Agreement (as discussed in Item 3), Series A-3 Preferred Stock pursuant to the Series A-3 Purchase Agreement (as discussed in Item 3), and Series A-4 Preferred Stock pursuant to the Series A-4 Purchase Agreement (as discussed in Item 3) held by Gen IV. Neither the filing of this statement on Schedule 13D nor any of its contents shall be deemed to constitute an admission by any Reporting Person hereto that it is the beneficial owner of any Common Stock for purposes of Section 13(d) of the Act of 1934, as amended, or for any other purpose, and such beneficial ownership is hereby expressly disclaimed.\n\n(2) Based on 22,018,849 shares of Common Stock outstanding as of May 8, 2026, as reported in the Issuer's Form 10-Q filed with the SEC on March 23, 2026, plus 3,494,258 shares of converted Common Stock." }, { "accession_no": "0001104659-26-092862", "person_seq": 0, "reporting_person_cik": 1655183, "reporting_person_name": "Mudrick Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 105401051.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 105401051.0, "aggregate_amount_owned": 105401051.0, "percent_of_class": 55.0, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 52,159,585 ordinary shares, par value $0.001 per share (\"Ordinary Shares\"), of Vertical Aerospace Ltd. (the \"Issuer\"), (ii) 48,675,466 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 400,000 Ordinary Shares issuable upon the exercise of Existing Warrants, 2,083,000 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 2,083,000 Ordinary Shares issuable upon the exercise of Tranche B Warrants (as each is defined in this Schedule 13D), in each case, directly held by Mudrick Distressed Opportunity Fund Global, L.P., Mudrick Distressed Opportunity Drawdown Fund II, L.P., Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., Mudrick Distressed Opportunity SIF Master Fund, L.P., Mudrick Stressed Credit Master Fund, L.P., Mudrick Opportunity Co-Investment Fund, LP, Mudrick Distressed Opportunity Drawdown Fund III, L.P., Mudrick Co-Investment Opportunity III, L.P. and certain accounts managed by Mudrick Capital Management, L.P. (collectively, the \"Mudrick Funds\"), in the aggregate.\n\nRow 13 is based on 191,631,773 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 48,675,466 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes, (iii) 400,000 Ordinary Shares issuable upon exercise of Existing Warrants, (iv) 2,083,000 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 2,083,000 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 1, "reporting_person_cik": 1730922, "reporting_person_name": "Mudrick Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 105401051.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 105401051.0, "aggregate_amount_owned": 105401051.0, "percent_of_class": 55.0, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include (i) 52,159,585 Ordinary Shares of the Issuer, (ii) 48,675,466 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 400,000 Ordinary Shares issuable upon the exercise of Existing Warrants, 2,083,000 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 2,083,000 Ordinary Shares issuable upon the exercise of Tranche B Warrants (as each is defined in this Schedule 13D), in each case, directly held by the Mudrick Funds in the aggregate.\n\nRow 13 is based on 191,631,773 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 48,675,466 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes, (iii) 400,000 Ordinary Shares issuable upon exercise of Existing Warrants, (iv) 2,083,000 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 2,083,000 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 2, "reporting_person_cik": 1367262, "reporting_person_name": "Jason Mudrick", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 105401051.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 105401051.0, "aggregate_amount_owned": 105401051.0, "percent_of_class": 55.0, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11 include (i) 52,159,585 Ordinary Shares of the Issuer, (ii) 48,675,466 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 400,000 Ordinary Shares issuable upon the exercise of Existing Warrants, 2,083,000 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 2,083,000 Ordinary Shares issuable upon the exercise of Tranche B Warrants (as each is defined in this Schedule 13D), in each case, directly held by the Mudrick Funds in the aggregate.\n\nRow 13 is based on 191,631,773 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 48,675,466 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes, (iii) 400,000 Ordinary Shares issuable upon exercise of Existing Warrants, (iv) 2,083,000 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 2,083,000 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 3, "reporting_person_cik": 1470474, "reporting_person_name": "Mudrick Distressed Opportunity Fund Global, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 22586781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22586781.0, "aggregate_amount_owned": 22586781.0, "percent_of_class": 15.1, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 11,253,764 Ordinary Shares of the Issuer, (ii) 10,426,735 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 94,138 Ordinary Shares issuable upon the exercise of Existing Warrants, 406,072 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 406,072 Ordinary Shares issuable upon the exercise of Tranche B Warrants (as each is defined in this Schedule 13D), in each case, directly held by the Mudrick Distressed Opportunity Fund Global, L.P.\n\nRow 13 is based on 149,723,324 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 10,426,735 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity Fund Global, L.P., (iii) 94,138 Ordinary Shares issuable upon exercise of Existing Warrants, held by Mudrick Distressed Opportunity Fund Global, L.P., (iv) 406,072 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 406,072 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 4, "reporting_person_cik": 1656059, "reporting_person_name": "Mudrick GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 22586781.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22586781.0, "aggregate_amount_owned": 22586781.0, "percent_of_class": 15.1, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include (i) 11,253,764 Ordinary Shares of the Issuer, (ii) 10,426,735 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 94,138 Ordinary Shares issuable upon the exercise of Existing Warrants, 406,072 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 406,072 Ordinary Shares issuable upon the exercise of Tranche B Warrants (as each is defined in this Schedule 13D), in each case, directly held by Mudrick Distressed Opportunity Fund Global, L.P.\n\nRow 13 is based on 149,723,324 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 10,426,735 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity Fund Global, L.P., (iii) 94,138 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Distressed Opportunity Fund Global, L.P., (iv) 406,072 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 406,072 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 5, "reporting_person_cik": 1763080, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13798753.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13798753.0, "aggregate_amount_owned": 13798753.0, "percent_of_class": 9.5, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 7,268,224 Ordinary Shares of the Issuer, (ii) 6,008,293 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 54,246 Ordinary Shares issuable upon the exercise of Existing Warrants, 233,995 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 233,995 Ordinary Shares issuable upon the exercise of Tranche B Warrants (as each is defined in this Schedule 13D), in each case, directly held by the Mudrick Distressed Opportunity Drawdown Fund II, L.P.\n\nRow 13 is based on 144,920,836 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 6,008,293 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity Drawdown fund II, L.P., (iii) 54,246 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Distressed Opportunity Drawdown Fund II, L.P., (iv) 233,995 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 233,995 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 6, "reporting_person_cik": 1813394, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1440264.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1440264.0, "aggregate_amount_owned": 1440264.0, "percent_of_class": 1.0, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 758,631 Ordinary Shares of the Issuer, (ii) 627,123 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 5,662 Ordinary Shares issuable upon the exercise of Existing Warrants, 24,424 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 24,424 Ordinary Shares issuable upon the exercise of Tranche B Warrants (as each is defined in this Schedule 13D), in each case, directly held by the Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.\n\nRow 13 is based on 139,071,940 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 627,123 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.,, (iii) 5,662 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., (iv) 24,424 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 24,424 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 7, "reporting_person_cik": 1813765, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund II GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15239017.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15239017.0, "aggregate_amount_owned": 15239017.0, "percent_of_class": 10.6, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include (i) 8,026,855 Ordinary Shares of the Issuer, (ii) 6,635,416 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 59,908 Ordinary Shares issuable upon the exercise of Existing Warrants, 258,419 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 258,419 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Distressed Opportunity Drawdown Fund II, L.P. and Mudrick Distressed Opportunity Drawdown Fund II SC, L.P.\n\nRow 13 is based on 145,602,469 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 6,635,416 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity Drawdown Fund II, L.P. and Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., (iii) 59,908 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Distressed Opportunity Drawdown Fund II, L.P. and Mudrick Distressed Opportunity Drawdown Fund II SC, L.P., (iv) 258,419 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 258,419 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 8, "reporting_person_cik": 1860577, "reporting_person_name": "Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3609563.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3609563.0, "aggregate_amount_owned": 3609563.0, "percent_of_class": 2.6, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 1,901,267 Ordinary Shares of the Issuer, (ii) 1,571,686 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 14,190 Ordinary Shares issuable upon the exercise of Existing Warrants, 61,210 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 61,210 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P.\n\nRow 13 is based on 140,098,603 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 1,571,686 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., (iii) 14,190 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., (iv) 61,210 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 61,210 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 9, "reporting_person_cik": 1959099, "reporting_person_name": "Mudrick Distressed Opportunity 2020 Dislocation Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3609563.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3609563.0, "aggregate_amount_owned": 3609563.0, "percent_of_class": 2.6, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include (i) 1,901,267 Ordinary Shares of the Issuer, (ii) 1,571,686 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 14,190 Ordinary Shares issuable upon the exercise of Existing Warrants, 61,210 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 61,210 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P.\n\nRow 13 is based on 140,098,603 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 1,571,686 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., (iii) 14,190 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Distressed Opportunity 2020 Dislocation Fund, L.P., (iv) 61,210 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 61,210 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 10, "reporting_person_cik": 1875540, "reporting_person_name": "Mudrick Distressed Opportunity SIF Master Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2637302.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2637302.0, "aggregate_amount_owned": 2637302.0, "percent_of_class": 1.9, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 1,339,287 Ordinary Shares of the Issuer, (ii) 1,194,215 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 10,782 Ordinary Shares issuable upon the exercise of Existing Warrants, 46,509 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 46,509 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Distressed Opportunity SIF Master Fund, L.P.\n\nRow 13 is based on 139,688,322 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 1,194,215 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity SIF Master Fund, L.P., (iii) 10,782 Ordinary Shares issuable upon exercising of Existing Warrants held by Mudrick Distressed Opportunity SIF Master Fund, L.P., (iv) 46,509 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 46,509 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 11, "reporting_person_cik": 1959041, "reporting_person_name": "Mudrick Distressed Opportunity SIF GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2637302.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2637302.0, "aggregate_amount_owned": 2637302.0, "percent_of_class": 1.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include (i) 1,339,287 Ordinary Shares of the Issuer, (ii) 1,194,215 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 10,782 Ordinary Shares issuable upon the exercise of Existing Warrants, 46,509 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 46,509 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Distressed Opportunity SIF Master Fund, L.P.\n\nRow 13 is based on 139,688,322 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 1,194,215 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Distressed Opportunity SIF Master Fund, L.P., (iii) 10,782 Ordinary Shares issuable upon exercising of Existing Warrants held by Mudrick Distressed Opportunity SIF Master Fund, L.P., (iv) 46,509 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 46,509 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 12, "reporting_person_cik": 1958524, "reporting_person_name": "Mudrick Stressed Credit Master Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2967410.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2967410.0, "aggregate_amount_owned": 2967410.0, "percent_of_class": 2.1, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 1,326,528 Ordinary Shares of the Issuer, (ii) 1,515,808 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 33,540 Ordinary Shares issuable upon the exercise of Existing Warrants, 45,767 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 45,767 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Stressed Credit Master Fund, L.P.\n\nRow 13 is based on 140,031,189 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 1,515,808 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Stressed Credit Master Fund, L.P. or on behalf of MSC Fund A, (iii) 33,540 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Stressed Credit Master Fund, L.P., (iv) 45,767 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 45,767 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 13, "reporting_person_cik": 1958558, "reporting_person_name": "Mudrick Stressed Credit Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2967410.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2967410.0, "aggregate_amount_owned": 2967410.0, "percent_of_class": 2.1, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include (i) 1,326,528 Ordinary Shares of the Issuer, (ii) 1,515,808 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 33,540 Ordinary Shares issuable upon the exercise of Existing Warrants, 45,767 Ordinary Shares issuable upon the exercise of Tranche A Warrants and 45,767 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Stressed Credit Master Fund, L.P.\n\nRow 13 is based on 140,031,189 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of the Amendment No. 6), (ii) 1,515,808 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Stressed Credit Master Fund, L.P. or on behalf of MSC Fund A, (iii) 33,540 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Stressed Credit Master Fund, L.P., (iv) 45,767 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (v) 45,767 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 14, "reporting_person_cik": 1899917, "reporting_person_name": "Mudrick Opportunity Co-Investment Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2301190.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2301190.0, "aggregate_amount_owned": 2301190.0, "percent_of_class": 1.6, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 1,183,589 Ordinary Shares of the Issuer, (ii) 1,107,601 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 10,000 Ordinary Shares issuable upon the exercise of Existing Warrants, in each case, directly held by Mudrick Opportunity Co-Investment Fund, L.P.\n\nRow 13 is based on 139,507,908 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 1,107,601 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Opportunity Co-Investment Fund, L.P., and (iii) 10,000 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Opportunity Co-Investment Fund, L.P." }, { "accession_no": "0001104659-26-092862", "person_seq": 15, "reporting_person_cik": 1959101, "reporting_person_name": "Mudrick Opportunity Co-Investment Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2301190.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2301190.0, "aggregate_amount_owned": 2301190.0, "percent_of_class": 1.6, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include (i) 1,183,589 Ordinary Shares of the Issuer, (ii) 1,107,601 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, and (iii) 10,000 Ordinary Shares issuable upon the exercise of Existing Warrants, in each case, directly held by Mudrick Opportunity Co-Investment Fund, L.P.\n\nRow 13 is based on 139,507,908 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 1,107,601 Ordinary Shares issuable upon the conversion of Convertible Senior Secured Notes directly held by Mudrick Opportunity Co-Investment Fund, L.P., and (iii) 10,000 Ordinary Shares issuable upon exercise of Existing Warrants held by Mudrick Opportunity Co-Investment Fund, L.P." }, { "accession_no": "0001104659-26-092862", "person_seq": 16, "reporting_person_cik": 2024855, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund III, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 576846.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 576846.0, "aggregate_amount_owned": 576846.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 265,045 Ordinary Shares of the Issuer, (ii) 64,399 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, (iii) 123,701 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (iv) 123,701 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Distressed Opportunity Drawdown Fund III, L.P.\n\nRow 13 is based on 138,702,108 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 64,399 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, (iii) 123,701 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (iv) 123,701 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 17, "reporting_person_cik": 2051254, "reporting_person_name": "Mudrick Distressed Opportunity Drawdown Fund III GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 576846.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 576846.0, "aggregate_amount_owned": 576846.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10 and 11 include (i) 265,045 Ordinary Shares of the Issuer, (ii) 64,399 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, (iii) 123,701 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (iv) 123,701 Ordinary Shares issuable upon the exercise of Tranche B Warrants, in each case, directly held by Mudrick Distressed Opportunity Drawdown Fund III, L.P.\n\nRow 13 is based on 138,702,108 Ordinary Shares outstanding, which includes (i) 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6), (ii) 64,399 Ordinary Shares issuable upon conversion of Convertible Senior Secured Notes, (iii) 123,701 Ordinary Shares issuable upon the exercise of Tranche A Warrants and (iv) 123,701 Ordinary Shares issuable upon the exercise of Tranche B Warrants, as each is defined in this Schedule 13D." }, { "accession_no": "0001104659-26-092862", "person_seq": 18, "reporting_person_cik": 2077722, "reporting_person_name": "Mudrick Co-Investment Opportunity III, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 250000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 250000.0, "aggregate_amount_owned": 250000.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include 250,000 Ordinary Shares of the Issuer directly held by Mudrick Co-Investment Opportunity III, L.P.\n\nRow 13 is based on 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6)." }, { "accession_no": "0001104659-26-092862", "person_seq": 19, "reporting_person_cik": 2100159, "reporting_person_name": "Mudrick Co-Investment Opportunity III GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 250000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 250000.0, "aggregate_amount_owned": 250000.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 include 250,000 Ordinary Shares of the Issuer directly held by Mudrick Co-Investment Opportunity III, L.P.\n\nRow 13 is based on 138,390,307 Ordinary Shares outstanding after giving effect to the shares issued in the Capital Raise (as defined in Item 4 of Amendment No. 6)." }, { "accession_no": "0001123292-26-000662", "person_seq": 0, "reporting_person_cik": 1884407, "reporting_person_name": "Bitfury Top HoldCo B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 30443382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30443382.0, "aggregate_amount_owned": 30443382.0, "percent_of_class": 7.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000662", "person_seq": 1, "reporting_person_cik": 1887853, "reporting_person_name": "Bitfury Holding B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 4821560.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4821560.0, "aggregate_amount_owned": 4821560.0, "percent_of_class": 1.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000662", "person_seq": 2, "reporting_person_cik": 1887872, "reporting_person_name": "Bitfury Group Ltd", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 30443382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30443382.0, "aggregate_amount_owned": 30443382.0, "percent_of_class": 7.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000662", "person_seq": 3, "reporting_person_cik": 1887845, "reporting_person_name": "V3 Holding Ltd", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 61316694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 61316694.0, "aggregate_amount_owned": 61316694.0, "percent_of_class": 15.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000662", "person_seq": 4, "reporting_person_cik": 1887811, "reporting_person_name": "Vavilovs Valerijs", "fund_type": "OO", "citizenship_or_org": "1R", "sole_voting_power": 0.0, "shared_voting_power": 61316694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 61316694.0, "aggregate_amount_owned": 61316694.0, "percent_of_class": 15.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001123292-26-000680", "person_seq": 0, "reporting_person_cik": 1884407, "reporting_person_name": "Bitfury Top HoldCo B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 30443382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30443382.0, "aggregate_amount_owned": 30443382.0, "percent_of_class": 7.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000680", "person_seq": 1, "reporting_person_cik": 1887853, "reporting_person_name": "Bitfury Holding B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 4821560.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4821560.0, "aggregate_amount_owned": 4821560.0, "percent_of_class": 1.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000680", "person_seq": 2, "reporting_person_cik": 1887872, "reporting_person_name": "Bitfury Group Ltd", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 30443382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30443382.0, "aggregate_amount_owned": 30443382.0, "percent_of_class": 7.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000680", "person_seq": 3, "reporting_person_cik": 1887845, "reporting_person_name": "V3 Holding Ltd", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 61316694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 61316694.0, "aggregate_amount_owned": 61316694.0, "percent_of_class": 15.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000680", "person_seq": 4, "reporting_person_cik": 1887811, "reporting_person_name": "Vavilovs Valerijs", "fund_type": "OO", "citizenship_or_org": "1R", "sole_voting_power": 0.0, "shared_voting_power": 61316694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 61316694.0, "aggregate_amount_owned": 61316694.0, "percent_of_class": 15.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001123292-26-000729", "person_seq": 0, "reporting_person_cik": 2069230, "reporting_person_name": "Estate of James W. Ayers", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "The percentage of the Issuer's outstanding shares of Common Stock, par value $1.00 per share (\"Common Stock\") represented by the aggregate number of shares of Common Stock reported as beneficially owned by the reporting persons (the \"Reporting Persons\") in this Amendment No. 4 to Schedule 13D (this \"Amendment No. 4\") is based on the Issuer's outstanding shares as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed May 4, 2026. See Item 5. This Amendment No. 4 amends and supplements the Schedule 13D originally filed with the U.S. Securities and Exchange Commission on May 9, 2025, as amended by Amendment No. 1 filed on November 18, 2025, Amendment No. 2 filed on April 21, 2025 and Amendment No. 3 filed on April 27, 2026 (as amended, the \"Schedule 13D\"), relating to the Reporting Persons' ownership of the Common Stock." }, { "accession_no": "0001123292-26-000729", "person_seq": 1, "reporting_person_cik": 1703295, "reporting_person_name": "Ayers J. Jonathan", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 17692.0, "shared_voting_power": 0.0, "sole_dispositive_power": 17692.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 17692.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "The percentage of outstanding Common Stock represented by the aggregate number of shares of Common Stock reported as beneficially owned by the Reporting Persons in this Amendment No. 4 is based on the Issuer's outstanding shares as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed May 4, 2026." }, { "accession_no": "0001123292-26-000729", "person_seq": 2, "reporting_person_cik": 2068430, "reporting_person_name": "James Austin McPherson", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 11584.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11584.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11584.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "The percentage of outstanding Common Stock represented by the aggregate number of shares of Common Stock reported as beneficially owned by the Reporting Persons in this Amendment No. 4 is based on the Issuer's outstanding shares as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed May 4, 2026." }, { "accession_no": "0001123292-26-000750", "person_seq": 0, "reporting_person_cik": 882095, "reporting_person_name": "GILEAD SCIENCES, INC.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 4977089.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4977089.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4977089.0, "percent_of_class": 25.1, "type_of_reporting_person": "CO", "comment_content": "Comment relating to row 13: Based upon 19,816,995 shares of Common Stock of the Issuer issued and outstanding immediately following the closing of the Issuer's most recent public offering, including 19,250,955 shares as disclosed in the prospectus supplement (the \"Prospectus Supplement\") and an additional 566,040 shares issued pursuant to the underwriters' option to purchase additional shares as reported in the Current Report on Form 8-K (the \"Form 8-K\"), each filed with the Securities and Exchange Commission (the \"SEC\") on May 26, 2026." }, { "accession_no": "0001123292-26-000773", "person_seq": 0, "reporting_person_cik": 2020620, "reporting_person_name": "Emerald Bioventures, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 61029978.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 61029978.0, "aggregate_amount_owned": 61029978.0, "percent_of_class": 30.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000773", "person_seq": 1, "reporting_person_cik": 1706867, "reporting_person_name": "Timothy Opler", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 61029978.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 61029978.0, "aggregate_amount_owned": 61029978.0, "percent_of_class": 30.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001123292-26-000806", "person_seq": 0, "reporting_person_cik": 1884407, "reporting_person_name": "Bitfury Top HoldCo B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 28643382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28643382.0, "aggregate_amount_owned": 28643382.0, "percent_of_class": 7.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000806", "person_seq": 1, "reporting_person_cik": 1887853, "reporting_person_name": "Bitfury Holding B.V.", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 4821560.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4821560.0, "aggregate_amount_owned": 4821560.0, "percent_of_class": 1.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000806", "person_seq": 2, "reporting_person_cik": 1887872, "reporting_person_name": "Bitfury Group Ltd", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 28643382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28643382.0, "aggregate_amount_owned": 28643382.0, "percent_of_class": 7.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000806", "person_seq": 3, "reporting_person_cik": 1887845, "reporting_person_name": "V3 Holding Ltd", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 59516694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 59516694.0, "aggregate_amount_owned": 59516694.0, "percent_of_class": 14.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001123292-26-000806", "person_seq": 4, "reporting_person_cik": 1887811, "reporting_person_name": "Vavilovs Valerijs", "fund_type": "OO", "citizenship_or_org": "1R", "sole_voting_power": 0.0, "shared_voting_power": 59516694.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 59516694.0, "aggregate_amount_owned": 59516694.0, "percent_of_class": 14.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001123292-26-001010", "person_seq": 0, "reporting_person_cik": 2011728, "reporting_person_name": "Saadi Ryan H.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3705689.0, "shared_voting_power": 3878.0, "sole_dispositive_power": 1938710.0, "shared_dispositive_power": 3878.0, "aggregate_amount_owned": 3709567.0, "percent_of_class": 59.7, "type_of_reporting_person": "IN", "comment_content": "The number of shares reported in row 7 includes 1,766,979 shares of restricted Common Stock that are outstanding and therefore carry voting rights but that may not be sold, assigned, transferred, pledged, hypothecated, or otherwise encumbered, subject to forfeit. The shares of Common Stock reported in rows 8 and 10 consist of shares held by Dr. Saadi's spouse. The percent reported in row 13 is calculated based on 6,215,107 shares of Common Stock outstanding as of July 14, 2026." }, { "accession_no": "0001123292-26-001073", "person_seq": 0, "reporting_person_cik": 104169, "reporting_person_name": "Walmart Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 76350823.0, "shared_voting_power": 0.0, "sole_dispositive_power": 76350823.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 76350823.0, "percent_of_class": 39.9, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, and 11. Includes (i) 15,000,000 shares of Class A Common Stock, par value $0.0001 per share (\"Class A Common Stock\") owned by the Reporting Person and (ii) 61,350,823 shares of Class A Common Stock that may be acquired by the Reporting Person upon the exchange of 61,350,823 common units (\"OpCo Units\") in Symbotic Holdings LLC, a wholly-owned subsidiary of the Issuer. Incident to its ownership of OpCo Units, the Reporting Person also owns 61,350,823 shares of the Issuer's Class V-1 common stock, par value $0.0001 (\"Class V-1 Common Stock\"), which carry one vote per share but confer no economic interest in the Issuer. Upon an exchange of OpCo Units for Class A Common Stock, an equal number of shares of Class V-1 Common Stock would be cancelled.\n\nRow 13. The percentage used herein and in the rest of this Schedule 13D is calculated based upon 129,873,381 shares of the Issuer's Class A Common Stock outstanding as of August 3, 2026, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 5, 2026, and after giving effect to the exchange of all 61,350,823 OpCo Units held by the Reporting Person into an equal number of shares of Class A Common Stock. On a fully diluted basis (including all of the outstanding shares of the Issuer's Class A Common Stock, the 71,369,131 outstanding shares of Class V-1 Common Stock and the 403,559,196 outstanding shares of the Issuer's Class V-3 common stock, par value $0.0001 per share), the Reporting Person beneficially owns approximately 12.6% of the Issuer's total common stock outstanding, and approximately 5.4% of the aggregate voting power of the Issuer's securities." }, { "accession_no": "0001140361-26-020892", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "KKR Alternative Assets LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 1600000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1600000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1600000.0, "percent_of_class": 17.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "KKR Group Assets Holdings II L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 1600000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1600000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1600000.0, "percent_of_class": 17.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "KKR Group Assets II GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 1600000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1600000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1600000.0, "percent_of_class": 17.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Global Atlantic Limited (Delaware)", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2400000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2400000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2400000.0, "percent_of_class": 26.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Global Atlantic Financial Group Limited", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 2400000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2400000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2400000.0, "percent_of_class": 26.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "The Global Atlantic Financial Group LLC", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 2400000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2400000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2400000.0, "percent_of_class": 26.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "KKR Magnolia Holdings LLC", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 2400000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2400000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2400000.0, "percent_of_class": 26.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "KKR Group Assets Holdings L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2400000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2400000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2400000.0, "percent_of_class": 26.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "KKR Group Assets GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2400000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2400000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2400000.0, "percent_of_class": 26.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 9, "reporting_person_cik": 1472698, "reporting_person_name": "KKR Group Partnership L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 4000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 44.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "KKR Group Holdings Corp.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 4000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 44.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "KKR Group Co. Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 4000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 44.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "KKR & Co. Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 4000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 44.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "KKR Management LLP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 4000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 44.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "Henry R. Kravis", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4000000.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 44.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-020892", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "George R. Roberts", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4000000.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 44.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-020933", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "HHLR Advisors, Ltd.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001140361-26-020933", "person_seq": 1, "reporting_person_cik": 1510589, "reporting_person_name": "Hillhouse Investment Management, Ltd.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001140361-26-021673", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "OCM HLCN Holdings, L.P.", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12437521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12437521.0, "aggregate_amount_owned": 12437521.0, "percent_of_class": 40.82, "type_of_reporting_person": "PN", "comment_content": "The reported securities include 8,446,746 shares of Common Stock issuable upon conversion or redemption of the shares of Preferred Stock (as defined below) directly held by OCM HLCN Holdings, L.P. (\"OCM HLCN\").\n\nAll calculations of percentage ownership herein are based upon an aggregate of 22,018,849 shares of Common Stock outstanding as of May 8, 2026 as set forth in the Quarterly Report on Form 10-Q filed by the Issuer with the SEC on May 13, 2026 (the \"10-Q\"), plus 8,446,746 shares of Common Stock issuable upon conversion or redemption of shares of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001140361-26-021673", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Oaktree Fund GP, LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12437521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12437521.0, "aggregate_amount_owned": 12437521.0, "percent_of_class": 40.82, "type_of_reporting_person": "OO", "comment_content": "The reported securities include 8,446,746 shares of Common Stock issuable upon conversion or redemption of the shares of Preferred Stock (as defined below) directly held by OCM HLCN.\n\nAll calculations of percentage ownership herein are based upon an aggregate of 22,018,849 shares of Common Stock outstanding as of May 8, 2026 as set forth in the Form 10-Q filed by the Issuer with the SEC on May 13, 2026, plus 8,446,746 shares of Common Stock issuable upon conversion or redemption of shares of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001140361-26-021673", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Oaktree Fund GP I, L.P.", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12437521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12437521.0, "aggregate_amount_owned": 12437521.0, "percent_of_class": 40.82, "type_of_reporting_person": "PN", "comment_content": "The reported securities include 8,446,746 shares of Common Stock issuable upon conversion or redemption of the shares of Preferred Stock (as defined below) directly held by OCM HLCN.\n\nAll calculations of percentage ownership herein are based upon an aggregate of 22,018,849 shares of Common Stock outstanding as of May 8, 2026 as set forth in the Form 10-Q filed by the Issuer with the SEC on May 13, 2026, plus 8,446,746 shares of Common Stock issuable upon conversion or redemption of shares of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001140361-26-021673", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Oaktree Capital I, L.P.", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12437521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12437521.0, "aggregate_amount_owned": 12437521.0, "percent_of_class": 40.82, "type_of_reporting_person": "PN", "comment_content": "The reported securities include 8,446,746 shares of Common Stock issuable upon conversion or redemption of the shares of Preferred Stock (as defined below) directly held by OCM HLCN.\n\nAll calculations of percentage ownership herein are based upon an aggregate of 22,018,849 shares of Common Stock outstanding as of May 8, 2026 as set forth in the Form 10-Q filed by the Issuer with the SEC on May 13, 2026, plus 8,446,746 shares of Common Stock issuable upon conversion or redemption of shares of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001140361-26-021673", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Brookfield OCM Holdings II, LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12437521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12437521.0, "aggregate_amount_owned": 12437521.0, "percent_of_class": 40.82, "type_of_reporting_person": "OO", "comment_content": "The reported securities include 8,446,746 shares of Common Stock issuable upon conversion or redemption of the shares of Preferred Stock (as defined below) directly held by OCM HLCN.\n\nAll calculations of percentage ownership herein are based upon an aggregate of 22,018,849 shares of Common Stock outstanding as of May 8, 2026 as set forth in the Form 10-Q filed by the Issuer with the SEC on May 13, 2026, plus 8,446,746 shares of Common Stock issuable upon conversion or redemption of shares of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001140361-26-021673", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Brookfield OCM Holdings, LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12437521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12437521.0, "aggregate_amount_owned": 12437521.0, "percent_of_class": 40.82, "type_of_reporting_person": "OO", "comment_content": "The reported securities include 8,446,746 shares of Common Stock issuable upon conversion or redemption of the shares of Preferred Stock (as defined below) directly held by OCM HLCN.\n\nAll calculations of percentage ownership herein are based upon an aggregate of 22,018,849 shares of Common Stock outstanding as of May 8, 2026 as set forth in the Form 10-Q filed by the Issuer with the SEC on May 13, 2026, plus 8,446,746 shares of Common Stock issuable upon conversion or redemption of shares of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001140361-26-021673", "person_seq": 6, "reporting_person_cik": 1403528, "reporting_person_name": "Brookfield Oaktree Holdings, LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12437521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12437521.0, "aggregate_amount_owned": 12437521.0, "percent_of_class": 40.82, "type_of_reporting_person": "OO", "comment_content": "The reported securities include 8,446,746 shares of Common Stock issuable upon conversion or redemption of the shares of Preferred Stock (as defined below) directly held by OCM HLCN.\n\nAll calculations of percentage ownership herein are based upon an aggregate of 22,018,849 shares of Common Stock outstanding as of May 8, 2026 as set forth in the Form 10-Q filed by the Issuer with the SEC on May 13, 2026, plus 8,446,746 shares of Common Stock issuable upon conversion or redemption of shares of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001140361-26-021673", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Oaktree Capital Group Holdings GP, LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12437521.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12437521.0, "aggregate_amount_owned": 12437521.0, "percent_of_class": 40.82, "type_of_reporting_person": "OO", "comment_content": "The reported securities include 8,446,746 shares of Common Stock issuable upon conversion or redemption of the shares of Preferred Stock (as defined below) directly held by OCM HLCN.\n\nAll calculations of percentage ownership herein are based upon an aggregate of 22,018,849 shares of Common Stock outstanding as of May 8, 2026 as set forth in the Form 10-Q filed by the Issuer with the SEC on May 13, 2026, plus 8,446,746 shares of Common Stock issuable upon conversion or redemption of shares of Preferred Stock beneficially owned by the Reporting Persons." }, { "accession_no": "0001140361-26-021673", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Brookfield Corporation", "fund_type": null, "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-021673", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "BAM Partners Trust", "fund_type": null, "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-021966", "person_seq": 0, "reporting_person_cik": 1536588, "reporting_person_name": "AJB Investment Fund II, LP", "fund_type": "WC", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 244378.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 244378.0, "aggregate_amount_owned": 244378.0, "percent_of_class": 6.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-021966", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "AJB Capital, LLC", "fund_type": "AF", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 244378.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 244378.0, "aggregate_amount_owned": 244378.0, "percent_of_class": 6.9, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001140361-26-021966", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Adam Bradley", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 11400.0, "shared_voting_power": 275666.0, "sole_dispositive_power": 11400.0, "shared_dispositive_power": 275666.0, "aggregate_amount_owned": 287066.0, "percent_of_class": 8.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-021966", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Melinda Bradley", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 263471.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 263471.0, "aggregate_amount_owned": 263471.0, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-022492", "person_seq": 0, "reporting_person_cik": 1715696, "reporting_person_name": "BNDES Participacoes S.A.", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 0.0, "shared_voting_power": 822557996.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 822557996.0, "aggregate_amount_owned": 822557996.0, "percent_of_class": 15.1, "type_of_reporting_person": "CO", "comment_content": "(1)\tIncludes the aggregate amount of 822,557,996 preferred shares without par value (the \"Preferred Shares\") of Petrobras directly beneficially owned by the Reporting Person and over which the Reporting Person shares voting and dispositive power with BNDES, its sole shareholder (where such voting power arises based on the limited appointment rights of holders of Preferred Shares). The Preferred Shares are a separate class of equity securities registered under Section 12(b) of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\"). Although the Preferred Shares do not confer a right to vote on matters generally voted on by holders of common shares of the Issuer (other than certain corporate actions adversely affecting the Preferred Shares), holders of Preferred Shares holding at least 10.0% of Petrobras's total capital stock have the right to appoint and/or dismiss one member to or from Petrobras's board of directors, and holders of Preferred Shares have the right to separately appoint one member to Petrobras's fiscal council (and such member's respective alternate). However, BNDES and BNDESPAR are prevented from voting their Preferred Shares pursuant to a decision issued by the Brazilian Securities Commission (Comissao de Valores Mobiliarios) on December 2, 2014. The Preferred Shares are not convertible into common shares of the Issuer.\n\n(2)\tPercentage of the class beneficially owned is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' report of foreign private issuer on Form 6-K furnished to the U.S. Securities and Exchange Commission on May 12, 2026, containing Petrobras's financial statements in U.S. dollars as of March 31, 2026, and for the three-month periods ended March 31, 2026 and 2025, prepared in accordance with International Financial Reporting Standards as issued by the International Accounting Standards Board (the \"Petrobras 6-K\")." }, { "accession_no": "0001140361-26-022492", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Banco Nacional de Desenvolvimento Economico e Social - BNDES", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 135248258.0, "shared_voting_power": 822557996.0, "sole_dispositive_power": 135248258.0, "shared_dispositive_power": 822557996.0, "aggregate_amount_owned": 957806254.0, "percent_of_class": 17.59, "type_of_reporting_person": "CO", "comment_content": "(1)\tIncludes the aggregate amount of 822,557,996 Preferred Shares directly beneficially owned by BNDESPAR and over which the Reporting Person shares voting and dispositive power with BNDESPAR, its direct, wholly-owned subsidiary (where such voting power arises based on the limited appointment rights of holders of Preferred Shares). The Preferred Shares are a separate class of equity securities registered under Section 12(b) of the Exchange Act. Although the Preferred Shares do not confer a right to vote on matters generally voted on by holders of common shares of the Issuer (other than certain corporate actions adversely affecting the Preferred Shares), holders of Preferred Shares holding at least 10.0% of Petrobras's total capital stock have the right to appoint and/or dismiss one member to or from Petrobras's board of directors, and holders of Preferred Shares have the right to separately appoint one member to Petrobras's fiscal council (and such member's respective alternate). However, BNDES and BNDESPAR are prevented from voting their Preferred Shares pursuant to a decision issued by the Brazilian Securities Commission (Comissao de Valores Mobiliarios) on December 2, 2014. The Preferred Shares are not convertible into common shares of the Issuer.\n(2)\tThe Reporting Person may be deemed an indirect beneficial owner of the Preferred Shares directly beneficially owned by BNDESPAR, as the sole shareholder of BNDESPAR, along with the Preferred Shares directly owned by the Reporting Person.\n(3)\tPercentage of the class beneficially owned is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' 6-K." }, { "accession_no": "0001140361-26-022646", "person_seq": 0, "reporting_person_cik": 1474241, "reporting_person_name": "Oaktree Value Opportunities Fund Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1560126.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1560126.0, "aggregate_amount_owned": 1560126.0, "percent_of_class": 0.83, "type_of_reporting_person": "PN", "comment_content": "The percent of class is calculated based upon 187,188,503 shares of Common Stock outstanding as of April 24, 2026, as reported on the Form 10-Q filed by the Issuer with the Securities and Exchange Commission (\"SEC\") on April 30, 2026." }, { "accession_no": "0001140361-26-022646", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "OCM Opps GTM Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5256681.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5256681.0, "aggregate_amount_owned": 5256681.0, "percent_of_class": 2.81, "type_of_reporting_person": "OO", "comment_content": "The percent of class is calculated based upon 187,188,503 shares of Common Stock outstanding as of April 24, 2026, as reported on the Form 10-Q filed by the Issuer with the SEC on April 30, 2026." }, { "accession_no": "0001140361-26-022646", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Oaktree Phoenix Investment Fund, L.P.", "fund_type": null, "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 289225.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 289225.0, "aggregate_amount_owned": 289225.0, "percent_of_class": 0.15, "type_of_reporting_person": "PN", "comment_content": "The percent of class is calculated based upon 187,188,503 shares of Common Stock outstanding as of April 24, 2026, as reported on the Form 10-Q filed by the Issuer with the SEC on April 30, 2026." }, { "accession_no": "0001140361-26-022646", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 488784.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 488784.0, "aggregate_amount_owned": 488784.0, "percent_of_class": 0.26, "type_of_reporting_person": "PN", "comment_content": "The percent of class is calculated based upon 187,188,503 shares of Common Stock outstanding as of April 24, 2026, as reported on the Form 10-Q filed by the Issuer with the SEC on April 30, 2026." }, { "accession_no": "0001140361-26-022646", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Oaktree Capital Holdings, LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7594816.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7594816.0, "aggregate_amount_owned": 7594816.0, "percent_of_class": 4.06, "type_of_reporting_person": "OO", "comment_content": "The percent of class is calculated based upon 187,188,503 shares of Common Stock outstanding as of April 24, 2026, as reported on the Form 10-Q filed by the Issuer with the SEC on April 30, 2026." }, { "accession_no": "0001140361-26-022646", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Oaktree Capital Group Holdings GP, LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7594816.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7594816.0, "aggregate_amount_owned": 7594816.0, "percent_of_class": 4.06, "type_of_reporting_person": "OO", "comment_content": "The percent of class is calculated based upon 187,188,503 shares of Common Stock outstanding as of April 24, 2026, as reported on the Form 10-Q filed by the Issuer with the SEC on April 30, 2026." }, { "accession_no": "0001140361-26-022836", "person_seq": 0, "reporting_person_cik": 1747056, "reporting_person_name": "Zhou Min Ni", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3555673.0, "shared_voting_power": 3724.0, "sole_dispositive_power": 3555673.0, "shared_dispositive_power": 3724.0, "aggregate_amount_owned": 3559397.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-023207", "person_seq": 0, "reporting_person_cik": 1667954, "reporting_person_name": "YORKTOWN ENERGY PARTNERS XI, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1284113.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1284113.0, "aggregate_amount_owned": 1284113.0, "percent_of_class": 5.92, "type_of_reporting_person": "PN", "comment_content": "(1)\tThe percent of class represented by the amount in Row (11) is based on 21,695,947 shares of common stock, par value $0.001 per share (\"Common Stock\") issued and outstanding as of May 4, 2026, which is the total number of shares outstanding as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 6, 2026." }, { "accession_no": "0001140361-26-023207", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "YORKTOWN XI COMPANY LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1284113.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1284113.0, "aggregate_amount_owned": 1784113.0, "percent_of_class": 5.92, "type_of_reporting_person": "PN", "comment_content": "(1) These securities are directly held by Yorktown Energy Partners XI, L.P. (\"Yorktown XI\"). Yorktown XI Company LP is the sole general partner of Yorktown XI. As a result, Yorktown XI Company LP may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the shares of Common Stock owned by Yorktown XI. Yorktown XI Company LP disclaims beneficial ownership of the securities owned by Yorktown XI in excess of its pecuniary interests therein.\n\n(2) The percent of class represented by the amount in Row (11) is based on 21,695,947 shares of Common Stock issued and outstanding as of May 4, 2026, which is the total number of shares outstanding as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 6, 2026." }, { "accession_no": "0001140361-26-023207", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "YORKTOWN XI ASSOCIATES LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1284113.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1284113.0, "aggregate_amount_owned": 1284113.0, "percent_of_class": 5.92, "type_of_reporting_person": "OO", "comment_content": "(1) These securities are directly held by Yorktown XI. Yorktown XI Company LP is the sole general partner of Yorktown XI, and Yorktown XI Associates LLC is the sole general partner of Yorktown XI Company LP. As a result, Yorktown XI Associates LLC may be deemed to have the power to vote or direct the vote or to dispose or direct the disposition of the shares owned by Yorktown XI. The managing members of Yorktown XI Associates LLC, who act by majority approval, are Bryan H. Lawrence, W. Howard Keenan, Jr., Peter A. Leidel, Tomas R. LaCosta, Robert A. Signorino and Bryan R. Lawrence. Yorktown XI Company LP and Yorktown XI Associates LLC disclaim beneficial ownership of the securities owned by Yorktown XI in excess of their respective pecuniary interests therein. The managing members of Yorktown XI Associates LLC disclaim beneficial ownership of the securities owned by Yorktown XI.\n\n(2) The percent of class represented by the amount in Row (11) is based on 21,695,947 shares of Common Stock issued and outstanding as of May 4, 2026, which is the total number of shares outstanding as reported in the Issuer's quarterly report on Form 10-Q filed with the SEC on May 6, 2026." }, { "accession_no": "0001140361-26-023385", "person_seq": 0, "reporting_person_cik": 1538165, "reporting_person_name": "Grupo ADO, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "O5", "sole_voting_power": 44311970.0, "shared_voting_power": 22950000.0, "sole_dispositive_power": 44311970.0, "shared_dispositive_power": 22950000.0, "aggregate_amount_owned": 67261970.0, "percent_of_class": 22.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-023385", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Inversiones productivas kierke, s.a. de c.v.", "fund_type": "OO", "citizenship_or_org": "O5", "sole_voting_power": 36989770.0, "shared_voting_power": 22950000.0, "sole_dispositive_power": 36989770.0, "shared_dispositive_power": 22950000.0, "aggregate_amount_owned": 59939770.0, "percent_of_class": 20.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-023389", "person_seq": 0, "reporting_person_cik": 1538165, "reporting_person_name": "Grupo ADO, S.A. de C.V.", "fund_type": "WC", "citizenship_or_org": "O5", "sole_voting_power": 44311970.0, "shared_voting_power": 22950000.0, "sole_dispositive_power": 44311970.0, "shared_dispositive_power": 22950000.0, "aggregate_amount_owned": 67261970.0, "percent_of_class": 22.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-023389", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Inversiones productivas kierke, s.a. de c.v.", "fund_type": "OO", "citizenship_or_org": "O5", "sole_voting_power": 36989770.0, "shared_voting_power": 22950000.0, "sole_dispositive_power": 36989770.0, "shared_dispositive_power": 22950000.0, "aggregate_amount_owned": 59939770.0, "percent_of_class": 20.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-023926", "person_seq": 0, "reporting_person_cik": 1715696, "reporting_person_name": "BNDES Participacoes S.A.", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 0.0, "shared_voting_power": 781451745.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 781451745.0, "aggregate_amount_owned": 781451745.0, "percent_of_class": 14.35, "type_of_reporting_person": "CO", "comment_content": "(1)\tIncludes the aggregate amount of 781,451,745.00 preferred shares without par value (the \"Preferred Shares\") of Petrobras directly beneficially owned by the Reporting Person and over which the Reporting Person shares voting and dispositive power with BNDES, its sole shareholder (where such voting power arises based on the limited appointment rights of holders of Preferred Shares). The Preferred Shares are a separate class of equity securities registered under Section 12(b) of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\"). Although the Preferred Shares do not confer a right to vote on matters generally voted on by holders of common shares of the Issuer (other than certain corporate actions adversely affecting the Preferred Shares), holders of Preferred Shares holding at least 10.0% of Petrobras's total capital stock have the right to appoint and/or dismiss one member to or from Petrobras's board of directors, and holders of Preferred Shares have the right to separately appoint one member to Petrobras's fiscal council (and such member's respective alternate). However, BNDES and BNDESPAR are prevented from voting their Preferred Shares pursuant to a decision issued by the Brazilian Securities Commission (Comissao de Valores Mobiliarios) on December 2, 2014. The Preferred Shares are not convertible into common shares of the Issuer.\n\n(2)\tPercentage of the class beneficially owned is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' report of foreign private issuer on Form 6-K furnished to the U.S. Securities and Exchange Commission on May 12, 2026, containing Petrobras's financial statements in U.S. dollars as of March 31, 2026, and for the three-month periods ended March 31, 2026 and 2025, prepared in accordance with International Financial Reporting Standards as issued by the International Accounting Standards Board (the \"Petrobras 6-K\")." }, { "accession_no": "0001140361-26-023926", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Banco Nacional de Desenvolvimento Economico e Social - BNDES", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 135248258.0, "shared_voting_power": 781451745.0, "sole_dispositive_power": 135248258.0, "shared_dispositive_power": 781451745.0, "aggregate_amount_owned": 916700003.0, "percent_of_class": 16.83, "type_of_reporting_person": "CO", "comment_content": "(1)\tIncludes the aggregate amount of 781,451,745 Preferred Shares directly beneficially owned by BNDESPAR and over which the Reporting Person shares voting and dispositive power with BNDESPAR, its direct, wholly-owned subsidiary (where such voting power arises based on the limited appointment rights of holders of Preferred Shares). The Preferred Shares are a separate class of equity securities registered under Section 12(b) of the Exchange Act. Although the Preferred Shares do not confer a right to vote on matters generally voted on by holders of common shares of the Issuer (other than certain corporate actions adversely affecting the Preferred Shares), holders of Preferred Shares holding at least 10.0% of Petrobras's total capital stock have the right to appoint and/or dismiss one member to or from Petrobras's board of directors, and holders of Preferred Shares have the right to separately appoint one member to Petrobras's fiscal council (and such member's respective alternate). However, BNDES and BNDESPAR are prevented from voting their Preferred Shares pursuant to a decision issued by the Brazilian Securities Commission (Comissao de Valores Mobiliarios) on December 2, 2014. The Preferred Shares are not convertible into common shares of the Issuer.\n\n(2)\tThe Reporting Person may be deemed an indirect beneficial owner of the Preferred Shares directly beneficially owned by BNDESPAR, as the sole shareholder of BNDESPAR, along with the Preferred Shares directly owned by the Reporting Person.\n\n(3)\tPercentage of the class beneficially owned is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' 6-K." }, { "accession_no": "0001140361-26-024263", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "SGF FANG Holdings, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 74036722.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74036722.0, "aggregate_amount_owned": 74036722.0, "percent_of_class": 26.3, "type_of_reporting_person": "PN", "comment_content": "Note to Row 13: Based upon 281,313,297 shares of Company Common Stock outstanding as of May 1, 2026, as disclosed by the Company in its Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on May 6, 2026." }, { "accession_no": "0001140361-26-024263", "person_seq": 1, "reporting_person_cik": 2021141, "reporting_person_name": "Greth Lyndal", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 74036722.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 74036722.0, "aggregate_amount_owned": 74036722.0, "percent_of_class": 26.3, "type_of_reporting_person": "IN", "comment_content": "Note to Row 13: Based upon 281,313,297 shares of Company Common Stock outstanding as of May 1, 2026, as disclosed by the Company in its Form 10-Q filed with the SEC on May 6, 2026." }, { "accession_no": "0001140361-26-024308", "person_seq": 0, "reporting_person_cik": 1890568, "reporting_person_name": "KKR Phoenix Aggregator L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "KKR Phoenix Aggregator GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "KKR Americas Fund XII L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "KKR Associates Americas XII L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "KKR Americas XII Limited.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "KKR Group Partnership L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "KKR Group Holdings Corp.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "KKR Group Co. Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "KKR & Co. Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "KKR Management LLP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26829880.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26829880.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26829880.0, "percent_of_class": 13.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Henry R. Kravis", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 26916102.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 26916102.0, "aggregate_amount_owned": 26916102.0, "percent_of_class": 13.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-024308", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "George R. Roberts", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 26853143.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 26853143.0, "aggregate_amount_owned": 26853143.0, "percent_of_class": 13.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-024479", "person_seq": 0, "reporting_person_cik": 1336528, "reporting_person_name": "Pershing Square Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9000000.0, "shared_dispositive_power": 18852064.0, "aggregate_amount_owned": 27852064.0, "percent_of_class": 46.7, "type_of_reporting_person": "IA", "comment_content": "Item 13 Footnote: This calculation is based on 59,624,589 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026 (the \"Form 10-Q\")." }, { "accession_no": "0001140361-26-024479", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Pershing Square HHH Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 9000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9000000.0, "percent_of_class": 15.1, "type_of_reporting_person": "OO", "comment_content": "Item 13 Footnote: This calculation is based on 59,624,589 shares of Common Stock outstanding as of April 30, 2026, as reported in the Form 10-Q." }, { "accession_no": "0001140361-26-024479", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Pershing Square Inc.", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 9000000.0, "shared_voting_power": 18852064.0, "sole_dispositive_power": 9000000.0, "shared_dispositive_power": 18852064.0, "aggregate_amount_owned": 27852064.0, "percent_of_class": 46.7, "type_of_reporting_person": "CO", "comment_content": "Item 13 Footnote: This calculation is based on 59,624,589 shares of Common Stock outstanding as of April 30, 2026, as reported in the Form 10-Q." }, { "accession_no": "0001140361-26-024479", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Pershing Square Partner Group, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9000000.0, "shared_voting_power": 18852064.0, "sole_dispositive_power": 9000000.0, "shared_dispositive_power": 18852064.0, "aggregate_amount_owned": 27852064.0, "percent_of_class": 46.7, "type_of_reporting_person": "OO", "comment_content": "Item 13 Footnote: This calculation is based on 59,624,589 shares of Common Stock outstanding as of April 30, 2026, as reported in the Form 10-Q." }, { "accession_no": "0001140361-26-024479", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Pershing Square Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9000000.0, "shared_voting_power": 18852064.0, "sole_dispositive_power": 9000000.0, "shared_dispositive_power": 18852064.0, "aggregate_amount_owned": 27852064.0, "percent_of_class": 46.7, "type_of_reporting_person": "OO", "comment_content": "Item 13 Footnote: This calculation is based on 59,624,589 shares of Common Stock outstanding as of April 30, 2026, as reported in the Form 10-Q." }, { "accession_no": "0001140361-26-024479", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "William A. Ackman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 9000000.0, "shared_voting_power": 18852064.0, "sole_dispositive_power": 9000000.0, "shared_dispositive_power": 18852064.0, "aggregate_amount_owned": 27852064.0, "percent_of_class": 46.7, "type_of_reporting_person": "IN", "comment_content": "Item 13 Footnote: This calculation is based on 59,624,589 shares of Common Stock outstanding as of April 30, 2026, as reported in the Form 10-Q." }, { "accession_no": "0001140361-26-024531", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "WPGG 14 Orion Investments, L.P. (\"WPGG14 Investor\")", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6415008.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6415008.0, "aggregate_amount_owned": 6415008.0, "percent_of_class": 6.6, "type_of_reporting_person": "PN", "comment_content": "Consists of 6,415,008 shares of common stock, par value $0.01 per share (\"Common Stock\") of OceanFirst Financial Corp. (the \"Issuer\") directly held by WPGG14 Investor. Does not includes shares of Common Stock exchangeable (other than by WPGG14 Investor) for non-voting, common equivalent stock, par value $0.01 per share, of the Issuer (the \"NVCE Stock\") (including shares of NVCE Stock for which the Warrants (as defined herein) may be exercised) directly held by WPGG14 Investor, which are not exchangeable by WPGG14 Investor, as described in Item 4 hereof. The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the Securities and Exchange Commission (the \"SEC\") on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "WPFS II Orion Investments, L.P. (\"WPFSII Investor\")", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3159631.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3159631.0, "aggregate_amount_owned": 3159631.0, "percent_of_class": 3.3, "type_of_reporting_person": "PN", "comment_content": "Consists of 3,159,631 shares of Common Stock of the Issuer directly held by WPFSII Investor. Does not include shares of Common Stock exchangeable (other than by WPFSII Investor) for NVCE Stock (including shares of NVCE Stock for which the Warrants may be exercised) directly held by WPFSII Investor, which are not exchangeable by WPFSII Investor, as described in Item 4 hereof. The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus (Callisto) Global Growth 14 (Cayman), L.P. (\"WP Callisto 14\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1688558.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1688558.0, "aggregate_amount_owned": 1688558.0, "percent_of_class": 1.7, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. The beneficial ownership reported has been rounded to the nearest whole share.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus (Europa) Global Growth 14 (Cayman), L.P. (\"WP Europa 14\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 877188.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 877188.0, "aggregate_amount_owned": 877188.0, "percent_of_class": 0.9, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. The beneficial ownership reported has been rounded to the nearest whole share.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus Global Growth 14-B (Cayman), L.P. (\"WP Global Growth 14-B\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2147167.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2147167.0, "aggregate_amount_owned": 2147167.0, "percent_of_class": 2.2, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. The beneficial ownership reported has been rounded to the nearest whole share.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus Global Growth 14-E (Cayman), L.P. (\"WP Global Growth 14-E\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 706806.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 706806.0, "aggregate_amount_owned": 706806.0, "percent_of_class": 0.7, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. The beneficial ownership reported has been rounded to the nearest whole share.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus Global Growth 14 Partners (Cayman), L.P. (\"Warburg Pincus Global Growth 14 Partners\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 272702.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 272702.0, "aggregate_amount_owned": 272702.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "WP Global Growth 14 Partners (Cayman), L.P. (\"WP Global Growth 14 Partners\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 722587.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 722587.0, "aggregate_amount_owned": 722587.0, "percent_of_class": 0.7, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. The beneficial ownership reported has been rounded to the nearest whole share.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus Financial Sector II (Cayman), L.P. (\"WP Financial Sector II LP\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2643758.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2643758.0, "aggregate_amount_owned": 2643758.0, "percent_of_class": 2.7, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. The beneficial ownership reported has been rounded to the nearest whole share.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus Financial Sector II-E (Cayman), L.P. (\"WP Financial Sector II-E\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 250401.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 250401.0, "aggregate_amount_owned": 250401.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. The beneficial ownership reported has been rounded to the nearest whole share.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus Financial Sector II Partners (Cayman), L.P. (\"WP Financial Sector II Partners\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 265472.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 265472.0, "aggregate_amount_owned": 265472.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. The beneficial ownership reported has been rounded to the nearest whole share.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "WPGG 14 Orion Investments GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6415008.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6415008.0, "aggregate_amount_owned": 6415008.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. Based on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "WPFS II Orion Investments GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3159631.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3159631.0, "aggregate_amount_owned": 3159631.0, "percent_of_class": 3.3, "type_of_reporting_person": "OO", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference. Based on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus (Cayman) Global Growth 14 GP, L.P. (\"WPGG Cayman 14 GP\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 6415008.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6415008.0, "aggregate_amount_owned": 6415008.0, "percent_of_class": 6.6, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus (Cayman) Global Growth 14 GP LLC (\"WPGG Cayman 14 GP LLC\")", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6415008.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6415008.0, "aggregate_amount_owned": 6415008.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus (Cayman) Financial Sector II GP, L.P. (\"WPFS Cayman II GP\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3159631.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3159631.0, "aggregate_amount_owned": 3159631.0, "percent_of_class": 3.3, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 16, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus (Cayman) Financial Sector II GP LLC (\"WPFS Cayman II GP LLC\")", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3159631.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3159631.0, "aggregate_amount_owned": 3159631.0, "percent_of_class": 3.3, "type_of_reporting_person": "OO", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 17, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus Partners II (Cayman), L.P. (\"WPP II Cayman\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 9574639.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9574639.0, "aggregate_amount_owned": 9574639.0, "percent_of_class": 9.9, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 18, "reporting_person_cik": null, "reporting_person_name": "Warburg Pincus (Bermuda) Private Equity GP Ltd. (\"WP Bermuda GP\")", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 9574639.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9574639.0, "aggregate_amount_owned": 9574639.0, "percent_of_class": 9.9, "type_of_reporting_person": "PN", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024531", "person_seq": 19, "reporting_person_cik": 1162870, "reporting_person_name": "Warburg Pincus LLC (\"WP LLC\")", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 9574639.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9574639.0, "aggregate_amount_owned": 9574639.0, "percent_of_class": 9.9, "type_of_reporting_person": "OO", "comment_content": "The information set forth in Items 2, 3, 4, 5 and 6 is incorporated herein by reference.\nBased on approximately 96.7 million shares of Common Stock issued and outstanding as of June 1, 2026 as reported in the Issuer's Current Report on Form 8-K, as filed with the SEC on June 1, 2026." }, { "accession_no": "0001140361-26-024534", "person_seq": 0, "reporting_person_cik": 1441449, "reporting_person_name": "Qatar Investment Authority", "fund_type": "OO", "citizenship_or_org": "S3", "sole_voting_power": 14065268.3, "shared_voting_power": 0.0, "sole_dispositive_power": 14065268.3, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14065268.3, "percent_of_class": 97.08, "type_of_reporting_person": "OO", "comment_content": "* Based on 14,487,726 Units issued and outstanding as of May 12, 2026, filed with the Securities and Exchange Commission with respect to the Issuer on May 12, 2026, which does not give effect to the issuance of Units pursuant to Drawdown Notices dated June 4, 2026." }, { "accession_no": "0001140361-26-025066", "person_seq": 0, "reporting_person_cik": 2139242, "reporting_person_name": "Mercedes-Benz Corporate Investments LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 8669995.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8669995.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8669995.0, "percent_of_class": 8.1, "type_of_reporting_person": "OO", "comment_content": "1. This percentage is based on a total of 107,023,245 shares of Series A Common Stock issued and outstanding as of June 5, 2026 upon completion of the Business Combination , as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of all 15,512,744 shares of Series B Common Stock (each of which is exchangeable for one share of Series A Common Stock)." }, { "accession_no": "0001140361-26-025447", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Butterfield Fiduciary Administrators Trust Company Limited", "fund_type": "OO", "citizenship_or_org": "Y7", "sole_voting_power": 21366927.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21366927.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 21366927.0, "percent_of_class": 4.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-025447", "person_seq": 1, "reporting_person_cik": 1814880, "reporting_person_name": "Severgnini Achille G.", "fund_type": "OO", "citizenship_or_org": "L6", "sole_voting_power": 21366927.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21366927.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 21366927.0, "percent_of_class": 4.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-025475", "person_seq": 0, "reporting_person_cik": 1799787, "reporting_person_name": "HighSage Ventures LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14479835.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14479835.0, "aggregate_amount_owned": 14479835.0, "percent_of_class": 4.9, "type_of_reporting_person": "OO", "comment_content": "The percentage of Common Stock (as defined herein) beneficially owned by the Reporting Person is based on 294,718,034 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's (as defined herein) quarterly report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission (the \"Commission\") on May 11, 2026." }, { "accession_no": "0001140361-26-025475", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Jennifer Stier", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20410148.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20410148.0, "aggregate_amount_owned": 20410148.0, "percent_of_class": 6.9, "type_of_reporting_person": "IN", "comment_content": "The percentage of Common Stock beneficially owned by the Reporting Person is based on 294,718,034 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's quarterly report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Commission on May 11, 2026." }, { "accession_no": "0001140361-26-025964", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Tiga Investments Eighty-Eight Pte Ltd", "fund_type": "PF", "citizenship_or_org": "U0", "sole_voting_power": 85926333.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85926333.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85926333.0, "percent_of_class": 48.3, "type_of_reporting_person": "CO", "comment_content": "The percentage used herein is calculated based on 177,725,977 shares of the Common Stock of the Issuer outstanding as of May 6, 2026 as reported on the Issuer's Quarterly Report on Form 10-Q filed on May 8, 2026." }, { "accession_no": "0001140361-26-025964", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tiga Investments Pte. Ltd.", "fund_type": "PF", "citizenship_or_org": "U0", "sole_voting_power": 85926333.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85926333.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85926333.0, "percent_of_class": 48.3, "type_of_reporting_person": "CO", "comment_content": "The percentage used herein is calculated based on 177,725,977 shares of the Common Stock of the Issuer outstanding as of May 6, 2026 as reported on the Issuer's Quarterly Report on Form 10-Q filed on May 8, 2026." }, { "accession_no": "0001140361-26-025964", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Big Timber Holdings, LLC", "fund_type": "PF", "citizenship_or_org": "U0", "sole_voting_power": 1385507.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1385507.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1385507.0, "percent_of_class": 0.8, "type_of_reporting_person": "CO", "comment_content": "The percentage used herein is calculated based on 177,725,977 shares of the Common Stock of the Issuer outstanding as of May 6, 2026 as reported on the Issuer's Quarterly Report on Form 10-Q filed on May 8, 2026." }, { "accession_no": "0001140361-26-025964", "person_seq": 3, "reporting_person_cik": 1833678, "reporting_person_name": "Zage George Raymond III", "fund_type": "PF", "citizenship_or_org": "U0", "sole_voting_power": 95439583.0, "shared_voting_power": 0.0, "sole_dispositive_power": 95439583.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 95439583.0, "percent_of_class": 53.7, "type_of_reporting_person": "IN", "comment_content": "The percentage used herein is calculated based on 177,725,977 shares of the Common Stock of the Issuer outstanding as of May 6, 2026 as reported on the Issuer's Quarterly Report on Form 10-Q filed on May 8, 2026." }, { "accession_no": "0001140361-26-026091", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "OCM NJORD HOLDINGS S.A R.L.", "fund_type": "WC", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 20329874.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20329874.0, "aggregate_amount_owned": 20329874.0, "percent_of_class": 19.86, "type_of_reporting_person": "OO", "comment_content": "The percent of class is calculated based on 102,367,118 shares of Class A common shares, par value $0.01 per share (the \"Class A Shares\") outstanding as of June 2, 2026, as reported in Exhibit 99.1 to the Issuer's Form 6-K filed with the Securities and Exchange Commission on June 2, 2026 (the \"Form 6-K\")." }, { "accession_no": "0001140361-26-026091", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "OAKTREE CAPITAL MANAGEMENT GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20329874.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20329874.0, "aggregate_amount_owned": 20329874.0, "percent_of_class": 19.86, "type_of_reporting_person": "OO", "comment_content": "The percent of class is calculated based on 102,367,118 Class A Shares outstanding as of June 2, 2026, as reported in the Issuer's Form 6-K." }, { "accession_no": "0001140361-26-026091", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "OAKTREE CAPITAL HOLDINGS, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20329874.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20329874.0, "aggregate_amount_owned": 20329874.0, "percent_of_class": 19.86, "type_of_reporting_person": "OO", "comment_content": "The percent of class is calculated based on 102,367,118 Class A Shares outstanding as of June 2, 2026, as reported in the Issuer's Form 6-K." }, { "accession_no": "0001140361-26-026091", "person_seq": 3, "reporting_person_cik": 1403525, "reporting_person_name": "OAKTREE CAPITAL GROUP HOLDINGS GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20329874.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20329874.0, "aggregate_amount_owned": 20329874.0, "percent_of_class": 19.86, "type_of_reporting_person": "OO", "comment_content": "The percent of class is calculated based on 102,367,118 Class A Shares outstanding as of June 2, 2026, as reported in the Issuer's Form 6-K." }, { "accession_no": "0001140361-26-026121", "person_seq": 0, "reporting_person_cik": 1820655, "reporting_person_name": "KKR Alternative Assets L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "KKR Alternative Assets Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "KKR Group Assets Holdings II L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "KKR Group Assets II GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "KKR Group Partnership L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "KKR Group Holdings Corp.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "KKR Group Co. Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "KKR & Co. Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "KKR Management LLP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 22582961.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22582961.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Henry R. Kravis", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 22582961.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22582961.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-026121", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "George R. Roberts", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 22582961.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22582961.0, "aggregate_amount_owned": 22582961.0, "percent_of_class": 7.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-026794", "person_seq": 0, "reporting_person_cik": 1441449, "reporting_person_name": "Qatar Investment Authority", "fund_type": "OO", "citizenship_or_org": "S3", "sole_voting_power": 87659000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 87659000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 87659000.0, "percent_of_class": 16.8, "type_of_reporting_person": "OO", "comment_content": "* Based on 521,455,950 shares of Class A common stock, par value $0.0001 per share (\"Class A Common Stock\") issued and outstanding as of May 7, 2026 as set forth on Form 10-Q filed by the Issuer with the Securities and Exchange Commission (the \"SEC\") on May 11, 2026." }, { "accession_no": "0001140361-26-027437", "person_seq": 0, "reporting_person_cik": 2044902, "reporting_person_name": "Atlantis Holding Corp. /RMI/", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 0.0, "shared_voting_power": 23954522.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23954522.0, "aggregate_amount_owned": 23954522.0, "percent_of_class": 86.4, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 8, 10 and 11:\nThis amount includes (i) 1,000 Common Shares, $0.001 par value per share (\"Common Shares\") of Icon Energy Corp. (the \"Issuer\") and (ii) 23,953,522 Common Shares that may be deemed to be beneficially owned by the Reporting Person as of June 30, 2026, issuable upon the hypothetical conversion of 21,390 Series A Cumulative Convertible Perpetual Preferred Shares (\"Series A Preferred Shares\") of the Issuer owned by the Reporting Person. All Series A Preferred Shares (but not a portion) are convertible to Common Shares commencing July 16, 2025 and until July 15, 2032. See Item 3 for a description of the terms of the Series A Preferred Shares.\n\nNote to Row 13:\nCalculated pursuant to Rule 13d-3(d)(1)(i) based on (i) the 3,759,314 Common Shares outstanding as of June 30, 2026, as provided by the Issuer to the Reporting Person, and (ii) and the 23,953,522 Common Shares issuable upon the hypothetical conversion of the 21,390 Series A Preferred Shares owned by the Reporting Person as of June 30, 2026." }, { "accession_no": "0001140361-26-027437", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Ismini Panagiotidi", "fund_type": "OO", "citizenship_or_org": "J3", "sole_voting_power": 0.0, "shared_voting_power": 23954522.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23954522.0, "aggregate_amount_owned": 23954522.0, "percent_of_class": 86.4, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 8, 10 and 11:\nThis amount includes (i) 1,000 Common Shares, $0.001 par value per share (\"Common Shares\") of Icon Energy Corp. (the \"Issuer\") and (ii) 23,953,522 Common Shares that may be deemed to be beneficially owned by the Reporting Person as of June 30, 2026, issuable upon the hypothetical conversion of 21,390 Series A Cumulative Convertible Perpetual Preferred Shares (\"Series A Preferred Shares\") of the Issuer owned by the Reporting Person. All Series A Preferred Shares (but not a portion) are convertible to Common Shares commencing July 16, 2025 and until July 15, 2032. See Item 3 for a description of the terms of the Series A Preferred Shares.\n\nNote to Row 13:\nCalculated pursuant to Rule 13d-3(d)(1)(i) based on (i) the 3,759,314 Common Shares outstanding as of June 30, 2026, as provided by the Issuer to the Reporting Person, and (ii) and the 23,953,522 Common Shares issuable upon the hypothetical conversion of the 21,390 Series A Preferred Shares owned by the Reporting Person as of June 30, 2026." }, { "accession_no": "0001140361-26-027506", "person_seq": 0, "reporting_person_cik": 225602, "reporting_person_name": "Massachusetts Mutual Life Insurance Company", "fund_type": "WC", "citizenship_or_org": "MA", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IC", "comment_content": null }, { "accession_no": "0001140361-26-028176", "person_seq": 0, "reporting_person_cik": 1166573, "reporting_person_name": "TowerView LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 2700000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2700000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2700000.0, "percent_of_class": 7.3, "type_of_reporting_person": "OO", "comment_content": "*Based on 37,185,686 shares of the Issuer's common stock outstanding as of December 31, 2025, as reported by the Issuer in its Form 20-F filed with the SEC on April 28, 2026." }, { "accession_no": "0001140361-26-028176", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Daniel R. Tisch", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2700000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2700000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2700000.0, "percent_of_class": 7.3, "type_of_reporting_person": "IN", "comment_content": "* Based on 37,185,686 shares of the Issuer's common stock outstanding as of December 31, 2025, as reported by the Issuer in its Form 20-F filed with the SEC on April 28, 2026." }, { "accession_no": "0001140361-26-029018", "person_seq": 0, "reporting_person_cik": 1715696, "reporting_person_name": "BNDES Participacoes S.A.", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 0.0, "shared_voting_power": 730495645.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 730495645.0, "aggregate_amount_owned": 730495645.0, "percent_of_class": 13.41, "type_of_reporting_person": "CO", "comment_content": "(1)\tIncludes the aggregate amount of 730,495,645.00 preferred shares without par value (the \"Preferred Shares\") of Petrobras directly beneficially owned by the Reporting Person and over which the Reporting Person shares voting and dispositive power with BNDES, its sole shareholder (where such voting power arises based on the limited appointment rights of holders of Preferred Shares). The Preferred Shares are a separate class of equity securities registered under Section 12(b) of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\"). Although the Preferred Shares do not confer a right to vote on matters generally voted on by holders of common shares of the Issuer (other than certain corporate actions adversely affecting the Preferred Shares), holders of Preferred Shares holding at least 10.0% of Petrobras's total capital stock have the right to appoint and/or dismiss one member to or from Petrobras's board of directors, and holders of Preferred Shares have the right to separately appoint one member to Petrobras's fiscal council (and such member's respective alternate). However, BNDES and BNDESPAR are prevented from voting their Preferred Shares pursuant to a decision issued by the Brazilian Securities Commission (Comissao de Valores Mobiliarios) on December 2, 2014. The Preferred Shares are not convertible into common shares of the Issuer.\n\n(2)\tPercentage of the class beneficially owned is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' report of foreign private issuer on Form 6-K furnished to the U.S. Securities and Exchange Commission on May 12, 2026, containing Petrobras's financial statements in U.S. dollars as of March 31, 2026, and for the three-month periods ended March 31, 2026 and 2025, prepared in accordance with International Financial Reporting Standards as issued by the International Accounting Standards Board (the \"Petrobras 6-K\")." }, { "accession_no": "0001140361-26-029018", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Banco Nacional de Desenvolvimento Economico e Social - BNDES", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 135248258.0, "shared_voting_power": 730495645.0, "sole_dispositive_power": 135248258.0, "shared_dispositive_power": 730495645.0, "aggregate_amount_owned": 865743903.0, "percent_of_class": 15.9, "type_of_reporting_person": "CO", "comment_content": "(1)\tIncludes the aggregate amount of 730,495,645.00 Preferred Shares directly beneficially owned by BNDESPAR and over which the Reporting Person shares voting and dispositive power with BNDESPAR, its direct, wholly-owned subsidiary (where such voting power arises based on the limited appointment rights of holders of Preferred Shares). The Preferred Shares are a separate class of equity securities registered under Section 12(b) of the Exchange Act. Although the Preferred Shares do not confer a right to vote on matters generally voted on by holders of common shares of the Issuer (other than certain corporate actions adversely affecting the Preferred Shares), holders of Preferred Shares holding at least 10.0% of Petrobras's total capital stock have the right to appoint and/or dismiss one member to or from Petrobras's board of directors, and holders of Preferred Shares have the right to separately appoint one member to Petrobras's fiscal council (and such member's respective alternate). However, BNDES and BNDESPAR are prevented from voting their Preferred Shares pursuant to a decision issued by the Brazilian Securities Commission (Comissao de Valores Mobiliarios) on December 2, 2014. The Preferred Shares are not convertible into common shares of the Issuer.\n\n(2)\tThe Reporting Person may be deemed an indirect beneficial owner of the Preferred Shares directly beneficially owned by BNDESPAR, as the sole shareholder of BNDESPAR, along with the Preferred Shares directly owned by the Reporting Person.\n\n(3)\tPercentage of the class beneficially owned is calculated based on 5,446,501,379 Preferred Shares of the Issuer outstanding as of March 31, 2026, as reported in Petrobras' 6-K." }, { "accession_no": "0001140361-26-030076", "person_seq": 0, "reporting_person_cik": 1441449, "reporting_person_name": "Qatar Investment Authority", "fund_type": "OO", "citizenship_or_org": "S3", "sole_voting_power": 16126521.88, "shared_voting_power": 0.0, "sole_dispositive_power": 16126521.88, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 16126521.88, "percent_of_class": 97.08, "type_of_reporting_person": "OO", "comment_content": "* Based on 16,610,817.537 Units issued and outstanding as of June 29, 2026, based on information filed with the Securities and Exchange Commission with respect to the Issuer on June 29, 2026, which does not give effect to the issuance of Units pursuant to Drawdown Notices dated July 24, 2026." }, { "accession_no": "0001140361-26-030302", "person_seq": 0, "reporting_person_cik": 1886697, "reporting_person_name": "JSS LTF Holdings Ltd", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-030302", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Colwood Investment Holding Inc.", "fund_type": "AF", "citizenship_or_org": "R1", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-030302", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "JSS Private Investments Fund I", "fund_type": "AF", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-030302", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "JSS Private Equity Investments Fund GP S.a.r.l", "fund_type": "AF", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-030302", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "J. Safra Sarasin Fund Management (Luxembourg) S.A.", "fund_type": "AF", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-030302", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "J. Safra Sarasin Asset Management (Europe) Limited", "fund_type": "AF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-030302", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "J. Safra Sarasin Holding AG", "fund_type": "AF", "citizenship_or_org": "V8", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-030302", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "J. Safra Holdings Luxembourg S.a.r.l.", "fund_type": "AF", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-030302", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "JS International Holdings Limited", "fund_type": "AF", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 3378564.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3378564.0, "aggregate_amount_owned": 3378564.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001140361-26-031060", "person_seq": 0, "reporting_person_cik": 1694903, "reporting_person_name": "Richard E. Uihlein", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 54673646.0, "shared_voting_power": null, "sole_dispositive_power": 54673646.0, "shared_dispositive_power": null, "aggregate_amount_owned": 54673646.0, "percent_of_class": 49.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-031415", "person_seq": 0, "reporting_person_cik": 1767640, "reporting_person_name": "PUBLIC INVESTMENT FUND", "fund_type": "OO", "citizenship_or_org": "T0", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001140361-26-031842", "person_seq": 0, "reporting_person_cik": 1009879, "reporting_person_name": "Andrew H. Tisch", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 14184959.0, "shared_voting_power": 840000.0, "sole_dispositive_power": 14184959.0, "shared_dispositive_power": 840000.0, "aggregate_amount_owned": 15024959.0, "percent_of_class": 7.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-031845", "person_seq": 0, "reporting_person_cik": 1010178, "reporting_person_name": "James S. Tisch", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 13882713.0, "shared_voting_power": 3385037.0, "sole_dispositive_power": 13882713.0, "shared_dispositive_power": 3385037.0, "aggregate_amount_owned": 17267750.0, "percent_of_class": 8.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001140361-26-031878", "person_seq": 0, "reporting_person_cik": 938552, "reporting_person_name": "Equinox Partners Investment Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4781471.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4781471.0, "aggregate_amount_owned": 4781471.0, "percent_of_class": 13.5, "type_of_reporting_person": "IA", "comment_content": "Note to Row 8: Includes 1,938,294 shares of Common Stock, par value $0.001 per share (the \"Shares\") of Gran Tierra Energy Inc. (the \"Issuer\") held in one or more client accounts over which Equinox Partners Investment Management LLC, as investment advisor, has shared voting and dispositive power. The filing of this statement should not be deemed as admission that Equinox Partners Investment Management LLC is, for the purposes of Section 13 of the Act, the beneficial owner of the Shares held in such client account(s)." }, { "accession_no": "0001140361-26-031878", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Equinox Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1936337.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1936337.0, "aggregate_amount_owned": 1936337.0, "percent_of_class": 5.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-031878", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Kuroto Fund LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 494508.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 494508.0, "aggregate_amount_owned": 494508.0, "percent_of_class": 1.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-031878", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Mason Hill Partners, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 412332.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 412332.0, "aggregate_amount_owned": 412332.0, "percent_of_class": 1.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001140361-26-031878", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Sean M. Fieler", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4781471.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4781471.0, "aggregate_amount_owned": 4781471.0, "percent_of_class": 13.5, "type_of_reporting_person": "IN", "comment_content": "Note to Row 8: See Footnote 1 on page 2. The filing of this statement should not be deemed an admission that Mr. Fieler is, for the purposes of Section 13 of the Act, the beneficial owner of the Shares held in such client account(s)." }, { "accession_no": "0001161697-26-000118", "person_seq": 0, "reporting_person_cik": 1567994, "reporting_person_name": "Horton Capital Partners Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2309775.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2309775.0, "aggregate_amount_owned": 2309775.0, "percent_of_class": 6.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001161697-26-000118", "person_seq": 1, "reporting_person_cik": 1575443, "reporting_person_name": "Horton Capital Partners, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2309775.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2309775.0, "aggregate_amount_owned": 2309775.0, "percent_of_class": 6.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001161697-26-000118", "person_seq": 2, "reporting_person_cik": 1575444, "reporting_person_name": "Horton Capital Management, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2309775.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2309775.0, "aggregate_amount_owned": 2309775.0, "percent_of_class": 6.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001161697-26-000118", "person_seq": 3, "reporting_person_cik": 1664091, "reporting_person_name": "Joseph M. Manko, Jr.", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2309775.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2309775.0, "aggregate_amount_owned": 2309775.0, "percent_of_class": 6.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001170549-26-000002", "person_seq": 0, "reporting_person_cik": 1170549, "reporting_person_name": "LEHMAN KENNETH R", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 11500000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11500000.0, "percent_of_class": 42.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001171520-26-000108", "person_seq": 0, "reporting_person_cik": 1781002, "reporting_person_name": "Bleichroeder LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 3182239.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3182239.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3182239.0, "percent_of_class": 33.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001171520-26-000108", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bleichroeder Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 3182239.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3182239.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3182239.0, "percent_of_class": 33.7, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001171520-26-000108", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Andrew Gundlach", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 3182239.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3182239.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3182239.0, "percent_of_class": 33.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001171520-26-000133", "person_seq": 0, "reporting_person_cik": 1781002, "reporting_person_name": "Bleichroeder LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 6882239.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6882239.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6882239.0, "percent_of_class": 20.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001171520-26-000133", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bleichroeder Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 6882239.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6882239.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6882239.0, "percent_of_class": 20.9, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001171520-26-000133", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Andrew Gundlach", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 6882239.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6882239.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6882239.0, "percent_of_class": 20.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001171520-26-000160", "person_seq": 0, "reporting_person_cik": 1781002, "reporting_person_name": "Bleichroeder LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5247467.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5247467.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5247467.0, "percent_of_class": 19.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001171520-26-000160", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bleichroeder Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5247467.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5247467.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5247467.0, "percent_of_class": 19.9, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001171520-26-000160", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Andrew Gundlach", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 5247467.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5247467.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5247467.0, "percent_of_class": 19.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001171843-26-003386", "person_seq": 0, "reporting_person_cik": 2119011, "reporting_person_name": "Gallardo Thurlow Juan Ignacio", "fund_type": "SC", "citizenship_or_org": "O5", "sole_voting_power": 36651505.0, "shared_voting_power": 0.0, "sole_dispositive_power": 36651505.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 36651505.0, "percent_of_class": 6.9, "type_of_reporting_person": "IN", "comment_content": "The Series B shares reported herein includes 12,631,936 Series BB shares convertible into Series B shares. The calculation of the percentage set forth in row 13 above is based on an aggregate 519,226,576 Series B shares outstanding as of May 7, 2026 as disclosed by the Issuer on Form 6-K filed with the Securities and Exchange Commission (\"SEC\") on May 7, 2026, and assumes the conversion of the Series BB shares held by the Reporting Person (as defined below)." }, { "accession_no": "0001171843-26-003512", "person_seq": 0, "reporting_person_cik": 1786648, "reporting_person_name": "Family Trading Inc.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 0.0, "shared_voting_power": 2930718.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2930718.0, "aggregate_amount_owned": 2930718.0, "percent_of_class": 39.25, "type_of_reporting_person": "CO", "comment_content": "Note to row 13: See Item 5(a)." }, { "accession_no": "0001171843-26-003512", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "3 Sororibus Trust", "fund_type": "OO", "citizenship_or_org": "G4", "sole_voting_power": 0.0, "shared_voting_power": 2930718.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2930718.0, "aggregate_amount_owned": 2930718.0, "percent_of_class": 39.25, "type_of_reporting_person": "OO", "comment_content": "Note to rows 8, 10 and 11: 3 Sororibus Trust is an irrevocable trust established for the benefit of certain family members of Mr. Evangelos J. Pistiolis, the President, Chief Executive Officer and Director of the Issuer. 3 Sororibus Trust is the sole shareholder of Family Trading Inc., a Marshall Islands corporation and may be deemed to beneficially own all of the Common Shares beneficially owned by Family Trading, Inc.\n\nNote to rows 8, 10 and 11: Includes 2,930,718 Common Shares held by Family Trading Inc.\n\nNote to row 13: See Item 5(a)." }, { "accession_no": "0001171843-26-003512", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Evangelos J. Pistiolis", "fund_type": "OO", "citizenship_or_org": "J3", "sole_voting_power": 440711.0, "shared_voting_power": 0.0, "sole_dispositive_power": 440711.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 440711.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": "Note to row 13: See Item 5(a)." }, { "accession_no": "0001171843-26-004153", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Pardeep Nijhawan Medicine Professional Corporation", "fund_type": "WC", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 1164676.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1164676.0, "aggregate_amount_owned": 1164676.0, "percent_of_class": 11.2, "type_of_reporting_person": "CO", "comment_content": "For box 13, based on a total of 9,626,964 Common Shares of the Company outstanding as of June 16, 2026, and an additional 326,560 Common Shares underlying vested warrants and an additional 435,414 Common Shares underlying Series A-1 Preferred Shares that are deemed outstanding with respect to this Reporting Person." }, { "accession_no": "0001171843-26-004153", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "The Digestive Health Clinic Inc.", "fund_type": "WC", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 32013.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32013.0, "aggregate_amount_owned": 32013.0, "percent_of_class": 0.3, "type_of_reporting_person": "CO", "comment_content": "For box 13, based on a total of 9,626,964 Common Shares of the Company outstanding as of June 16, 2026." }, { "accession_no": "0001171843-26-004153", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "1968160 Ontario Inc.", "fund_type": "WC", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 53104.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 53104.0, "aggregate_amount_owned": 53104.0, "percent_of_class": 0.6, "type_of_reporting_person": "CO", "comment_content": "For box 13, based on a total of 9,626,964 Common Shares of the Company outstanding as of June 16, 2026." }, { "accession_no": "0001171843-26-004153", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "The New Nijhawan Family Trust 2015", "fund_type": "WC", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 32609.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32609.0, "aggregate_amount_owned": 32609.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "For box 13, based on a total of 9,626,964 Common Shares of the Company outstanding as of June 16, 2026." }, { "accession_no": "0001171843-26-004153", "person_seq": 4, "reporting_person_cik": 1777962, "reporting_person_name": "Pardeep Nijhawan", "fund_type": "AF", "citizenship_or_org": "Z4", "sole_voting_power": 927620.0, "shared_voting_power": 1282402.0, "sole_dispositive_power": 927620.0, "shared_dispositive_power": 1282402.0, "aggregate_amount_owned": 2210022.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "Boxes 8 and 10, consists of 1,164,676 Common Shares beneficially owned by Pardeep Nijhawan Medicine Professional Corporation, 32,013 Common Shares beneficially owned by The Digestive Health Clinic Inc., 53,104 Common Shares beneficially owned by 1968160 Ontario Inc. and 32,609 Common Shares beneficially owned by The New Nijhawan Family Trust 2015. For box 13, based on a total of 9,626,964 Common Shares of the Company outstanding as of June 16, 2026, an additional 56,875 Common Shares underlying vested share options or underlying share options that will vest within 60 days of June 16, 2026, an additional 471,818 Common Shares underlying vested restricted stock units or restricted stock units that will vest within 60 days of June 16, 2026, an additional 326,560 Common Shares underlying vested warrants, an additional 435,414 Common Shares underlying Series A-1 Preferred Shares and an additional 136,833 Common Shares underlying Series B-1 Preferred Shares that are beneficially owned and deemed outstanding with respect to this Reporting Person. Excludes Common Shares underlying Series B-1 Preferred Shares held by Pardeep Nijhawan which are subject to a 19.99% beneficial ownership blocker, Common Shares underlying restricted stock units held by this Reporting Person that will not vest within 60 days of June 16, 2026 and Common Shares underlying share options held by this Reporting Person that will not vest within 60 days of June 16, 2026. The Reporting Person will not have the right to convert any portion of its Series B-1 Preferred Shares if, together with its affiliates, it would beneficially own in excess of 19.99% of the number of Common Shares outstanding immediately after giving effect to such conversion." }, { "accession_no": "0001178913-26-002955", "person_seq": 0, "reporting_person_cik": 1311039, "reporting_person_name": "Joseph Williger", "fund_type": "PF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 8374281.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8374281.0, "aggregate_amount_owned": 8374281.0, "percent_of_class": 60.22, "type_of_reporting_person": "IN", "comment_content": "Rows (8) (10) and (11): Consists of (i) 8,200,542 Ordinary Shares held directly by Willi-Food Investments Ltd. and (ii) 173,739 Ordinary Shares held directly by Zwi Williger (\"ZW\").\n\nJW and ZW disclaim the existence of any group for purposes of Section 13(d) of the Exchange Act. See Item 5. The beneficial ownership of the Ordinary Shares is further described in Item 5.\n\nRow (13): Based on 13,906,412 Ordinary Shares outstanding as of January 15, 2026 (as provided by the Issuer)." }, { "accession_no": "0001178913-26-002955", "person_seq": 1, "reporting_person_cik": 1311040, "reporting_person_name": "Zwi Williger", "fund_type": "PF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 8374281.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8374281.0, "aggregate_amount_owned": 8374281.0, "percent_of_class": 60.22, "type_of_reporting_person": "IN", "comment_content": "Rows (8) (10) and (11): Consists of (i) 8,200,542 Ordinary Shares held directly by Willi-Food Investments Ltd. and (ii) 173,739 Ordinary Shares held directly by Zwi Williger (\"ZW\").\n\nJW and ZW disclaim the existence of any group for purposes of Section 13(d) of the Exchange Act. See Item 5. The beneficial ownership of the Ordinary Shares is further described in Item 5.\n\nRow (13): Based on 13,906,412 Ordinary Shares outstanding as of January 15, 2026 (as provided by the Issuer)." }, { "accession_no": "0001178913-26-002955", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "B.S.D Crown LTD.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 8200542.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8200542.0, "aggregate_amount_owned": 8200542.0, "percent_of_class": 58.97, "type_of_reporting_person": "CO", "comment_content": "Rows (8) (10) and (11): Consists of 8,200,542 Ordinary Shares held directly by Willi-Food Investments Ltd.\n\nRow (13): Based on 13,906,412 Ordinary Shares outstanding as of January 15, 2026 (as provided by the Issuer)." }, { "accession_no": "0001178913-26-002955", "person_seq": 3, "reporting_person_cik": 1309858, "reporting_person_name": "Willi-Food Investments Ltd", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 8200542.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8200542.0, "aggregate_amount_owned": 8200542.0, "percent_of_class": 58.97, "type_of_reporting_person": "CO", "comment_content": "Row (13): Based on 13,906,412 Ordinary Shares outstanding as of January 15, 2026 (as provided by the Issuer). The beneficial ownership of the Ordinary Shares is further described in Item 5." }, { "accession_no": "0001178913-26-003049", "person_seq": 0, "reporting_person_cik": 1870364, "reporting_person_name": "Y.D. More Investments Ltd", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 900000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 900000.0, "aggregate_amount_owned": 900000.0, "percent_of_class": 19.99, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 450,000 shares and an additional 450,000 shares underlying warrants, although those warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" provision were disregarded, the 900,000 shares beneficially owned would constitute 23.3% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003049", "person_seq": 1, "reporting_person_cik": 2005938, "reporting_person_name": "More Provident Funds & Pension Ltd.", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 800000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 800000.0, "aggregate_amount_owned": 800000.0, "percent_of_class": 19.99, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 400,000 shares and an additional 400,000 shares underlying warrants, although those warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" limitation were disregarded, the 800,000 shares beneficially owned would constitute 21.0% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003049", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "More Co-Invest (L.P.), Limited Partnership", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 100000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 100000.0, "aggregate_amount_owned": 100000.0, "percent_of_class": 2.9, "type_of_reporting_person": "PN", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 50,000 shares and an additional 50,000 shares underlying warrants held by the Reporting Person. The percent of class is based on 3,457,977 shares, comprised of 3,407,977 shares of common stock issued and outstanding as of May 19, 2026, as set forth in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 20, 2026, plus 50,000 shares of common stock issuable upon exercise of warrants held by the Reporting Person." }, { "accession_no": "0001178913-26-003049", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "B.Y.M. Mor Investments Ltd.", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 900000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 900000.0, "aggregate_amount_owned": 900000.0, "percent_of_class": 19.99, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 450,000 shares and an additional 450,000 shares underlying warrants, although those warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" provision were disregarded, the 900,000 shares beneficially owned would constitute 23.3% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003049", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Eli Levy", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 900000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 900000.0, "aggregate_amount_owned": 900000.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 450,000 shares and an additional 450,000 shares underlying warrants, although those warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" provision were disregarded, the 900,000 shares beneficially owned would constitute 23.3% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003049", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Yosef Levy", "fund_type": "PF", "citizenship_or_org": "L3", "sole_voting_power": 24000.0, "shared_voting_power": 900000.0, "sole_dispositive_power": 24000.0, "shared_dispositive_power": 900000.0, "aggregate_amount_owned": 924000.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 450,000 shares and an additional 450,000 shares underlying warrants beneficially owned via Y.D. More Investments Ltd., as well as 12,000 shares and an additional 12,000 shares underlying warrants held personally by the Reporting Person, although any such warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" provision were disregarded, the 924,000 shares beneficially owned would constitute 23.9% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003049", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Benjamin Meirov", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 900000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 900000.0, "aggregate_amount_owned": 900000.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 450,000 shares and an additional 450,000 shares underlying warrants, although those warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" provision were disregarded, the 900,000 shares beneficially owned would constitute 23.3% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003049", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Yosef Meirov", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 900000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 900000.0, "aggregate_amount_owned": 900000.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 450,000 shares and an additional 450,000 shares underlying warrants, although those warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" provision were disregarded, the 900,000 shares beneficially owned would constitute 23.3% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003049", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Michael Meirov", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 900000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 900000.0, "aggregate_amount_owned": 900000.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 450,000 shares and an additional 450,000 shares underlying warrants, although those warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" provision were disregarded, the 900,000 shares beneficially owned would constitute 23.3% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003049", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Dotan Meirov", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 900000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 900000.0, "aggregate_amount_owned": 900000.0, "percent_of_class": 19.99, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11 and 13: The shares beneficially owned consist of 450,000 shares and an additional 450,000 shares underlying warrants, although those warrants may only be exercised to the extent such exercise does not cause the Reporting Person to exceed 19.99% beneficial ownership. If that 19.99% \"blocker\" provision were disregarded, the 900,000 shares beneficially owned would constitute 23.3% of the Issuer's outstanding common stock (including shares underlying the warrants)." }, { "accession_no": "0001178913-26-003747", "person_seq": 0, "reporting_person_cik": 2117505, "reporting_person_name": "O.Y. Nofar Energy Ltd.", "fund_type": "BK", "citizenship_or_org": "L3", "sole_voting_power": 10340946.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10340946.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10340946.0, "percent_of_class": 75.0, "type_of_reporting_person": "CO", "comment_content": "The percentage ownership reflected in row (13) is based on 13,783,230 Ordinary Shares of the Issuer outstanding as of July 31, 2026, based on information available at the website of the Tel Aviv Stock Exchange (the \"TASE\") as of that date." }, { "accession_no": "0001178913-26-003747", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Yannay Group Ltd.", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 10340946.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10340946.0, "aggregate_amount_owned": 10340946.0, "percent_of_class": 75.0, "type_of_reporting_person": "CO", "comment_content": "The percentage ownership reflected in row (13) is based on 13,783,230 Ordinary Shares of the Issuer outstanding as of July 31, 2026, based on information available at the website of the TASE as of that date." }, { "accession_no": "0001178913-26-003747", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Ofer Yannay", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 10340946.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10340946.0, "aggregate_amount_owned": 10340946.0, "percent_of_class": 75.0, "type_of_reporting_person": "IN", "comment_content": "The percentage ownership reflected in row (13) is based on 13,783,230 Ordinary Shares of the Issuer outstanding as of July 31, 2026, based on information available at the website of the TASE as of that date." }, { "accession_no": "0001185185-26-001894", "person_seq": 0, "reporting_person_cik": 1434993, "reporting_person_name": "Zucker Anita G", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 347994.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 347994.0, "aggregate_amount_owned": 347994.0, "percent_of_class": 7.54, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001185185-26-002302", "person_seq": 0, "reporting_person_cik": 1271519, "reporting_person_name": "Tom Kubota", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8491258.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8491258.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8491258.0, "percent_of_class": 66.3, "type_of_reporting_person": "IN", "comment_content": "(1) With respect to the share numbers set forth in rows 7, 9 and 11 in the table above, these consist of 8,475,258 shares of the Issuer's Common Stock and 16,000 shares of the Issuer's Series A Preferred Stock owned by the Reporting Person. The Series A Preferred Stock is convertible to Common Stock of the Issuer on a one-share-for-one-share basis, based on the number of shares of Series A Preferred Stock converted and not the number of votes represented by such converted shares of Series A Preferred Stock. The Series A Preferred Stock is convertible only by the holder thereof and is convertible at any time. Each outstanding share of Series A Preferred Stock is entitled to vote as 20,000 shares of Common Stock.\n\n(2) With respect to the shares referenced in rows 7, 9 and 11 in the table above, they are held through the Tom Kubota Revocable Trust of 2013 (the \"Trust\"). The Reporting Person is the sole Trustee of the Trust and may be deemed to have voting and dispositive power over the shares held by the Trust.\n\n(3) With respect to the percentage set forth in row 13 in the table above, it is calculated based on 12,816,000 shares of Common Stock of the Issuer, including 12,800,000 shares of Common Stock outstanding as of March 31, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on April 30, 2026, and assuming the issuance of 16,000 shares of Common Stock as if the Reporting Person had converted the 16,000 shares of the Issuer's Series A Preferred Stock held by him to 16,000 shares of Common Stock of the Issuer.\n\nEXPLANATORY NOTE\n\nThis Amendment No. 22 (\"Amendment No. 22\"), dated June 2, 2026, amends and supplements the original Schedule 13D filed by the Reporting Person with the Securities and Exchange Commission (the \"Commission\") on June 27, 2008, relating to shares of Common Stock, $0.001 par value per share (\"Common Stock\") of Pacific Health Care Organization, Inc. (the \"Issuer\"), as amended and supplemented by Schedule 13D/A-1 filed on August 28, 2008, Schedule 13D/A-2 filed on May 14, 2010, Schedule 13D/A-3 filed on May 14, 2010, Schedule 13D/A-4 filed on April 20, 2012, Schedule 13D/A-5 filed on May 21, 2013, Schedule 13D/A-6 filed March 12, 2014, Schedule 13D/A-7 filed April 30, 2014, Schedule 13D/A-8 filed on June 10, 2014, Schedule 13D/A-9 filed on June 17, 2014, Schedule 13D/A-10 filed on March 31, 2015, Schedule 13D/A-11 filed on November 16, 2015, Schedule 13D/A-12 filed on November 18, 2015, and Schedule 13D/A-13 filed on December 1, 2016, Schedule 13D/A-14 filed on January 10, 2018, Schedule 13D/A-15 filed on May 1, 2018, Schedule 13D/A-16 filed on May 16, 2018, Schedule 13D/A-17 filed on January 31, 2020, Schedule 13D/A-18 filed on March 30, 2020, Schedule 13D/A-19 filed on December 29, 2021, Schedule 13D/A-20 filed on August 31, 2023, and Schedule 13D/A-21 filed on September 28, 2023 (collectively referred to herein as the \"Schedule 13D\"). Only those items hereby reported in this Amendment No. 22 are amended and all other items remain unchanged. Terms used herein but not otherwise defined shall have the meanings set forth in the Schedule 13D." }, { "accession_no": "0001185185-26-002348", "person_seq": 0, "reporting_person_cik": 2127935, "reporting_person_name": "Disciplined Growth Sponsor LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 4831750.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4831750.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4831750.0, "percent_of_class": 21.41, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 181,750 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 4,650,000 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-295097). The 181,750 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one right to receive one fourth (1/4) of a Class A ordinary share upon the consummation of an initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between Disciplined Growth Sponsor LLC (the \"Sponsor\") and the Issuer.\n\n(2) Excludes 45,437 Class A Ordinary Shares which will be issued upon the conversion of 181,750 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001185185-26-002348", "person_seq": 1, "reporting_person_cik": 1666651, "reporting_person_name": "Wotczak Robert", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4831750.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4831750.0, "aggregate_amount_owned": 4831750.0, "percent_of_class": 21.41, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 181,750 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 4,650,000 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-295097). The 181,750 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one right to receive one fourth (1/4) of a Class A ordinary share upon the consummation of an initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between Disciplined Growth Sponsor LLC (the \"Sponsor\") and the Issuer.\n\n(2) Excludes 45,437 Class A Ordinary Shares which will be issued upon the conversion of 181,750 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001185185-26-002473", "person_seq": 0, "reporting_person_cik": 2114132, "reporting_person_name": "AmperSPAC LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3914079.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3914079.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3914079.0, "percent_of_class": 19.61, "type_of_reporting_person": "OO", "comment_content": "Includes (i) 3,631,667 of the Issuer's (as defined below) ordinary shares, $0.0001 par value, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333- 294363) and (ii) 282,412 ordinary shares included in private placement units (each unit consisting of one ordinary share of the Issuer and one right to receive one-tenth (1/10) of an ordinary share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement (as defined below) by and between AmperSPAC LLC and the Issuer. Excludes 28,241 ordinary shares which will be issued upon the conversion of 282,412 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001185185-26-002473", "person_seq": 1, "reporting_person_cik": 2114130, "reporting_person_name": "Harish Dadoo Gonzalez", "fund_type": "OO", "citizenship_or_org": "O5", "sole_voting_power": 0.0, "shared_voting_power": 3914079.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3914079.0, "aggregate_amount_owned": 3914079.0, "percent_of_class": 19.61, "type_of_reporting_person": "IN", "comment_content": "Includes (i) 3,631,667 of the Issuer's (as defined below) ordinary shares, $0.0001 par value, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333- 294363) and (ii) 282,412 ordinary shares included in private placement units (each unit consisting of one ordinary share of the Issuer and one right to receive one-tenth (1/10) of an ordinary share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement (as defined below) by and between AmperSPAC LLC and the Issuer. Excludes 28,241 ordinary shares which will be issued upon the conversion of 282,412 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001185185-26-002473", "person_seq": 2, "reporting_person_cik": 2111882, "reporting_person_name": "Alberto Gutierriez Pier", "fund_type": "OO", "citizenship_or_org": "O5", "sole_voting_power": 0.0, "shared_voting_power": 3914079.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3914079.0, "aggregate_amount_owned": 3914079.0, "percent_of_class": 19.61, "type_of_reporting_person": "IN", "comment_content": "Includes (i) 3,631,667 of the Issuer's (as defined below) ordinary shares, $0.0001 par value, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333- 294363) and (ii) 282,412 ordinary shares included in private placement units (each unit consisting of one ordinary share of the Issuer and one right to receive one-tenth (1/10) of an ordinary share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement (as defined below) by and between AmperSPAC LLC and the Issuer. Excludes 28,241 ordinary shares which will be issued upon the conversion of 282,412 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001185185-26-002573", "person_seq": 0, "reporting_person_cik": 2059049, "reporting_person_name": "Blue Holdings Sponsor LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 7160913.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7160913.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7160913.0, "percent_of_class": 25.61, "type_of_reporting_person": "OO", "comment_content": "Includes (i) 6,769,913 of the Issuer's (as defined below) Class B ordinary shares, $0.0001 par value, which are automatically convertible into the Issuer's Class A ordinary shares, $0.0001 par value, at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333- 287281) and (ii) 391,000 Class A ordinary shares underlying units (each unit consisting of one Class A ordinary share of the Issuer and one right to receive one tenth (1/10) of a Class A ordinary share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Subscription Agreement (as defined below) by and between Blue Holdings Sponsor LLC and the Issuer. Excludes 39,100 Class A ordinary shares which will be issued upon the conversion of 391,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001185185-26-002573", "person_seq": 1, "reporting_person_cik": 2061893, "reporting_person_name": "Blue Holdings Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 7160913.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7160913.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7160913.0, "percent_of_class": 25.61, "type_of_reporting_person": "OO", "comment_content": "Includes (i) 6,769,913 of the Issuer's (as defined below) Class B ordinary shares, $0.0001 par value, which are automatically convertible into the Issuer's Class A ordinary shares, $0.0001 par value, at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333- 287281) and (ii) 391,000 Class A ordinary shares underlying units (each unit consisting of one Class A ordinary share of the Issuer and one right to receive one tenth (1/10) of a Class A ordinary share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Subscription Agreement (as defined below) by and between Blue Holdings Sponsor LLC and the Issuer. Excludes 39,100 Class A ordinary shares which will be issued upon the conversion of 391,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001185185-26-002573", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "David Bauer", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 7160913.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7160913.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7160913.0, "percent_of_class": 25.61, "type_of_reporting_person": "IN", "comment_content": "Includes (i) 6,769,913 of the Issuer's Class B ordinary shares, $0.0001 par value, which are automatically convertible into the Issuer's Class A ordinary shares, $0.0001 par value, at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-287281) and (ii) 391,000 Class A ordinary shares underlying units (each unit consisting of one Class A ordinary share of the Issuer and one right to receive one tenth (1/10) of a Class A ordinary share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Subscription Agreement by and between Blue Holdings Sponsor LLC and the Issuer. Excludes 39,100 Class A ordinary shares which will be issued upon the conversion of 391,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001185185-26-002614", "person_seq": 0, "reporting_person_cik": 1434993, "reporting_person_name": "Anita G. Zucker", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001185185-26-002614", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "TIGH II, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001185185-26-002683", "person_seq": 0, "reporting_person_cik": 2123991, "reporting_person_name": "Comer James Lamar Walton", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 4504276.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4504276.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4504276.0, "percent_of_class": 31.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001185185-26-003007", "person_seq": 0, "reporting_person_cik": 2137455, "reporting_person_name": "Columbus Circle 3 Sponsor Corporation LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 7931667.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7931667.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7931667.0, "percent_of_class": 25.3, "type_of_reporting_person": "CO", "comment_content": "(1) Includes 265,000 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 7,666,667 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-296208). The 265,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between Columbus Circle 3 Sponsor Corporation LLC (the \"Sponsor\") and the Issuer." }, { "accession_no": "0001185185-26-003007", "person_seq": 1, "reporting_person_cik": 1510279, "reporting_person_name": "Cohen & Company, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7931667.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7931667.0, "aggregate_amount_owned": 7931667.0, "percent_of_class": 25.3, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 265,000 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 7,666,667 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-296208). The 265,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between Columbus Circle 3 Sponsor Corporation LLC (the \"Sponsor\") and the Issuer." }, { "accession_no": "0001185185-26-003007", "person_seq": 2, "reporting_person_cik": 1270436, "reporting_person_name": "Cohen & Co Inc.", "fund_type": "OO", "citizenship_or_org": "MD", "sole_voting_power": 0.0, "shared_voting_power": 7931667.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7931667.0, "aggregate_amount_owned": 7931667.0, "percent_of_class": 25.3, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 265,000 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 7,666,667 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-296208). The 265,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between Columbus Circle 3 Sponsor Corporation LLC (the \"Sponsor\") and the Issuer." }, { "accession_no": "0001185185-26-003123", "person_seq": 0, "reporting_person_cik": 1934978, "reporting_person_name": "Newlinks Technology Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 32098694296.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32098694296.0, "aggregate_amount_owned": 32098694296.0, "percent_of_class": 55.9, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 8, 10, 11: Consists of (a) 6,520,000,000 Class A ordinary shares of the Issuer directly held by Newlink Envision Limited (\"Envision\"), a wholly-owned subsidiary of Newlinks Technology Limited (\"Newlink\"); (b) 5,395,840,000 Class A ordinary shares of the Issuer directly held by Newlink Linkage Limited (\"Linkage\") which Newlink is entitled to vote, representing the portion of the 6,400,000,000 Class A ordinary shares of the Issuer held by Linkage that corresponds to Newlink's 84.31% equity interest in Linkage; (c) 16,000,000,000 Class A ordinary shares of the Issuer directly held by Newlink Digital Energy Holding Limited (\"Digital\"); (d) 158,121,394 Class B ordinary shares of the Issuer directly held by Envision; (e) 37,848,450 Class B ordinary shares of the Issuer directly held by Newlink; (f) 898,883,538 Class C ordinary shares of the Issuer directly held by Envision; and (g) 212,694,390 Class C ordinary shares of the Issuer directly held by Newlink. The voting power of all Class B ordinary shares directly and indirectly held by Newlink is controlled by Zhen Dai and the voting power of Class C ordinary shares directly and indirectly held by Newlink is controlled by shareholders of Newlink other than Zhen Dai on a look-through basis proportional to those shareholders' relative shareholding percentage in Newlink. Each Class B ordinary share and each Class C ordinary share is convertible into one Class A ordinary share at any time by the holder thereof, subject to certain conditions. Newlink is an exempted company with limited liabilities incorporated under the laws of the Cayman Islands. Directors and executive officers of Newlink beneficially owning more than 1 percent of its outstanding shares include Zhen Dai, Yang Wang and Weilin Sun. Principal beneficial owners of the shares of Newlink, meaning shareholders beneficially owning more than 5 percent of its outstanding shares, include Zhen Dai, entities affiliated with Joy Capital (namely Joy Vigorous Management Limited, Joy Capital III L.P. and Joy Capital Opportunity, L.P., and collectively referred to as the Joy Capital) and BCPE Nutcracker Cayman, L.P. The registered address of Newlink is at 4th Floor, Harbour Place, 103 South Church Street, P.O. Box 10240, Grand Cayman KY1-1002, Cayman Islands.\n\nNote to Row 13: The percentage of the class of securities is calculated by dividing the number of shares beneficially owned by the reporting person by a total of 54,561,157,881 issued and outstanding ordinary shares of the Issuer as a single class (consisting of 53,253,610,109 Class A ordinary shares, 195,969,844 Class B ordinary shares and 1,111,577,928 Class C ordinary shares) as of July 22, 2026, as learned from the Issuer, which exclude (a) Class A ordinary shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances (i) upon any sale of ADSs offered at the market (At-the-Market Offering) and (ii) upon the exercising or vesting of awards granted under the Issuer's share incentive plans; (b) ADSs issuable upon conversion of the convertible note issued to LMR Multi-Strategy Master Fund Limited (\"LMR\") on October 16, 2024, pursuant to a convertible note exchange agreement dated October 4, 2024; (c) ADSs issuable pursuant to the Share Subscription Facility Agreement dated December 16, 2024; and (d) ADSs issuable upon conversion of the warrant issued to LMR on June 4, 2025, pursuant to a Deed of Settlement dated June 4, 2025. Class D ordinary shares are not convertible into any ADSs representing the Issuer's Class A ordinary shares or the Class A ordinary shares issued by the Issuer, being the class registrable under the Exchange Act.\n\nThe voting power of the shares beneficially owned represented 55.9% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power of the reporting person of as a single class (consisting of 27,915,840,000 Class A ordinary shares, 195,969,844 Class B ordinary shares and 1,111,577,928 Class C ordinary shares) by the voting power of all of the Issuer's holders of Class A ordinary shares, Class B ordinary shares and Class C ordinary shares as a single class, as of July 22, 2026. Newlink also owns 16,000,000 non-convertible Class D ordinary shares through Envision, which entitles it to 8,000,000,000 additional votes, giving it 61.3% total voting power, which is calculated by dividing the total voting power of the reporting person (consisting of 27,915,840,000 Class A ordinary shares, 195,969,844 Class B ordinary shares, 1,111,577,928 Class C ordinary shares and 16,000,000 Class D ordinary shares) by the voting power of all of the Issuer's holders of Class A ordinary shares, Class B ordinary shares, Class C ordinary shares and Class D ordinary shares, as of July 22, 2026. Holders of Class A ordinary shares are entitled to one vote per share. Holders of Class B ordinary shares and Class C ordinary shares are entitled to ten votes per share and two votes per share, respectively. Each Class B ordinary share and each Class C ordinary share is convertible into one Class A ordinary share at any time by the holder thereof, subject to certain conditions. Class A ordinary shares are not convertible into Class B ordinary shares, Class C ordinary shares or Class D ordinary shares under any circumstances. Holders of Class D ordinary shares are entitled to five hundred votes per share. Class D ordinary shares are not convertible into any other class of share issued by the Issuer, nor into any ADSs representing the Issuer's Class A ordinary shares." }, { "accession_no": "0001185185-26-003123", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Newlink Envision Limited", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 9898981016.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9898981016.0, "aggregate_amount_owned": 9898981016.0, "percent_of_class": 17.2, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 8, 10, 11: Consists of (a) 6,520,000,000 Class A ordinary shares of the Issuer held by Envision; (b) 158,121,394 Class B ordinary shares of the Issuer held by Envision; and (c) 898,883,538 Class C ordinary shares of the Issuer held by Envision. Envision is wholly owned by Newlink. The voting power of all Class B ordinary shares held by Envision is controlled by Zhen Dai and the voting power of Class C ordinary shares held by Envision is controlled by shareholders of Newlink other than Zhen Dai on a look-through basis proportional to those shareholders' relative shareholding percentage in Newlink. Each Class B ordinary share and each Class C ordinary share is convertible into one Class A ordinary share at any time by the holder thereof, subject to certain conditions. Envision is an exempted company with limited liabilities incorporated under the laws of the Cayman Islands. The registered address of Envision is at Harneys Fiduciary (Cayman) Limited, 4th Floor, Harbour Place, 103 South Church Street, P.O. Box 10240, Grand Cayman KY1-1002, Cayman Islands.\n\nNote to Row 13: The percentage of the class of securities is calculated by dividing the number of shares beneficially owned by the reporting person by a total of 54,561,157,881 issued and outstanding ordinary shares of the Issuer as a single class (consisting of 53,253,610,109 Class A ordinary shares, 195,969,844 Class B ordinary shares and 1,111,577,928 Class C ordinary shares) as of July 22, 2026, as learned from the Issuer, which exclude (a) Class A ordinary shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances (i) upon any sale of ADSs offered at the market (At-the-Market Offering) and (ii) upon the exercising or vesting of awards granted under the Issuer's share incentive plans; (b) ADSs issuable upon conversion of the convertible note issued to LMR on October 16, 2024, pursuant to a convertible note exchange agreement dated October 4, 2024; (c) ADSs issuable pursuant to the Share Subscription Facility Agreement dated December 16, 2024; and (d) ADSs issuable upon conversion of the warrant issued to LMR on June 4, 2025, pursuant to a Deed of Settlement dated June 4, 2025. Class D ordinary shares are not convertible into any ADSs representing the Issuer's Class A ordinary shares or the Class A ordinary shares issued by the Issuer, being the class registrable under the Exchange Act.\n\nThe voting power of the shares beneficially owned represented 17.2% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power of the reporting person of as a single class (consisting of 6,520,000,000 Class A ordinary shares, 158,121,394 Class B ordinary shares and 898,883,538 Class C ordinary shares) by the voting power of all of the Issuer's holders of Class A ordinary shares, Class B ordinary shares and Class C ordinary shares as a single class, as of July 22, 2026. Envision also directly owns also owns 16,000,000 non-convertible Class D ordinary shares, which entitles it to 8,000,000,000 additional votes, giving it 27.4% total voting power, which is calculated by dividing the total voting power of the reporting person (consisting of 6,520,000,000 Class A ordinary shares, 158,121,394 Class B ordinary shares, 898,883,538 Class C ordinary shares and 16,000,000 Class D ordinary shares) by the voting power of all of the Issuer's holders of Class A ordinary shares, Class B ordinary shares, Class C ordinary shares and Class D ordinary shares, as of July 22, 2026." }, { "accession_no": "0001185185-26-003123", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Newlink Linkage Limited", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 5395840000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5395840000.0, "aggregate_amount_owned": 5395840000.0, "percent_of_class": 9.4, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 8, 10, 11: Consists of 5,395,840,000 Class A ordinary shares of the Issuer held by Linkage which Newlink is entitled to vote, representing the portion of the 6,400,000,000 Class A ordinary shares of the Issuer held by Linkage that corresponds to Newlink's 84.31% equity interest in Linkage. Linkage is an exempted company with limited liabilities incorporated under the laws of the Cayman Islands. The registered address of Envision is at Harneys Fiduciary (Cayman) Limited, 4th Floor, Harbour Place, 103 South Church Street, P.O. Box 10240, Grand Cayman KY1-1002, Cayman Islands.\n\nNote to Row 13: The percentage of the class of securities is calculated by dividing the number of shares beneficially owned by the reporting person by a total of 54,561,157,881 issued and outstanding ordinary shares of the Issuer as a single class (consisting of 53,253,610,109 Class A ordinary shares, 195,969,844 Class B ordinary shares and 1,111,577,928 Class C ordinary shares) as of July 22, 2026, as learned from the Issuer, which exclude (a) Class A ordinary shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances (i) upon any sale of ADSs offered at the market (At-the-Market Offering) and (ii) upon the exercising or vesting of awards granted under the Issuer's share incentive plans; (b) ADSs issuable upon conversion of the convertible note issued to LMR on October 16, 2024, pursuant to a convertible note exchange agreement dated October 4, 2024; (c) ADSs issuable pursuant to the Share Subscription Facility Agreement dated December 16, 2024; and (d) ADSs issuable upon conversion of the warrant issued to LMR on June 4, 2025, pursuant to a Deed of Settlement dated June 4, 2025. Class D ordinary shares are not convertible into any ADSs representing the Issuer's Class A ordinary shares or the Class A ordinary shares issued by the Issuer, being the class registrable under the Exchange Act.\n\nThe voting power of the shares beneficially owned represented 9.4% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power of the reporting person of as a single class (consisting of 5,395,840,000 Class A ordinary shares) by the voting power of all of the Issuer's holders of Class A ordinary shares, Class B ordinary shares and Class C ordinary shares as a single class, as of July 22, 2026. Linkage's total voting power is 8.2%, which is calculated by dividing the total voting power of reporting person by the voting power of all of the Issuer's holders of Class A ordinary shares, Class B ordinary shares, Class C ordinary shares and Class D ordinary shares, as of July 22, 2026." }, { "accession_no": "0001185185-26-003123", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Newlink Digital Energy Holding Limited", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 16000000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16000000000.0, "aggregate_amount_owned": 16000000000.0, "percent_of_class": 27.9, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 8, 10, 11: Consists of 16,000,000,000 Class A ordinary shares of the Issuer held by Digital. Digital is a company incorporated under the laws of the Cayman Islands. The registered address of Digital is at 4th Floor, Harbour Place, 103 South Church Street, P. O. Box 10240, Grand Cayman KY1-1002, Cayman Islands.\n\nNote to Row 13: The percentage of the class of securities is calculated by dividing the number of shares beneficially owned by the reporting person by a total of 54,561,157,881 issued and outstanding ordinary shares of the Issuer as a single class (consisting of 53,253,610,109 Class A ordinary shares, 195,969,844 Class B ordinary shares and 1,111,577,928 Class C ordinary shares) as of July 22, 2026, as learned from the Issuer, which exclude (a) Class A ordinary shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances (i) upon any sale of ADSs offered at the market (At-the-Market Offering) and (ii) upon the exercising or vesting of awards granted under the Issuer's share incentive plans; (b) ADSs issuable upon conversion of the convertible note issued to LMR on October 16, 2024, pursuant to a convertible note exchange agreement dated October 4, 2024; (c) ADSs issuable pursuant to the Share Subscription Facility Agreement dated December 16, 2024; and (d) ADSs issuable upon conversion of the warrant issued to LMR on June 4, 2025, pursuant to a Deed of Settlement dated June 4, 2025. Class D ordinary shares are not convertible into any ADSs representing the Issuer's Class A ordinary shares or the Class A ordinary shares issued by the Issuer, being the class registrable under the Exchange Act.\n\nThe voting power of the shares beneficially owned represented 27.9% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power of the reporting person of as a single class (consisting of 16,000,000,000 Class A ordinary shares) by the voting power of all of the Issuer's holders of Class A ordinary shares, Class B ordinary shares and Class C ordinary shares as a single class, as of July 22, 2026. Digital's total voting power is 24.5%, which is calculated by dividing the total voting power of reporting person by the voting power of all of the Issuer's holders of Class A ordinary shares, Class B ordinary shares, Class C ordinary shares and Class D ordinary shares, as of July 22, 2026." }, { "accession_no": "0001193125-26-216046", "person_seq": 0, "reporting_person_cik": 2075450, "reporting_person_name": "Audax Institutional Feeder, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 6666054.31, "shared_voting_power": 0.0, "sole_dispositive_power": 6666054.31, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6666054.31, "percent_of_class": 29.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-216046", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Audax Private Credit Business, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 6908385.05, "shared_voting_power": 0.0, "sole_dispositive_power": 6908385.05, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6908385.05, "percent_of_class": 30.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-216046", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Audax Holdings I, L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 6908385.05, "shared_voting_power": 0.0, "sole_dispositive_power": 6908385.05, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6908385.05, "percent_of_class": 30.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-216046", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Audax Group, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 6908385.05, "shared_voting_power": 0.0, "sole_dispositive_power": 6908385.05, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6908385.05, "percent_of_class": 30.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-216046", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "101 Huntington Holdings Subsidiary, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 6908385.05, "shared_voting_power": 0.0, "sole_dispositive_power": 6908385.05, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6908385.05, "percent_of_class": 30.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-216046", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Audax Group Parent, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 6908385.05, "shared_voting_power": 0.0, "sole_dispositive_power": 6908385.05, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6908385.05, "percent_of_class": 30.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-216046", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "101 Huntington Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 6908385.05, "shared_voting_power": 0.0, "sole_dispositive_power": 6908385.05, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6908385.05, "percent_of_class": 30.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-216730", "person_seq": 0, "reporting_person_cik": 2097698, "reporting_person_name": "Liberty Mutual Foundation Inc.", "fund_type": "OO", "citizenship_or_org": "MA", "sole_voting_power": 4294411.0, "shared_voting_power": null, "sole_dispositive_power": 4294411.0, "shared_dispositive_power": null, "aggregate_amount_owned": 4294411.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": "(1) Rows 8, 10 and 11 include 39,665 restricted stock units issued to the director designees of the Reporting Persons.\n\n(2) Row 13 is based on 330,251,628 shares of Class A Common Stock of the Issuer outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 4, 2026." }, { "accession_no": "0001193125-26-216730", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Liberty Mutual Insurance Company", "fund_type": "OO", "citizenship_or_org": "MA", "sole_voting_power": 0.0, "shared_voting_power": 4294411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4294411.0, "aggregate_amount_owned": 4294411.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": "(1) Rows 8, 10 and 11 include 39,665 restricted stock units issued to the director designees of the Reporting Persons.\n\n(2) Row 13 is based on 330,251,628 shares of Class A Common Stock of the Issuer outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 4, 2026." }, { "accession_no": "0001193125-26-216730", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Liberty Mutual Group Inc.", "fund_type": "OO", "citizenship_or_org": "MA", "sole_voting_power": 0.0, "shared_voting_power": 4294411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4294411.0, "aggregate_amount_owned": 4294411.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": "(1) Rows 8, 10 and 11 include 39,665 restricted stock units issued to the director designees of the Reporting Persons.\n\n(2) Row 13 is based on 330,251,628 shares of Class A Common Stock of the Issuer outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 4, 2026." }, { "accession_no": "0001193125-26-216730", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "LMHC Massachusetts Holdings Inc.", "fund_type": "OO", "citizenship_or_org": "MA", "sole_voting_power": 0.0, "shared_voting_power": 4294411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4294411.0, "aggregate_amount_owned": 4294411.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": "(1) Rows 8, 10 and 11 include 39,665 restricted stock units issued to the director designees of the Reporting Persons.\n\n(2) Row 13 is based on 330,251,628 shares of Class A Common Stock of the Issuer outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 4, 2026." }, { "accession_no": "0001193125-26-216730", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Liberty Mutual Holding Company Inc.", "fund_type": "OO", "citizenship_or_org": "MA", "sole_voting_power": 0.0, "shared_voting_power": 4294411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4294411.0, "aggregate_amount_owned": 4294411.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": "(1) Rows 8, 10 and 11 include 39,665 restricted stock units issued to the director designees of the Reporting Persons.\n\n(2) Row 13 is based on 330,251,628 shares of Class A Common Stock of the Issuer outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 4, 2026." }, { "accession_no": "0001193125-26-216730", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Liberty Energy Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4294411.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4294411.0, "aggregate_amount_owned": 4294411.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": "(1) Rows 8, 10 and 11 include 39,665 restricted stock units issued to the director designees of the Reporting Persons.\n\n(2) Row 13 is based on 330,251,628 shares of Class A Common Stock of the Issuer outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 4, 2026." }, { "accession_no": "0001193125-26-216973", "person_seq": 0, "reporting_person_cik": 2132038, "reporting_person_name": "AI DEN-MAB LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 4876344.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4876344.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4876344.0, "percent_of_class": 10.4, "type_of_reporting_person": "OO", "comment_content": "Row 13. Based on an aggregate of 46,705,410 shares of Common Stock outstanding immediately following the Issuer's initial public offering, which assumes full exercise of the underwriters' option to purchase additional shares of Common Stock, as reported in the Issuer's prospectdus filed pursuant to Rule 424(b)(4) with the Securities and Exchange Commission (the \"SEC\") on May 1, 2026." }, { "accession_no": "0001193125-26-216973", "person_seq": 1, "reporting_person_cik": 1391297, "reporting_person_name": "Access Industries Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4876344.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4876344.0, "aggregate_amount_owned": 4876344.0, "percent_of_class": 10.4, "type_of_reporting_person": "OO", "comment_content": "Row 13. Based on an aggregate of 46,705,410 shares of Common Stock outstanding immediately following the Issuer's initial public offering, which assumes full exercise of the underwriters' option to purchase additional shares of Common Stock, as reported in the Issuer's prospectdus filed pursuant to Rule 424(b)(4) with the SEC on May 1, 2026." }, { "accession_no": "0001193125-26-216973", "person_seq": 2, "reporting_person_cik": 1942670, "reporting_person_name": "AI Biotechnology LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4876344.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4876344.0, "aggregate_amount_owned": 4876344.0, "percent_of_class": 10.4, "type_of_reporting_person": "OO", "comment_content": "Row 13. Based on an aggregate of 46,705,410 shares of Common Stock outstanding immediately following the Issuer's initial public offering, which assumes full exercise of the underwriters' option to purchase additional shares of Common Stock, as reported in the Issuer's prospectdus filed pursuant to Rule 424(b)(4) with the SEC on May 1, 2026." }, { "accession_no": "0001193125-26-216973", "person_seq": 3, "reporting_person_cik": 1508226, "reporting_person_name": "Access Industries Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4876344.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4876344.0, "aggregate_amount_owned": 4876344.0, "percent_of_class": 10.4, "type_of_reporting_person": "OO", "comment_content": "Row 13. Based on an aggregate of 46,705,410 shares of Common Stock outstanding immediately following the Issuer's initial public offering, which assumes full exercise of the underwriters' option to purchase additional shares of Common Stock, as reported in the Issuer's prospectdus filed pursuant to Rule 424(b)(4) with the SEC on May 1, 2026." }, { "accession_no": "0001193125-26-216973", "person_seq": 4, "reporting_person_cik": 1326628, "reporting_person_name": "Len Blavatnik", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4876344.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4876344.0, "aggregate_amount_owned": 4876344.0, "percent_of_class": 10.4, "type_of_reporting_person": "IN", "comment_content": "Row 13. Based on an aggregate of 46,705,410 shares of Common Stock outstanding immediately following the Issuer's initial public offering, which assumes full exercise of the underwriters' option to purchase additional shares of Common Stock, as reported in the Issuer's prospectdus filed pursuant to Rule 424(b)(4) with the SEC on May 1, 2026." }, { "accession_no": "0001193125-26-217343", "person_seq": 0, "reporting_person_cik": 1511001, "reporting_person_name": "ADW Capital Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13500000.0, "aggregate_amount_owned": 13500000.0, "percent_of_class": 17.9, "type_of_reporting_person": "PN", "comment_content": "The figures in Items 8, 10 and 11 include 9,750,000 Shares representing beneficial interests in Compass Diversified Holdings (\"Shares\") that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by Compass Diversified Holdings (the \"Issuer\") with the U.S. Securities and Exchange Commission (the \"SEC\") on May 6, 2026." }, { "accession_no": "0001193125-26-217343", "person_seq": 1, "reporting_person_cik": 1745214, "reporting_person_name": "ADW Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13500000.0, "aggregate_amount_owned": 13500000.0, "percent_of_class": 17.9, "type_of_reporting_person": "HC", "comment_content": "The figures in Items 8, 10 and 11 include 9,750,000 Shares that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-217343", "person_seq": 2, "reporting_person_cik": 1745215, "reporting_person_name": "Adam D. Wyden", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 13500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13500000.0, "aggregate_amount_owned": 13500000.0, "percent_of_class": 17.9, "type_of_reporting_person": "IN", "comment_content": "The figures in Items 8, 10 and 11 include 9,750,000 Shares that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-217389", "person_seq": 0, "reporting_person_cik": 2010692, "reporting_person_name": "Panacea Innovation Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1318894.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1318894.0, "aggregate_amount_owned": 1318894.0, "percent_of_class": 16.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217389", "person_seq": 1, "reporting_person_cik": 1869939, "reporting_person_name": "Panacea Venture Healthcare Fund II, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1011000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1011000.0, "aggregate_amount_owned": 1011000.0, "percent_of_class": 12.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-217389", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Panacea Venture Healthcare Fund II GP Company, Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1011000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1011000.0, "aggregate_amount_owned": 1011000.0, "percent_of_class": 12.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217389", "person_seq": 3, "reporting_person_cik": 1869966, "reporting_person_name": "Panacea Opportunity Fund I, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 307899.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 307899.0, "aggregate_amount_owned": 307899.0, "percent_of_class": 3.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-217389", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Panacea Opportunity Fund I GP Company, Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 307899.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 307899.0, "aggregate_amount_owned": 307899.0, "percent_of_class": 3.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217389", "person_seq": 5, "reporting_person_cik": 1573160, "reporting_person_name": "James Huang", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 1318894.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1318894.0, "aggregate_amount_owned": 1318894.0, "percent_of_class": 16.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-217467", "person_seq": 0, "reporting_person_cik": 1860184, "reporting_person_name": "LCP Edge Holdco, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33360741.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33360741.0, "aggregate_amount_owned": 33360741.0, "percent_of_class": 25.74, "type_of_reporting_person": "OO", "comment_content": "Calculated based on 129,600,040 shares of Class A Common Stock, par value $0.0001 per share (\"Class A Shares\"), outstanding as of May 5, 2026, as reported on the Issuer's Form 10-Q, filed with the Securities and Exchange Commission (\"SEC\") on May 7, 2026 (the \"Form 10-Q\")." }, { "accession_no": "0001193125-26-217467", "person_seq": 1, "reporting_person_cik": 1859894, "reporting_person_name": "Linden Capital III LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33360741.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33360741.0, "aggregate_amount_owned": 33360741.0, "percent_of_class": 25.74, "type_of_reporting_person": "OO", "comment_content": "Calculated based on 129,600,040 shares of Class A Shares outstanding as of May 5, 2026, as reported on the Issuer's Form 10-Q." }, { "accession_no": "0001193125-26-217467", "person_seq": 2, "reporting_person_cik": 1859892, "reporting_person_name": "Linden Manager III LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33360741.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33360741.0, "aggregate_amount_owned": 33360741.0, "percent_of_class": 25.74, "type_of_reporting_person": "PN", "comment_content": "Calculated based on 129,600,040 shares of Class A Shares outstanding as of May 5, 2026, as reported on the Issuer's Form 10-Q." }, { "accession_no": "0001193125-26-217467", "person_seq": 3, "reporting_person_cik": 1627844, "reporting_person_name": "Linden Capital Partners III LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33360741.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33360741.0, "aggregate_amount_owned": 33360741.0, "percent_of_class": 25.74, "type_of_reporting_person": "PN", "comment_content": "Calculated based on 129,600,040 shares of Class A Shares outstanding as of May 5, 2026, as reported on the Issuer's Form 10-Q." }, { "accession_no": "0001193125-26-217467", "person_seq": 4, "reporting_person_cik": 1627845, "reporting_person_name": "Linden Capital Partners III-A LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33360741.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33360741.0, "aggregate_amount_owned": 33360741.0, "percent_of_class": 25.74, "type_of_reporting_person": "PN", "comment_content": "Calculated based on 129,600,040 shares of Class A Shares outstanding as of May 5, 2026, as reported on the Issuer's Form 10-Q." }, { "accession_no": "0001193125-26-217467", "person_seq": 5, "reporting_person_cik": 1563784, "reporting_person_name": "Anthony Davis", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 33360741.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33360741.0, "aggregate_amount_owned": 33360741.0, "percent_of_class": 25.74, "type_of_reporting_person": "IN", "comment_content": "Calculated based on 129,600,040 shares of Class A Shares outstanding as of May 5, 2026, as reported on the Issuer's Form 10-Q." }, { "accession_no": "0001193125-26-217467", "person_seq": 6, "reporting_person_cik": 1857685, "reporting_person_name": "Brian Miller", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 33360741.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33360741.0, "aggregate_amount_owned": 33360741.0, "percent_of_class": 25.74, "type_of_reporting_person": "IN", "comment_content": "Calculated based on 129,600,040 shares of Class A Shares outstanding as of May 5, 2026, as reported on the Issuer's Form 10-Q." }, { "accession_no": "0001193125-26-217469", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Survivor's Trust under the Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 9820143.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9820143.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9820143.0, "percent_of_class": 11.88, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 9,820,143 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Survivor's Trust (the \"Survivor's Trust\") under The Seros Ulloa Family Trust of 1996 (the \"The Seros Ulloa Family Trust\"). Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Survivor's Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-217469", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Non-Exempt Marital Trust under The Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1087571.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1087571.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1087571.0, "percent_of_class": 1.32, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 1,087,571 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Non-Exempt Marital Trust (the \"Non-Exempt Marital Trust\") under The Seros Ulloa Family Trust. Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Non-Exempt Marital Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-217469", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Bypass Trust under The Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 344840.0, "shared_voting_power": 0.0, "sole_dispositive_power": 344840.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 344840.0, "percent_of_class": 0.42, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 344,840 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Bypass Trust (the \"Bypass Trust\") under The Seros Ulloa Family Trust. Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Bypass Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-217469", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Thomas Strickler, as Trustee of The Walter F. Ulloa Irrevocable Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 389848.0, "shared_voting_power": 0.0, "sole_dispositive_power": 389848.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 389848.0, "percent_of_class": 0.47, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 389,848 shares of Class A Common Stock held of record by Thomas Strickler, as Trustee of The Walter F. Ulloa Irrevocable Trust of 1996 (the \"Ulloa Irrevocable Trust\"). Mr. Strickler has sole voting and dispositive power over the shares held of record by the Ulloa Irrevocable Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-217469", "person_seq": 4, "reporting_person_cik": 1965002, "reporting_person_name": "Alexandra Seros", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 11252554.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11252554.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11252554.0, "percent_of_class": 13.61, "type_of_reporting_person": "IN", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 9,820,143 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of the Survivor's Trust, 1,087,571 shares of Class A Common Stock held of record by Ms. Seros, as Trustee of the Non-Exempt Marital Trust, and 344,840 shares of Class A Common Stock held of record by Ms. Seros, as Trustee of the Non-Exempt Marital Trust. Ms. Seros has sole voting and dispositive power over the shares held of record by the Survivor's Trust, the Non-Exempt Marital Trust and the Bypass Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-217594", "person_seq": 0, "reporting_person_cik": 937226, "reporting_person_name": "Onex Corporation", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 184049617.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 184049617.0, "aggregate_amount_owned": 184049617.0, "percent_of_class": 93.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 1, "reporting_person_cik": 1275599, "reporting_person_name": "Gerald W. Schwartz", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 470583.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 470583.0, "aggregate_amount_owned": 470583.0, "percent_of_class": 0.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 2, "reporting_person_cik": 1544360, "reporting_person_name": "Onex Partners GP Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 35039404.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35039404.0, "aggregate_amount_owned": 35039404.0, "percent_of_class": 17.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 3, "reporting_person_cik": 1506665, "reporting_person_name": "Onex Partners III GP LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 35039404.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35039404.0, "aggregate_amount_owned": 35039404.0, "percent_of_class": 17.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 4, "reporting_person_cik": 1435855, "reporting_person_name": "Onex Partners III LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33135329.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33135329.0, "aggregate_amount_owned": 33135329.0, "percent_of_class": 16.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 5, "reporting_person_cik": 1446974, "reporting_person_name": "Onex Partners III PV LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 420116.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 420116.0, "aggregate_amount_owned": 420116.0, "percent_of_class": 0.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 6, "reporting_person_cik": 1470880, "reporting_person_name": "Onex Partners III Select LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 106562.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 106562.0, "aggregate_amount_owned": 106562.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 7, "reporting_person_cik": 1544361, "reporting_person_name": "Onex American Holdings GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 423159.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 423159.0, "aggregate_amount_owned": 423159.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-217594", "person_seq": 8, "reporting_person_cik": 1297369, "reporting_person_name": "Onex US Principals LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 423159.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 423159.0, "aggregate_amount_owned": 423159.0, "percent_of_class": 0.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 9, "reporting_person_cik": 1838066, "reporting_person_name": "Onex Partners Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 11125186.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11125186.0, "aggregate_amount_owned": 11125186.0, "percent_of_class": 5.6, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-217594", "person_seq": 10, "reporting_person_cik": 2002606, "reporting_person_name": "Onex OP V Holdings SARL", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 11125186.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11125186.0, "aggregate_amount_owned": 11125186.0, "percent_of_class": 5.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 11, "reporting_person_cik": 1517831, "reporting_person_name": "1597257 Ontario Inc.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 470583.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 470583.0, "aggregate_amount_owned": 470583.0, "percent_of_class": 0.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 12, "reporting_person_cik": 1593408, "reporting_person_name": "New PCo II Investments Ltd.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 470583.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 470583.0, "aggregate_amount_owned": 470583.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-217594", "person_seq": 13, "reporting_person_cik": 1695911, "reporting_person_name": "Onex Advisor Subco III LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 470583.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 470583.0, "aggregate_amount_owned": 470583.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-217594", "person_seq": 14, "reporting_person_cik": 1817206, "reporting_person_name": "Onex Partners Canadian GP Inc.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 137461868.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 137461868.0, "aggregate_amount_owned": 137461868.0, "percent_of_class": 69.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 15, "reporting_person_cik": 1817315, "reporting_person_name": "Onex Partners V GP Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 137461868.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 137461868.0, "aggregate_amount_owned": 137461868.0, "percent_of_class": 69.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-217594", "person_seq": 16, "reporting_person_cik": 1817205, "reporting_person_name": "OPV Gem Aggregator LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 137461868.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 137461868.0, "aggregate_amount_owned": 137461868.0, "percent_of_class": 69.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-217599", "person_seq": 0, "reporting_person_cik": 1740907, "reporting_person_name": "SEQUOIA CAPITAL GLOBAL GROWTH FUND III - ENDURANCE PARTNERS, L.P. (\"SC GGF III\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 351374.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 351374.0, "aggregate_amount_owned": 351374.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": "Row 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217599", "person_seq": 1, "reporting_person_cik": 1920675, "reporting_person_name": "SEQUOIA CAPITAL US/E EXPANSION FUND I, L.P. (\"SC US/E EXPANSION FUND I\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1000000.0, "aggregate_amount_owned": 1000000.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": "Row 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217599", "person_seq": 2, "reporting_person_cik": 1920709, "reporting_person_name": "SEQUOIA CAPITAL US/E EXPANSION FUND I MANAGEMENT, L.P. (\"SC US/E EXPANSION FUND I MGMT\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 3150331.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3150331.0, "aggregate_amount_owned": 3150331.0, "percent_of_class": 1.3, "type_of_reporting_person": "PN", "comment_content": "Row 8, 10 and 11. Includes 2,150,331 shares directly owned by SC US/E EXPANSION FUND I MGMT and 1,000,000 shares directly owned by SC US/E EXPANSION FUND I. The general partner of SC US/E EXPANSION FUND I is SC US/E EXPANSION FUND I MGMT.\n\nRow 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217599", "person_seq": 3, "reporting_person_cik": 1836399, "reporting_person_name": "SCGGF III - U.S./INDIA MANAGEMENT, L.P. (\"SCGGF III - U.S./INDIA MANAGEMENT\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1217532.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1217532.0, "aggregate_amount_owned": 1217532.0, "percent_of_class": 0.5, "type_of_reporting_person": "PN", "comment_content": "Row 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217599", "person_seq": 4, "reporting_person_cik": 1767303, "reporting_person_name": "SEQUOIA CAPITAL GLOBAL GROWTH FUND III - ENDURANCE PARTNERS MANAGEMENT, L.P. (\"SC GGF III MGMT\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 351374.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 351374.0, "aggregate_amount_owned": 351374.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": "Row 8, 10 and 11. Includes 351,374 shares directly owned by SC GGF III. The general partner of SC GGF III is SC GGF III MGMT.\n\nRow 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217599", "person_seq": 5, "reporting_person_cik": 1918157, "reporting_person_name": "SEQUOIA CAPITAL FUND PARALLEL, LLC (\"SCFP\")", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3064306.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3064306.0, "aggregate_amount_owned": 3064306.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": "Row 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217599", "person_seq": 6, "reporting_person_cik": 1906948, "reporting_person_name": "SEQUOIA CAPITAL FUND, L.P. (\"SCF\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 20144842.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20144842.0, "aggregate_amount_owned": 20144842.0, "percent_of_class": 8.6, "type_of_reporting_person": "PN", "comment_content": "Row 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217599", "person_seq": 7, "reporting_person_cik": 1913045, "reporting_person_name": "SEQUOIA CAPITAL FUND MANAGEMENT, L.P. (\"SEQUOIA CAPITAL FUND MANAGEMENT\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 23209148.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23209148.0, "aggregate_amount_owned": 23209148.0, "percent_of_class": 9.9, "type_of_reporting_person": "PN", "comment_content": "Row 8, 10 and 11. Includes 3,064,306 shares directly owned by SCFP and 20,144,842 shares directly owned by SCF. SEQUOIA CAPITAL FUND MANAGEMENT is the general partner of SCF and the manager of SCFP.\n\nRow 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217599", "person_seq": 8, "reporting_person_cik": 1607841, "reporting_person_name": "SC US (TTGP), LTD. (\"SC US (TTGP)\")", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 27928385.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 27928385.0, "aggregate_amount_owned": 27928385.0, "percent_of_class": 11.9, "type_of_reporting_person": "PN", "comment_content": "Row 8, 10 and 11. Includes 1,217,532 shares directly owned by SCGGF III - U.S./INDIA MANAGEMENT, 351,374 shares directly owned by SC GGF III, 1,000,000 shares directly owned by SC US/E EXPANSION FUND I, 2,150,331 shares directly owned by SC US/E EXPANSION FUND I MGMT, 3,064,306 shares directly owned by SCFP and 20,144,842 shares directly owned by SCF. The general partner of SC GGF III is SC GGF III MGMT. The general partner of SC US/E EXPANSION FUND I is SC US/E EXPANSION FUND I MGMT. The General Partner of SCF and the manager of SCFP is SEQUOIA CAPITAL FUND MANAGEMENT. SC US TTGP is the General Partner of SCGGF III- U.S./INDIA MANAGEMENT, SC GGF III MGMT, SC US/E EXPANSION FUND I MGMT and SEQUOIA CAPITAL FUND MANAGEMENT.\n\nRow 13. Based on a total of 235,029,814 shares of Class A common stock as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001193125-26-217628", "person_seq": 0, "reporting_person_cik": 1508226, "reporting_person_name": "Access Industries Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 21953451.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21953451.0, "aggregate_amount_owned": 21953451.0, "percent_of_class": 21.04, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on May 5, 2026." }, { "accession_no": "0001193125-26-217628", "person_seq": 1, "reporting_person_cik": 1391297, "reporting_person_name": "Access Industries Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 155665.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 155665.0, "aggregate_amount_owned": 155665.0, "percent_of_class": 0.15, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-217628", "person_seq": 2, "reporting_person_cik": 1849909, "reporting_person_name": "AI Droplet Holdings LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 21657187.0, "shared_voting_power": 140599.0, "sole_dispositive_power": 21657187.0, "shared_dispositive_power": 140599.0, "aggregate_amount_owned": 21797786.0, "percent_of_class": 20.89, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-217628", "person_seq": 3, "reporting_person_cik": 1849905, "reporting_person_name": "AI Droplet Sharing LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 155665.0, "shared_voting_power": 0.0, "sole_dispositive_power": 155665.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 155665.0, "percent_of_class": 0.15, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-217628", "person_seq": 4, "reporting_person_cik": 1854071, "reporting_person_name": "AI Droplet Subsidiary LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 140599.0, "shared_voting_power": 0.0, "sole_dispositive_power": 140599.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 140599.0, "percent_of_class": 0.13, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-217628", "person_seq": 5, "reporting_person_cik": 1326628, "reporting_person_name": "Len Blavatnik", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 21953451.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21953451.0, "aggregate_amount_owned": 21953451.0, "percent_of_class": 21.04, "type_of_reporting_person": "IN", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-220028", "person_seq": 0, "reporting_person_cik": 1835851, "reporting_person_name": "The Public Institution for Social Security", "fund_type": "WC", "citizenship_or_org": "M6", "sole_voting_power": 10570730.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10570730.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10570730.0, "percent_of_class": 6.9, "type_of_reporting_person": "EP", "comment_content": null }, { "accession_no": "0001193125-26-220248", "person_seq": 0, "reporting_person_cik": 2121660, "reporting_person_name": "West Enclave Sponsor, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 2603333.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2603333.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2603333.0, "percent_of_class": 16.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220248", "person_seq": 1, "reporting_person_cik": 2121664, "reporting_person_name": "Emilio Mahuad Quijano", "fund_type": "OO", "citizenship_or_org": "O5", "sole_voting_power": 2603333.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2603333.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2603333.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-220248", "person_seq": 2, "reporting_person_cik": 2132929, "reporting_person_name": "Adrian Otero Rosiles", "fund_type": "OO", "citizenship_or_org": "O5", "sole_voting_power": 2603333.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2603333.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2603333.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-220274", "person_seq": 0, "reporting_person_cik": 1456075, "reporting_person_name": "Harvest Fund Advisors LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2524074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2524074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524074.0, "percent_of_class": 20.1, "type_of_reporting_person": "OO", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Harvest Fund Holdco L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2524074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2524074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524074.0, "percent_of_class": 20.1, "type_of_reporting_person": "PN", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Blackstone Harvest Holdco L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2524074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2524074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524074.0, "percent_of_class": 20.1, "type_of_reporting_person": "OO", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Blackstone Intermediary Holdco L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2524074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2524074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524074.0, "percent_of_class": 20.1, "type_of_reporting_person": "OO", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Blackstone Securities Partners L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2524074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2524074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524074.0, "percent_of_class": 20.1, "type_of_reporting_person": "PN", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Blackstone Advisory Services L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2524074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2524074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524074.0, "percent_of_class": 20.1, "type_of_reporting_person": "OO", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings I L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2649074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2649074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2649074.0, "percent_of_class": 21.1, "type_of_reporting_person": "PN", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings I/II GP L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2649074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2649074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2649074.0, "percent_of_class": 21.1, "type_of_reporting_person": "OO", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Blackstone Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2649074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2649074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2649074.0, "percent_of_class": 21.1, "type_of_reporting_person": "CO", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Blackstone Group Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2649074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2649074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2649074.0, "percent_of_class": 21.1, "type_of_reporting_person": "OO", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220274", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Stephen A. Schwarzman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2649074.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2649074.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2649074.0, "percent_of_class": 21.1, "type_of_reporting_person": "IN", "comment_content": "Beneficial ownership reported as of the date hereof. See Item 5." }, { "accession_no": "0001193125-26-220628", "person_seq": 0, "reporting_person_cik": 2093897, "reporting_person_name": "CHS US Investments LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 19983656.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19983656.0, "aggregate_amount_owned": 19983656.0, "percent_of_class": 59.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220628", "person_seq": 1, "reporting_person_cik": 2093898, "reporting_person_name": "CHS GP LP", "fund_type": "AF", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 19983656.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19983656.0, "aggregate_amount_owned": 19983656.0, "percent_of_class": 59.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-220628", "person_seq": 2, "reporting_person_cik": 2093899, "reporting_person_name": "CHS UGP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19983656.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19983656.0, "aggregate_amount_owned": 19983656.0, "percent_of_class": 59.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220628", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "CHS Platform Holdings Pte. Ltd.", "fund_type": "AF", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 19983656.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19983656.0, "aggregate_amount_owned": 19983656.0, "percent_of_class": 59.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-220628", "person_seq": 4, "reporting_person_cik": 2094392, "reporting_person_name": "CHS (US) Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19983656.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19983656.0, "aggregate_amount_owned": 19983656.0, "percent_of_class": 59.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 0, "reporting_person_cik": 2093261, "reporting_person_name": "Gateway Runway, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 1, "reporting_person_cik": 2092595, "reporting_person_name": "Gateway Runway Intermediate Holdings, Inc.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 2, "reporting_person_cik": 1815325, "reporting_person_name": "Nexus Special Situations III, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 3, "reporting_person_cik": 1815361, "reporting_person_name": "Nexus Special Situations III (Cayman) L.P.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 4, "reporting_person_cik": 1963997, "reporting_person_name": "Nexus Capital Management LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 5, "reporting_person_cik": 2092583, "reporting_person_name": "Nexus Special Situations GP III, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 6, "reporting_person_cik": 2093669, "reporting_person_name": "Nexus Partners III, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 7, "reporting_person_cik": 2093303, "reporting_person_name": "Damian Giangiacomo", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Michael Cohen", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-220631", "person_seq": 9, "reporting_person_cik": 1600232, "reporting_person_name": "Daniel Flesh", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001193125-26-220633", "person_seq": 0, "reporting_person_cik": 2093677, "reporting_person_name": "S3 RR Aggregator, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220633", "person_seq": 1, "reporting_person_cik": 2093646, "reporting_person_name": "STORY3 Capital Partners, LLC", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220633", "person_seq": 2, "reporting_person_cik": 2093681, "reporting_person_name": "Rising Sons Capital, LLC", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-220633", "person_seq": 3, "reporting_person_cik": 2093762, "reporting_person_name": "Peter Comisar", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4274394.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4274394.0, "aggregate_amount_owned": 4274394.0, "percent_of_class": 12.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-221223", "person_seq": 0, "reporting_person_cik": 1483503, "reporting_person_name": "TB Alternative Assets Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 38474611.0, "shared_voting_power": 0.0, "sole_dispositive_power": 38474611.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.15, "type_of_reporting_person": "IA", "comment_content": "Row 7, 9 ,11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.24% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.71% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 1, "reporting_person_cik": 1618396, "reporting_person_name": "Trustbridge Partners V, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 38474611.0, "shared_voting_power": 0.0, "sole_dispositive_power": 38474611.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.15, "type_of_reporting_person": "PN", "comment_content": "Row 7, 9, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.24% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.71% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 2, "reporting_person_cik": 1833327, "reporting_person_name": "Trustbridge Partners VII, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 38474611.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38474611.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.15, "type_of_reporting_person": "PN", "comment_content": "Row 8, 10, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.24% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.71% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "TB Partners GP5 Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 38474611.0, "shared_voting_power": 0.0, "sole_dispositive_power": 38474611.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.15, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.24% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.71% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "TB Partners GP7 Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 38474611.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38474611.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.15, "type_of_reporting_person": "CO", "comment_content": "Row 8, 10, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.24% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.71% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 5, "reporting_person_cik": 1907822, "reporting_person_name": "Changxun Sun", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 27649839.0, "shared_voting_power": 0.0, "sole_dispositive_power": 27649839.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 27649839.0, "percent_of_class": 8.08, "type_of_reporting_person": "IN", "comment_content": "Row 7, 9, 11. Represents (i) 25,649,839 Class B ordinary shares held by Cloopen Co., Ltd., a company wholly-owned by Mr. Changxun Sun, and (ii) 2,000,000 Class A ordinary shares held by Flawless Success Limited, a nominee of an employee incentive trust that holds such shares for and on behalf of the grantees under the Issuer's share incentive plans issued due to exercise of options under the 2016 Share Incentive Plan.\n\nRow 13. Percentage calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for the purpose of calculating the Reporting Person's percentage of ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of our Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 45.11% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Cloopen Co., Ltd.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 25649839.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25649839.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 25649839.0, "percent_of_class": 7.5, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 25,649,839 Class B ordinary shares held by Cloopen Co., Ltd., a company wholly-owned by Mr. Changxun Sun.\n\nRow 13. Percentage calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for the purpose of calculating the Reporting Person's percentage of ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of our Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 44.76% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Flawless Success Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 6410750.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6410750.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6410750.0, "percent_of_class": 2.03, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 6,410,750 Class A ordinary shares, including 720,829 ADSs, held by Flawless Success Limited, a nominee of an employee incentive trust that holds such shares for and on behalf of the grantees under the Issuer's share incentive plans issued due to exercise of options under the 2016 Share Incentive Plan.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 1.87% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 1.12% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 8, "reporting_person_cik": 1293451, "reporting_person_name": "Tencent Holdings Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 13049682.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13049682.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13049682.0, "percent_of_class": 4.12, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents (1) 11,799,684 Class A ordinary shares held by Image Frame Investment (HK) Limited; (2) 1,249,998 Class A ordinary shares held by THL H Limited. Each Image Frame Investment (HK) Limited and THL H Limited is a subsidiary of Tencent Holdings Limited. Tencent Holdings Limited intends to transfer all 1,249,998 Class A ordinary shares held by THL H Limited to Image Frame Investment (HK) Limited.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 3.81% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.28% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 9, "reporting_person_cik": 1970144, "reporting_person_name": "Image Frame Investment (HK) Limited", "fund_type": "AF", "citizenship_or_org": "K3", "sole_voting_power": 11799684.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11799684.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11799684.0, "percent_of_class": 3.73, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 11,799,684 Class A ordinary shares, held by Image Frame Investment (HK) Limited.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 3.45% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.06% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Parantoux Vintage PE Ltd.", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 3123446.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3123446.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3123446.0, "percent_of_class": 0.99, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 3,123,446 Class A ordinary shares, held by Parantoux Vintage PE Ltd.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 0.91% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 0.55% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Yang Diao", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 3123446.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3123446.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3123446.0, "percent_of_class": 0.99, "type_of_reporting_person": "IN", "comment_content": "Row 7, 9, 11. Represents 3,123,446 Class A ordinary shares, held by Parantoux Vintage PE Ltd.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 0.91% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 0.55% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Novo Investment HK Limited", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 11799685.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11799685.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11799685.0, "percent_of_class": 3.73, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 11,799,685 Class A ordinary shares held by Novo Investment HK Limited.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 3.45% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.06% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Shenzhen Nuohe Investment Partnership Enterprise (Limited Partnership)", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 11799685.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11799685.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11799685.0, "percent_of_class": 3.73, "type_of_reporting_person": "PN", "comment_content": "Row 7, 9, 11. Represents 11,799,685 Class A ordinary shares held by Novo Investment HK Limited.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 3.45% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.06% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221223", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "China Reform Venture Capital Investment Management (Shenzhen) Ltd.", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 11799685.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11799685.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11799685.0, "percent_of_class": 3.73, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 11,799,685 Class A ordinary shares held by Novo Investment HK Limited.\n\nRow 13. (i) Percentage calculated based on 316,554,332 Class A ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 3.45% of the total issued and outstanding ordinary shares of the Issuer, calculated based on 342,204,171 ordinary shares, comprising 316,554,332 Class A ordinary shares and 25,649,839 Class B ordinary shares issued and outstanding as of May 12, 2026, as set forth in the Merger Agreement. The Class B ordinary shares are treated as converted into Class A ordinary shares solely for purposes of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.06% of the aggregate voting power of the total issued and outstanding ordinary shares of the Issuer." }, { "accession_no": "0001193125-26-221556", "person_seq": 0, "reporting_person_cik": 1653782, "reporting_person_name": "American Industrial Partners Capital Fund VI, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Row 13. Based on 31,310,209 shares of Common Stock outstanding as of April 3, 2026, as disclosed in the Issuer's prospectus supplement filed on May 11, 2026 pursuant to Rule 424(b)(5) under the Securities Act." }, { "accession_no": "0001193125-26-221556", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "AIPCF VI Vertex Aerospace Funding LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Row 13. Based on 31,310,209 shares of Common Stock outstanding as of April 3, 2026, as disclosed in the Issuer's prospectus supplement filed on May 11, 2026 pursuant to Rule 424(b)(5) under the Securities Act." }, { "accession_no": "0001193125-26-221556", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Vertex Aerospace Holdco LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Row 13. Based on 31,310,209 shares of Common Stock outstanding as of April 3, 2026, as disclosed in the Issuer's prospectus supplement filed on May 11, 2026 pursuant to Rule 424(b)(5) under the Securities Act." }, { "accession_no": "0001193125-26-221556", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "AIPCF VI, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 375420.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 375420.0, "aggregate_amount_owned": 375420.0, "percent_of_class": 1.2, "type_of_reporting_person": "OO", "comment_content": "Row 8, 10 and 11. Includes 375,420 shares owned directly by Lightship Capital LLC (\"Lightship\"). As described in Item 2 herein, each of AIP Fund VI, Vertex Funding, Vertex Holdco and Lightship are under common control of AIPCF VI, LLC (\"AIP GP\" and, together with AIP Fund VI, Vertex Funding, Vertex Holdco and Lightship, the \"Reporting Persons\").\n\nRow 13. Based on 31,310,209 shares of Common Stock outstanding as of April 3, 2026, as disclosed in the Issuer's prospectus supplement filed on May 11, 2026 pursuant to Rule 424(b)(5) under the Securities Act." }, { "accession_no": "0001193125-26-221556", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Lightship Capital LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 375420.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 375420.0, "aggregate_amount_owned": 375420.0, "percent_of_class": 1.2, "type_of_reporting_person": "OO", "comment_content": "Row 13. Based on 31,310,209 shares of Common Stock outstanding as of April 3, 2026, as disclosed in the Issuer's prospectus supplement filed on May 11, 2026 pursuant to Rule 424(b)(5) under the Securities Act." }, { "accession_no": "0001193125-26-221953", "person_seq": 0, "reporting_person_cik": 2018312, "reporting_person_name": "Longitude Capital Partners V, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2088560.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2088560.0, "aggregate_amount_owned": 2088560.0, "percent_of_class": 6.3, "type_of_reporting_person": "OO", "comment_content": "All shares are held of record by LVPV (as defined in Item 2(a) below). LCPV (as defined in Item 2(a) below) is the general partner of LVPV and may be deemed to have voting and dispositive power with respect to these securities. Patrick G. Enright, a member of the Issuer's board of directors, and Juliet Tammenoms Bakker are the managing members of LCPV and may each be deemed to share voting and dispositive power with respect to these securities. Maxwell Bikoff, a managing director at Longitude Capital, is a member of the Issuer's board of directors, but holds no voting or dispositve power with respect to these securities.\n\nBased on 33,085,391 shares of Common Stock outstanding as of May 11, 2026, following the closing of the Issuer's (as defined in Item 1(a) below) initial public offering of its Common Stock (the Offering), as reported by the Issuer in its prospectus filed with the United States Securities and Exchange Commission (the Commission) on May 8, 2026 (the Prospectus), assuming no exercise of the underwriters' option to purchase 1,500,000 additional shares of Common Stock (the Underwriters' Option)." }, { "accession_no": "0001193125-26-221953", "person_seq": 1, "reporting_person_cik": 1935964, "reporting_person_name": "Longitude Venture Partners V, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2088560.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2088560.0, "aggregate_amount_owned": 2088560.0, "percent_of_class": 6.3, "type_of_reporting_person": "PN", "comment_content": "All shares are held of record by LVPV. LCPV is the general partner of LVPV and may be deemed to have voting and dispositive power with respect to these securities. Patrick G. Enright and Juliet Tammenoms Bakker are the managing members of LCPV and may each be deemed to share voting and dispositive power with respect to these securities. Maxwell Bikoff, a managing director at Longitude Capital, is a member of the Issuer's board of directors, but holds no voting or dispositve power with respect to these securities.\n\nBased on 33,085,391 shares of Common Stock outstanding as of May 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-221953", "person_seq": 2, "reporting_person_cik": 2094273, "reporting_person_name": "Longitude 103.8 East Partners, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1166666.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1166666.0, "aggregate_amount_owned": 1166666.0, "percent_of_class": 3.5, "type_of_reporting_person": "OO", "comment_content": "All shares are held of record by L103 (as defined in Item 2(a) below). L103P (as defined in Item 2(a) below) is the general partner of L103 and may be deemed to have voting and dispositive power with respect to these securities. Patrick G. Enright and Juliet Tammenoms Bakker are the managing members of L103P and may each be deemed to share voting and dispositive power with respect to these securities. Maxwell Bikoff, a managing director at Longitude Capital, is a member of the Issuer's board of directors, but holds no voting or dispositve power with respect to these securities.\n\nBased on 33,085,391 shares of Common Stock outstanding as of May 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-221953", "person_seq": 3, "reporting_person_cik": 2094269, "reporting_person_name": "Longitude 103.8 East, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1166666.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1166666.0, "aggregate_amount_owned": 1166666.0, "percent_of_class": 3.5, "type_of_reporting_person": "PN", "comment_content": "All shares are held of record by L103. L103P is the general partner of L103 and may be deemed to have voting and dispositive power with respect to these securities. Patrick G. Enright and Juliet Tammenoms Bakker are the managing members of L103P and may each be deemed to share voting and dispositive power with respect to these securities. Maxwell Bikoff, a managing director at Longitude Capital, is a member of the Issuer's board of directors, but holds no voting or dispositve power with respect to these securities.\n\nBased on 33,085,391 shares of Common Stock outstanding as of May 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-221953", "person_seq": 4, "reporting_person_cik": 1253886, "reporting_person_name": "Patrick G. Enright", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3255226.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3255226.0, "aggregate_amount_owned": 3255226.0, "percent_of_class": 9.8, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 2,088,560 shares of Common Stock held of record by LVPV, and (ii) 1,166,666 shares of Common Stock held of record by L103. LCPV is the general partner of LVPV and may be deemed to have voting and dispositive power with respect to the shares held of record by LVPV. L103P is the general partner of L103 and may be deemed to have voting and dispositive power with respect to the shares held by L103. Patrick G. Enright and Juliet Tammenoms Bakker are the managing members of each of LCPV and L103 and may each be deemed to share voting and dispositive power with respect to the shares held by LVPV and L103. Maxwell Bikoff, a managing director at Longitude Capital, is a member of the Issuer's board of directors, but holds no voting or dispositve power with respect to these securities.\n\nBased on 33,085,391 shares of Common Stock outstanding as of May 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-221953", "person_seq": 5, "reporting_person_cik": 1431159, "reporting_person_name": "Juliet Tammenoms Bakker", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3255226.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3255226.0, "aggregate_amount_owned": 3255226.0, "percent_of_class": 9.8, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 2,088,560 shares of Common Stock held of record by LVPV, and (ii) 1,166,666 shares of Common Stock held of record by L103. LCPV is the general partner of LVPV and may be deemed to have voting and dispositive power with respect to the shares held of record by LVPV. L103P is the general partner of L103 and may be deemed to have voting and dispositive power with respect to the shares held by L103. Patrick G. Enright and Juliet Tammenoms Bakker are the managing members of each of LCPV and L103P and may each be deemed to share voting and dispositive power with respect to the shares held by LVPV and L103. Maxwell Bikoff, a managing director at Longitude Capital, is a member of the Issuer's board of directors, but holds no voting or dispositve power with respect to these securities.\n\nBased on 33,085,391 shares of Common Stock outstanding as of May 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-222151", "person_seq": 0, "reporting_person_cik": 1055919, "reporting_person_name": "ROBERT W. DUGGAN", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 49706423.0, "shared_voting_power": 0.0, "sole_dispositive_power": 49706423.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 49706423.0, "percent_of_class": 71.9, "type_of_reporting_person": "IN", "comment_content": "*Represents 49,706,423 shares of Common Stock, including (i) 256,078 shares of Common Stock underlying certain options exercisable within 60 days hereof, held by Mr. Duggan, (ii) 630,109 shares of Common Stock held by Genius 24C Inc d/b/a Genius Inc and (iii) 450,189 shares of Common Stock held by Blazon Corporation. This does not include options which are not exercisable in 60 days from the date hereof. The number of shares of Common Stock beneficially owned by Mr. Duggan reported in the table above does not include shares of Common Stock which are beneficially owned by Mr. Duggan's spouse, Dr. Maky Zanganeh. As spouses, Mr. Duggan and Dr. Zanganeh may be deemed to have acquired beneficial ownership of the securities held by the other spouse upon their marriage on December 18, 2024. Mr. Duggan does not hold any voting or investment power over such securities held by Dr. Zanganeh. Mr. Duggan disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.\n\nPercent beneficially owned is based on 69,141,378 shares of Common Stock outstanding, consisting of (i) 68,225,067 shares outstanding as disclosed in the Issuer's Proxy Statement filed with the Securities and Exchange Commission on May 11, 2026, (ii) 256,078 shares underlying options that can be exercised by Mr. Duggan within 60 days hereof and (iii) 660,233 shares of Common Stock issued by the Issuer through its at-the-market equity offering program." }, { "accession_no": "0001193125-26-222151", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "GENIUS 24C INC", "fund_type": "WC", "citizenship_or_org": "FL", "sole_voting_power": 630109.0, "shared_voting_power": 0.0, "sole_dispositive_power": 630109.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 630109.0, "percent_of_class": 0.9, "type_of_reporting_person": "CO", "comment_content": "* Represents 630,109 shares of Common Stock held by Genius 24C Inc d/b/a Genius Inc.\n\nPercent beneficially owned is based on 68,885,300 shares of Common Stock outstanding, consisting of (i) 68,225,067 shares outstanding as disclosed in the Issuer's Proxy Statement filed with the Securities and Exchange Commission on May 11, 2026, and (ii) 660,233 shares of Common Stock issued by the Issuer through its at-the-market equity offering program." }, { "accession_no": "0001193125-26-222151", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BLAZON CORPORATION", "fund_type": "WC", "citizenship_or_org": "CA", "sole_voting_power": 450189.0, "shared_voting_power": 0.0, "sole_dispositive_power": 450189.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 450189.0, "percent_of_class": 0.7, "type_of_reporting_person": "CO", "comment_content": "* Represents 450,189 shares of Common Stock held by Blazon Corporation.\n\nPercent beneficially owned is based on 68,885,300 shares of Common Stock outstanding, consisting of (i) 68,225,067 shares outstanding as disclosed in the Issuer's Proxy Statement filed with the Securities and Exchange Commission on May 11, 2026, and (ii) 660,233 shares of Common Stock issued by the Issuer through its at-the-market equity offering program." }, { "accession_no": "0001193125-26-224529", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Survivor's Trust under the Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 8635774.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8635774.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8635774.0, "percent_of_class": 10.44, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 8,635,774 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Survivor's Trust (the \"Survivor's Trust\") under The Seros Ulloa Family Trust of 1996 (the \"The Seros Ulloa Family Trust\"). Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Survivor's Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-224529", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Non-Exempt Marital Trust under The Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1087571.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1087571.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1087571.0, "percent_of_class": 1.32, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 1,087,571 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Non-Exempt Marital Trust (the \"Non-Exempt Marital Trust\") under The Seros Ulloa Family Trust. Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Non-Exempt Marital Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-224529", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Bypass Trust under The Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 344840.0, "shared_voting_power": 0.0, "sole_dispositive_power": 344840.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 344840.0, "percent_of_class": 0.42, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 344,840 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Bypass Trust (the \"Bypass Trust\") under The Seros Ulloa Family Trust. Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Bypass Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-224529", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Thomas Strickler, as Trustee of The Walter F. Ulloa Irrevocable Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 389848.0, "shared_voting_power": 0.0, "sole_dispositive_power": 389848.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 389848.0, "percent_of_class": 0.47, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 389,848 shares of Class A Common Stock held of record by Thomas Strickler, as Trustee of The Walter F. Ulloa Irrevocable Trust of 1996 (the \"Ulloa Irrevocable Trust\"). Mr. Strickler has sole voting and dispositive power over the shares held of record by the Ulloa Irrevocable Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-224529", "person_seq": 4, "reporting_person_cik": 1965002, "reporting_person_name": "Alexandra Seros", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 10068185.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10068185.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10068185.0, "percent_of_class": 12.18, "type_of_reporting_person": "IN", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 8,635,774 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of the Survivor's Trust, 1,087,571 shares of Class A Common Stock held of record by Ms. Seros, as Trustee of the Non-Exempt Marital Trust, and 344,840 shares of Class A Common Stock held of record by Ms. Seros, as Trustee of the Non-Exempt Marital Trust. Ms. Seros has sole voting and dispositive power over the shares held of record by the Survivor's Trust, the Non-Exempt Marital Trust and the Bypass Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-224576", "person_seq": 0, "reporting_person_cik": 1845711, "reporting_person_name": "Apeiron Investment Group Ltd.", "fund_type": "OO", "citizenship_or_org": "O1", "sole_voting_power": 0.0, "shared_voting_power": 29904746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29904746.0, "aggregate_amount_owned": 29904746.0, "percent_of_class": 24.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-224576", "person_seq": 1, "reporting_person_cik": 2132854, "reporting_person_name": "Enhanced Holdings LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 29904746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29904746.0, "aggregate_amount_owned": 29904746.0, "percent_of_class": 24.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-224576", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Enhanced Holdings GP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 29904746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29904746.0, "aggregate_amount_owned": 29904746.0, "percent_of_class": 24.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-224576", "person_seq": 3, "reporting_person_cik": 1845872, "reporting_person_name": "Christian Angermayer", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 29904746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29904746.0, "aggregate_amount_owned": 29904746.0, "percent_of_class": 24.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-224634", "person_seq": 0, "reporting_person_cik": 928265, "reporting_person_name": "Nelson Peltz", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "IN", "comment_content": "*Calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026 (the \"Form 10-Q\")" }, { "accession_no": "0001193125-26-224634", "person_seq": 1, "reporting_person_cik": 928264, "reporting_person_name": "Peter W. May", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "IN", "comment_content": "*Calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in its Form 10-Q." }, { "accession_no": "0001193125-26-224634", "person_seq": 2, "reporting_person_cik": 1345471, "reporting_person_name": "Trian Fund Management, L.P.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "PN", "comment_content": "*Calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in its Form 10-Q." }, { "accession_no": "0001193125-26-224634", "person_seq": 3, "reporting_person_cik": 1345472, "reporting_person_name": "Trian Fund Management GP, LLC", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "OO", "comment_content": "*Calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in its Form 10-Q." }, { "accession_no": "0001193125-26-224634", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Trian Partners AM Holdco II, Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 25654382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25654382.0, "aggregate_amount_owned": 25654382.0, "percent_of_class": 16.65, "type_of_reporting_person": "OO", "comment_content": "*Calculated based on 154,075,608 Ordinary Shares outstanding as of May 6, 2026, as reported by the Issuer in its Form 10-Q." }, { "accession_no": "0001193125-26-224656", "person_seq": 0, "reporting_person_cik": 1952107, "reporting_person_name": "BCLS Fund III Investments, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2059896.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2059896.0, "aggregate_amount_owned": 2059896.0, "percent_of_class": 1.76, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-224656", "person_seq": 1, "reporting_person_cik": 1950105, "reporting_person_name": "Bain Capital Life Sciences Opportunities III, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1257141.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1257141.0, "aggregate_amount_owned": 1257141.0, "percent_of_class": 1.06, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-224656", "person_seq": 2, "reporting_person_cik": 1773187, "reporting_person_name": "Bain Capital Life Sciences Fund II, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 89142.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 89142.0, "aggregate_amount_owned": 89142.0, "percent_of_class": 0.08, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-224656", "person_seq": 3, "reporting_person_cik": 1818893, "reporting_person_name": "BCLS II Investco, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 114017.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 114017.0, "aggregate_amount_owned": 114017.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-224656", "person_seq": 4, "reporting_person_cik": 1814474, "reporting_person_name": "BCLS II Equity Opportunities, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 375512.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 375512.0, "aggregate_amount_owned": 375512.0, "percent_of_class": 0.32, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-224656", "person_seq": 5, "reporting_person_cik": 1702921, "reporting_person_name": "BCIP Life Sciences Associates, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10857.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10857.0, "aggregate_amount_owned": 10857.0, "percent_of_class": 0.01, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-226626", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Stichting Anheuser-Busch InBev", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031302286.0, "percent_of_class": 52.3, "type_of_reporting_person": "CO", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev (formerly Stichting InBev and Stichting Interbrew) is wholly-owned together by BRC S.a R.L. (\"BRC\") and Eugenie Patri Sebastien S.A. (formerly Eugenie Patri Sebastien SCA) (\"EPS\"). BRC is controlled by Jorge Paulo Lemann (\"Mr. Lemann\"), Carlos Alberto da Veiga Sicupira (\"Mr. Sicupira\") and Max Van Hoegaerden Herrmann Telles (\"Mr. Telles\"). The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax Societe d'Investissements SA (\"Rayvax\"), a Belgian corporation, are party to the 2026 Shareholders' Agreement (defined below), and the Stichting Anheuser-Busch InBev is party to a further voting agreement (the \"Funds Voting Agreement\") with Fonds Baillet Latour CV (formerly Fonds Baillet Latour SPRL) (\"Fonds Baillet Latour\") and Fonds Voorzitter Verhelst SC (formerly Fonds Voorzitter Verhelst SPRL) (\"Fonds Voorzitter Verhelst\"). Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares (as defined below) of Anheuser-Busch InBev SA/NV (\"AB InBev\"), as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria Group, Inc. a Virginia Corporation (\"Altria\") and BEVCO Lux S.a R.L., a Luxembourg corporation (\"BEVCO\"), are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: The amount reported in row 13 above is based on on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares (as defined below) over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement (as defined below), which includes all Restricted Shares owned by Altria and BEVCO and no Restricted Shares owned by other holders." }, { "accession_no": "0001193125-26-226626", "person_seq": 1, "reporting_person_cik": 1301486, "reporting_person_name": "BRC S.a R.L.", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031302286.0, "percent_of_class": 52.3, "type_of_reporting_person": "CO", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev is wholly-owned together by BRC and EPS. BRC is controlled by Mr. Lemann, Mr. Sicupira and Mr. Telles. The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax are party to the 2026 Shareholders' Agreement, and the Stichting Anheuser-Busch InBev is party to the Funds Voting Agreement with Fonds Baillet Latour and Fonds Voorzitter Verhelst. Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares of AB InBev, as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria and BEVCO are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: The amount reported in row 13 above is based on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement, which includes all Restricted Shares owned by Altria and BEVCO, and no Restricted Shares owned by other holders." }, { "accession_no": "0001193125-26-226626", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Eugenie Patri Sebastien S.A.", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031302286.0, "percent_of_class": 52.3, "type_of_reporting_person": "CO", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev is wholly-owned together by BRC and EPS. BRC is controlled by Mr. Lemann, Mr. Sicupira and Mr. Telles. The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax are party to the 2026 Shareholders' Agreement, and the Stichting Anheuser-Busch InBev is party to the Funds Voting Agreement with Fonds Baillet Latour and Fonds Voorzitter Verhelst. Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares of AB InBev, as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). The amounts reported include Ordinary Shares of AB InBev beneficially owned by EPS which certain directors of EPS may have the right to acquire control of from EPS under certain circumstances. In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria and BEVCO are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: The amount reported in row 13 above is based on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement, which includes all Restricted Shares owned by Altria and BEVCO, and no Restricted Shares owned by other holders." }, { "accession_no": "0001193125-26-226626", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Rayvax Societe d'Investissements S.A.", "fund_type": "OO", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031302286.0, "percent_of_class": 52.3, "type_of_reporting_person": "CO", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev is wholly-owned together by BRC and EPS. BRC is controlled by Mr. Lemann, Mr. Sicupira and Mr. Telles. The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax are party to the 2026 Shareholders' Agreement, and the Stichting Anheuser-Busch InBev is party to the Funds Voting Agreement with Fonds Baillet Latour and Fonds Voorzitter Verhelst. Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares of AB InBev, as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). The amounts reported include Ordinary Shares of AB InBev beneficially owned by EPS which certain directors of Rayvax may have the right to acquire control of from EPS under certain circumstances. In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria and BEVCO are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: The amount reported in row 13 above is based on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement, which includes all Restricted Shares owned by Altria and BEVCO, and no Restricted Shares owned by other holders." }, { "accession_no": "0001193125-26-226626", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Fonds Baillet Latour CV", "fund_type": "OO", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031302286.0, "percent_of_class": 52.3, "type_of_reporting_person": "CO", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev is wholly-owned together by BRC and EPS. BRC is controlled by Mr. Lemann, Mr. Sicupira and Mr. Telles. The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax are party to the 2026 Shareholders' Agreement, and the Stichting Anheuser-Busch InBev is party to the Funds Voting Agreement with Fonds Baillet Latour and Fonds Voorzitter Verhelst. Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares of AB InBev, as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria and BEVCO are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: The amount reported in row 13 above is based on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement, which includes all Restricted Shares owned by Altria and BEVCO, and no Restricted Shares owned by other holders." }, { "accession_no": "0001193125-26-226626", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Fonds Voorzitter Verhelst SC", "fund_type": "OO", "citizenship_or_org": "C9", "sole_voting_power": 0.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031302286.0, "percent_of_class": 52.3, "type_of_reporting_person": "CO", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev is wholly-owned together by BRC and EPS. BRC is controlled by Mr. Lemann, Mr. Sicupira and Mr. Telles. The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax are party to the 2026 Shareholders' Agreement, and the Stichting Anheuser-Busch InBev is party to the Funds Voting Agreement with Fonds Baillet Latour and Fonds Voorzitter Verhelst. Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares of AB InBev, as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria and BEVCO are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: The amount reported in row 13 above is based on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement, which includes all Restricted Shares owned by Altria and BEVCO, and no Restricted Shares owned by other holders." }, { "accession_no": "0001193125-26-226626", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Jorge Paulo Lemann", "fund_type": "OO", "citizenship_or_org": "V8", "sole_voting_power": 259000.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 259000.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031561286.0, "percent_of_class": 52.3, "type_of_reporting_person": "IN", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev is wholly-owned together by BRC and EPS. BRC is controlled by Mr. Lemann, Mr. Sicupira and Mr. Telles. The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax are party to the 2026 Shareholders' Agreement, and the Stichting Anheuser-Busch InBev is party to the Funds Voting Agreement with Fonds Baillet Latour and Fonds Voorzitter Verhelst. Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares of AB InBev, as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria and BEVCO are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: The amounts reported in rows 7, 9, 11 and 13 above include 259,000 Ordinary Shares of AB InBev held by Olia 2 AG, a company incorporated under Liechtenstein law, acting in concert with Mr. Lemann within the meaning of Article 3, Section 2 of the Belgian Law of 1 April 2007 on public takeover bids. Mr. Lemann disclaims beneficial ownership of the securities subject to this statement on Schedule 13D, except with respect to the 259,000 Ordinary Shares held by Olia 2 AG over which he holds sole voting and dispositive power.\n\nNote 4: The amount reported in row 13 above is based on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement, which includes all Restricted Shares owned by Altria and BEVCO and no Restricted Shares owned by other holders.\n\nNote 5: Mr. Lemann is a dual citizen of Brazil and Switzerland." }, { "accession_no": "0001193125-26-226626", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Carlos Alberto da Veiga Sicupira", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 0.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031302286.0, "percent_of_class": 52.3, "type_of_reporting_person": "IN", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev is wholly-owned together by BRC and EPS. BRC is controlled by Mr. Lemann, Mr. Sicupira and Mr. Telles. The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax are party to the 2026 Shareholders' Agreement, and the Stichting Anheuser-Busch InBev is party to the Funds Voting Agreement with Fonds Baillet Latour and Fonds Voorzitter Verhelst. Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares of AB InBev, as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria and BEVCO are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: Mr. Sicupira disclaims beneficial ownership of the securities subject to this statement on Schedule 13D.\n\nNote 4: The amount reported in row 13 above is based on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement, which includes all Restricted Shares owned by Altria and BEVCO and no Restricted Shares owned by other holders." }, { "accession_no": "0001193125-26-226626", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Max Van Hoegaerden Herrmann Telles", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 0.0, "shared_voting_power": 1031302286.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 769317631.0, "aggregate_amount_owned": 1031302286.0, "percent_of_class": 52.3, "type_of_reporting_person": "IN", "comment_content": "Note 1: With respect to rows 8, 10, 11 and 13 above, the Stichting Anheuser-Busch InBev is wholly-owned together by BRC and EPS. BRC is controlled by Mr. Lemann, Mr. Sicupira and Mr. Telles. The Stichting Anheuser-Busch InBev, BRC, EPS and Rayvax are party to the 2026 Shareholders' Agreement, and the Stichting Anheuser-Busch InBev is party to the Funds Voting Agreement with Fonds Baillet Latour and Fonds Voorzitter Verhelst. Together these entities and individuals indirectly and directly beneficially own 769,317,631 Ordinary Shares of AB InBev, as of May 13, 2026, representing approximately 39.0% of the voting rights attached to AB InBev shares (excluding treasury shares held by AB InBev or its subsidiaries). In addition, See Items 2, 3, 4, 5 and 6 of this Schedule 13D.\n\nNote 2: The amounts reported in rows 8, 11 and 13 above include (i) the 125,115,417 Restricted Shares and 34,006,520 Ordinary Shares of AB InBev beneficially owned by Altria and (ii) the 96,862,718 Restricted Shares and 6,000,000 Ordinary Shares of AB InBev beneficially owned by BEVCO. The Stichting Anheuser-Busch InBev, Altria and BEVCO are parties to the Restricted Shareholder Voting Agreement. The Restricted Shares vote together with the Ordinary Shares together on all matters requiring a vote of the shareholders of AB InBev, except that, as long as there remain any Restricted Shares, any modification of the rights attached to the Ordinary Shares or the Restricted Shares shall be made in accordance with the quorum and majority requirements of article 7:155 of the Belgian Companies and Associations Code.\n\nNote 3: Mr. Telles disclaims beneficial ownership of the securities subject to this statement on Schedule 13D.\n\nNote 4: The amount reported in row 13 above is based on a total of 1,972,133,054 Ordinary Shares deemed to be outstanding as of May 13, 2026, which is calculated based upon the sum of (i) 1,750,154,919 Ordinary Shares issued and outstanding as of such date and (ii) 221,978,135 Ordinary Shares issuable upon the conversion of Restricted Shares over which the reporting parties may be deemed to have shared voting power by virtue of the Restricted Shareholder Voting Agreement, which includes all Restricted Shares owned by Altria and BEVCO and no Restricted Shares owned by other holders." }, { "accession_no": "0001193125-26-226695", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Dimension Management, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3333516.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3333516.0, "aggregate_amount_owned": 3333516.0, "percent_of_class": 7.1, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-226695", "person_seq": 1, "reporting_person_cik": 2040933, "reporting_person_name": "Dimension Capital II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3333516.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3333516.0, "aggregate_amount_owned": 3333516.0, "percent_of_class": 7.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-226695", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Dimension Capital II GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3333516.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3333516.0, "aggregate_amount_owned": 3333516.0, "percent_of_class": 7.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-226695", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Dimension Management GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3333516.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3333516.0, "aggregate_amount_owned": 3333516.0, "percent_of_class": 7.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-226695", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Adam Goulburn", "fund_type": "AF", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 3333516.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3333516.0, "aggregate_amount_owned": 3333516.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-226695", "person_seq": 5, "reporting_person_cik": 1852075, "reporting_person_name": "Zavain Dar", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3333516.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3333516.0, "aggregate_amount_owned": 3333516.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-226695", "person_seq": 6, "reporting_person_cik": 2131608, "reporting_person_name": "Nan Li", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3333516.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3333516.0, "aggregate_amount_owned": 3333516.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-226819", "person_seq": 0, "reporting_person_cik": 1743036, "reporting_person_name": "Osage University Partners III, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2006716.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2006716.0, "aggregate_amount_owned": 2006716.0, "percent_of_class": 6.1, "type_of_reporting_person": "PN", "comment_content": "All such shares are held by OUP III (as defined in Item 2(a) below). OUP GP III (as defined in Item 2(a) below) is the general partner of OUP III and may be deemed to have voting, investment, and dispositive power with respect to these securities.\n\nThe percentage in Row 13 is based on 33,085,391 shares of Common Stock (as defined in Item 1 below) outstanding after the Issuer's initial public offering, (excluding the underwriters' option to purchase an additional 1,500,000 shares), as reported in the Issuer's prospectus on Form 424(b)(4) and filed with the Securities and Exchange Commission (the \"Commission\") on May 7, 2026 (the \"Prospectus\")." }, { "accession_no": "0001193125-26-226819", "person_seq": 1, "reporting_person_cik": 1880476, "reporting_person_name": "Osage University GP III, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2006716.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2006716.0, "aggregate_amount_owned": 2006716.0, "percent_of_class": 6.1, "type_of_reporting_person": "OO", "comment_content": "All such shares are held by OUP III. OUP III GP is the general partner of OUP III and may be deemed to have voting, investment, and dispositive power with respect to these securities.\n\nThe percentage in Row 13 is based on 33,085,391 shares of Common Stock outstanding after the Issuer's initial public offering, as reported in the Prospectus." }, { "accession_no": "0001193125-26-226819", "person_seq": 2, "reporting_person_cik": 1901483, "reporting_person_name": "Osage University Partners IV, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1404183.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1404183.0, "aggregate_amount_owned": 1404183.0, "percent_of_class": 4.2, "type_of_reporting_person": "PN", "comment_content": "All such shares are held by OUP IV (as defined in Item 2(a) below). OUP IV GP (as defined in Item 2(a) below) is the general partner of OUP IV and may be deemed to have voting, investment, and dispositive power with respect to these securities.\n\nThe percentage in Row 13 is based on 33,085,391 shares of Common Stock outstanding after the Issuer's initial public offering, as reported in the Prospectus." }, { "accession_no": "0001193125-26-226819", "person_seq": 3, "reporting_person_cik": 2134222, "reporting_person_name": "Osage University GP IV, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1404183.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1404183.0, "aggregate_amount_owned": 1404183.0, "percent_of_class": 4.2, "type_of_reporting_person": "OO", "comment_content": "All such shares are held by OUP IV. OUP IV GP is the general partner of OUP IV and may be deemed to have voting, investment, and dispositive power with respect to these securities.\n\nThe percentage in Row 13 is based on 33,085,391 shares of Common Stock outstanding after the Issuer's initial public offering, as reported in the Prospectus." }, { "accession_no": "0001193125-26-226819", "person_seq": 4, "reporting_person_cik": 1256742, "reporting_person_name": "William Harrington", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3410899.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3410899.0, "aggregate_amount_owned": 3410899.0, "percent_of_class": 10.3, "type_of_reporting_person": "IN", "comment_content": "The shares reported on this cover page consist of (i) 2,006,716 shares of Common Stock held by OUP III and (ii) 1,404,183 shares of Common Stock held by OUP IV. OUP III GP is the general partner of OUP III and may be deemed to have voting, investment and dispositive power with respect to the shares held by OUP III. OUP IV GP is the general partner of OUP IV and may be deemed to have voting, investment and dispositive power with respect to the shares held by OUP IV. William Harrington a member of the Issuer's board of directors, is a manager of each of OUP III GP and OUP IV GP and may be deemed to share voting, investment and dispositive power with respect to the shares held by each of OUP III and OUP IV, respectively.\n\nThe percentage in Row 13 is based on 33,085,391 shares of Common Stock outstanding after the Issuer's initial public offering, as reported in the Prospectus." }, { "accession_no": "0001193125-26-227285", "person_seq": 0, "reporting_person_cik": 1407645, "reporting_person_name": "Spark Capital II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3559007.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3559007.0, "aggregate_amount_owned": 3559007.0, "percent_of_class": 5.3, "type_of_reporting_person": "PN", "comment_content": "All shares are held of record by SC II (as defined in Item 2(a) of the Original 13D (as defined in Item 1 below)) and consist of 3,559,007 Class A Common Shares. SMP II GP (as defined in Item 2(a) of the Original 13D) is the general partner of SC II and may be deemed to have voting, investment and dispositive power with respect to these securities. Santo Politi, a member of the Issuer's board of directors, is the managing member of SMP II GP and may be deemed to share voting, investment and dispositive power with respect to these securities.\n\nBased on 66,806,610 Class A Common Shares outstanding as of April 15, 2026, reported by the Issuer in Exhibit 99.1 to its Report on Form 6-K filed with the Securities and Exchange Commission on April 21, 2026." }, { "accession_no": "0001193125-26-227285", "person_seq": 1, "reporting_person_cik": 1430606, "reporting_person_name": "Spark Capital Founders' Fund II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23280.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23280.0, "aggregate_amount_owned": 23280.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "All shares are held of record by SCFF II and consist of 23,280 Class A Common Shares. SMP II GP is the general partner of SCFF II and may be deemed to have voting, investment and dispositive power with respect to these securities. Santo Politi, a member of the Issuer's board of directors, is the managing member of SMP II GP and may be deemed to share voting, investment and dispositive power with respect to these securities.\n\nBased on 66,806,610 Class A Common Shares outstanding as of April 15, 2026, reported by the Issuer in Exhibit 99.1 to its Report on Form 6-K filed with the Securities and Exchange Commission on April 21, 2026." }, { "accession_no": "0001193125-26-227285", "person_seq": 2, "reporting_person_cik": 1600213, "reporting_person_name": "Spark Management Partners II, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3582287.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3582287.0, "aggregate_amount_owned": 3582287.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": "Consists of (i) 3,559,007 Class A Common Shares held of record by SC II and (ii) 23,280 Class A Common Shares held of record by SCFF II. SMP II GP is the general partner of each of SC II and SCFF II and may be deemed to have voting, investment and dispositive power with respect to these securities. Santo Politi, a member of the Issuer's board of directors, is the managing member of SMP II GP and may be deemed to share voting, investment and dispositive power with respect to these securities.\n\nBased on 66,806,610 Class A Common Shares outstanding as of April 15, 2026, reported by the Issuer in Exhibit 99.1 to its Report on Form 6-K filed with the Securities and Exchange Commission on April 21, 2026." }, { "accession_no": "0001193125-26-227285", "person_seq": 3, "reporting_person_cik": 2098748, "reporting_person_name": "Spark Capital Partners, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-227285", "person_seq": 4, "reporting_person_cik": 1511711, "reporting_person_name": "Santo Politi", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 2107.0, "shared_voting_power": 3582287.0, "sole_dispositive_power": 2107.0, "shared_dispositive_power": 3582287.0, "aggregate_amount_owned": 3584394.0, "percent_of_class": 5.4, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 3,559,007 Class A Common Shares held of record by SC II, (ii) 23,280 Class A Common Shares held of record by SCFF II, and (iii) 2,107 Class A Common Shares held of record by Santo Politi. SMP II GP is the general partner of each of SC II and SCFF II and may be deemed to have voting, investment and dispositive power with respect to the securities held by SC II and SCFF II. Santo Politi, a member of the Issuer's board of directors, is the managing member of SMP II GP and SCP and may be deemed to share voting, investment and dispositive power with respect to these securities.\n\nBased on 66,806,610 Class A Common Shares outstanding as of April 15, 2026, reported by the Issuer in Exhibit 99.1 to its Report on Form 6-K filed with the Securities and Exchange Commission on April 21, 2026." }, { "accession_no": "0001193125-26-227565", "person_seq": 0, "reporting_person_cik": 1508226, "reporting_person_name": "Access Industries Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 18653451.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18653451.0, "aggregate_amount_owned": 18653451.0, "percent_of_class": 17.87, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on May 5, 2026." }, { "accession_no": "0001193125-26-227565", "person_seq": 1, "reporting_person_cik": 1391297, "reporting_person_name": "Access Industries Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 155665.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 155665.0, "aggregate_amount_owned": 155665.0, "percent_of_class": 0.15, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-227565", "person_seq": 2, "reporting_person_cik": 1849909, "reporting_person_name": "AI Droplet Holdings LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 18378199.0, "shared_voting_power": 119587.0, "sole_dispositive_power": 18378199.0, "shared_dispositive_power": 119587.0, "aggregate_amount_owned": 18497786.0, "percent_of_class": 17.72, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-227565", "person_seq": 3, "reporting_person_cik": 1849905, "reporting_person_name": "AI Droplet Sharing LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 155665.0, "shared_voting_power": 0.0, "sole_dispositive_power": 155665.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 155665.0, "percent_of_class": 0.15, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-227565", "person_seq": 4, "reporting_person_cik": 1854071, "reporting_person_name": "AI Droplet Subsidiary LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 119587.0, "shared_voting_power": 0.0, "sole_dispositive_power": 119587.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 119587.0, "percent_of_class": 0.11, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-227565", "person_seq": 5, "reporting_person_cik": 1326628, "reporting_person_name": "Len Blavatnik", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 18653451.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18653451.0, "aggregate_amount_owned": 18653451.0, "percent_of_class": 17.87, "type_of_reporting_person": "IN", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 104,364,181 shares of Common Stock issued and outstanding as of April 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-227569", "person_seq": 0, "reporting_person_cik": 2022121, "reporting_person_name": "Haveli Brooks Aggregator, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 60480050.0, "sole_dispositive_power": null, "shared_dispositive_power": 60480050.0, "aggregate_amount_owned": 60480050.0, "percent_of_class": 21.2, "type_of_reporting_person": "PN", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock, par value $0.00001 per share (the \"Class A Common Stock\") of Blend Labs, Inc. (the \"Issuer\") issuable upon conversion of 150,000 shares of Series A Convertible Preferred Stock, par value $0.00001 per share, (the \"Series A Preferred Stock\") of the Issuer, and (ii) 14,326,205 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in its quarterly report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026 (the \"Q1 2026 Form 10-Q\") and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-227569", "person_seq": 1, "reporting_person_cik": 2022122, "reporting_person_name": "Haveli Investments Software Fund I GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 60480050.0, "sole_dispositive_power": null, "shared_dispositive_power": 60480050.0, "aggregate_amount_owned": 60480050.0, "percent_of_class": 21.2, "type_of_reporting_person": "OO", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 14,326,205 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-227569", "person_seq": 2, "reporting_person_cik": 2022117, "reporting_person_name": "Haveli Software Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 60480050.0, "sole_dispositive_power": null, "shared_dispositive_power": 60480050.0, "aggregate_amount_owned": 60480050.0, "percent_of_class": 21.2, "type_of_reporting_person": "IA", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 14,326,205 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-227569", "person_seq": 3, "reporting_person_cik": 2022120, "reporting_person_name": "Whanau Interests LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 60480050.0, "sole_dispositive_power": null, "shared_dispositive_power": 60480050.0, "aggregate_amount_owned": 60480050.0, "percent_of_class": 21.2, "type_of_reporting_person": "OO", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 14,326,205 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-227569", "person_seq": 4, "reporting_person_cik": 2022286, "reporting_person_name": "Haveli Investment Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 60480050.0, "sole_dispositive_power": null, "shared_dispositive_power": 60480050.0, "aggregate_amount_owned": 60480050.0, "percent_of_class": 21.2, "type_of_reporting_person": "IA", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 14,326,205 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-227569", "person_seq": 5, "reporting_person_cik": 2022284, "reporting_person_name": "Haveli Investments, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 60480050.0, "sole_dispositive_power": null, "shared_dispositive_power": 60480050.0, "aggregate_amount_owned": 60480050.0, "percent_of_class": 21.2, "type_of_reporting_person": "PN", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 14,326,205 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-227569", "person_seq": 6, "reporting_person_cik": 1782665, "reporting_person_name": "Brian N. Sheth", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 60610050.0, "sole_dispositive_power": null, "shared_dispositive_power": 60610050.0, "aggregate_amount_owned": 60610050.0, "percent_of_class": 21.3, "type_of_reporting_person": "IN", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 14,326,205 shares of Class A Common Stock, including 130,000 shares of Class A Common Stock held in a family trust for which Mr. Sheth's spouse is the trustee.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-227575", "person_seq": 0, "reporting_person_cik": 1502287, "reporting_person_name": "StepStone Group LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1000.0, "percent_of_class": 100.0, "type_of_reporting_person": "PN", "comment_content": "This Schedule 13D relates to the following classes of securities of StepStone Private Equity Strategies Fund, a Delaware statutory trust registered under the Investment Company Act of 1940 (the \"Issuer\"): Class S shares, par value $0.001 per share (the \"Class S Shares\") with CUSIP 858929102 and Class D shares, par value $0.001 per share (the \"Class D Shares\") with CUSIP 858929201. As of September 8, 2025, StepStone Group directly owned 1,000 Class S Shares and 1,000 Class D Shares, representing 100 percent of the Class S Shares and 100 percent of the Class D Shares. Cover pages are limited to one class of security. The cover page of this Schedule 13D filing relates to the Class D Shares, and this comment shall serve as full disclosure of the beneficial ownership of the Class S and Class D Shares of the Issuer. See Item 5." }, { "accession_no": "0001193125-26-227857", "person_seq": 0, "reporting_person_cik": 1790965, "reporting_person_name": "The Column Group III GP, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2962544.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2962544.0, "aggregate_amount_owned": 2962544.0, "percent_of_class": 23.6, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 900,292 shares of Common Stock held of record by TCG III LP (as defined in Item 2(a) below), (ii) 485,830 shares of Common Stock which TCG III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in its Current Report on Form 8-K filed with the Commission on March 28, 2025 (the Form 8-K), (iii) warrants to purchase 5,218 shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement, (iv) 1,016,658 shares of Common Stock held of record by TCG III-A LP (as defined in Item 2(a) below), (v) 548,653 shares of Common Stock which TCG III-A LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K and (vi) warrants to purchase 5,893 shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement. TCG III GP LP is the general partner of each of TCG III LP and TCG III-A LP and may be deemed to have voting, investment and dispositive power with respect to these securities. Peter Svennilson and Tim Kutzkey, a member of the Issuer's board of directors, are the managing partners of TCG III GP LP and may each be deemed to share voting, investment and dispositive power with respect to these securities. Excludes (a) warrants to purchase 594,625 shares of Common Stock held by TCG III LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations and (b) warrants to purchase 671,518 shares of Common Stock held by TCG III-A LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations.\n\nBased on 12,532,301 shares outstanding, comprised of (i) 11,486,707 shares of Common Stock outstanding as of March 19, 2026, as reported by the Issuer (as defined in Item 1(b) below) in its annual report on Form 10-K filed with the Securities and Exchange Commission (the Commission) on March 23, 2026 (the Form 10-K), plus (ii) 485,830 shares of Common Stock which TCG III LP has the right to acquire within 60 days of this Statement, plus (iii) 5,218 shares underlying warrants to purchase shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement, plus (iv) 548,653 shares of Common Stock which TCG III-A LP has the right to acquire within 60 days of this Statement, plus (v) 5,893 shares underlying warrants to purchase shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement." }, { "accession_no": "0001193125-26-227857", "person_seq": 1, "reporting_person_cik": 1668159, "reporting_person_name": "The Column Group III, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1391340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1391340.0, "aggregate_amount_owned": 1391340.0, "percent_of_class": 11.6, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 900,292 shares of Common Stock held of record by TCG III LP, (ii) 485,830 shares of Common Stock which TCG III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K and (iii) warrants to purchase 5,218 shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement. TCG III GP LP is the general partner of TCG III LP and may be deemed to have voting, investment and dispositive power with respect to these securities. Peter Svennilson and Tim Kutzkey, a member of the Issuer's board of directors, are the managing partners of TCG III GP LP and may each be deemed to share voting, investment and dispositive power with respect to these securities. Excludes warrants to purchase 594,625 shares of Common Stock held by TCG III LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations.\n\nBased on 11,977,755 shares outstanding, comprised of (i) 11,486,707 shares of Common Stock outstanding as of March 19, 2026, as reported by the Issuer in the Form 10-K, plus (ii) 485,830 shares of Common Stock which TCG III LP has the right to acquire within 60 days of this Statement, plus (iii) 5,218 shares underlying warrants to purchase shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement." }, { "accession_no": "0001193125-26-227857", "person_seq": 2, "reporting_person_cik": 1668085, "reporting_person_name": "The Column Group III-A, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1571204.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1571204.0, "aggregate_amount_owned": 1571204.0, "percent_of_class": 13.0, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 1,016,658 shares of Common Stock held of record by TCG III-A LP, (ii) 548,653 shares of Common Stock which TCG III-A LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K and (iii) warrants to purchase 5,893 shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement. TCG III GP LP is the general partner of TCG III-A LP and may be deemed to have voting, investment and dispositive power with respect to these securities. Peter Svennilson and Tim Kutzkey, a member of the Issuer's board of directors, are the managing partners of TCG III GP LP and may each be deemed to share voting, investment and dispositive power with respect to these securities. Excludes warrants to purchase 671,518 shares of Common Stock held by TCG III-A LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations.\n\nBased on 12,041,253 shares outstanding, comprised of (i) 11,486,707 shares of Common Stock outstanding as of March 19, 2026, as reported by the Issuer in the Form 10-K, plus (ii) 548,653 shares of Common Stock which TCG III-A LP has the right to acquire within 60 days of this Statement, plus (iii) 5,893 shares underlying warrants to purchase shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement." }, { "accession_no": "0001193125-26-227857", "person_seq": 3, "reporting_person_cik": 1931825, "reporting_person_name": "The Column Group Opportunity III, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 862068.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 862068.0, "aggregate_amount_owned": 862068.0, "percent_of_class": 7.2, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 344,827 shares of Common Stock held of record by TCG Opportunity III LP (as defined in Item 2(a)) and (ii) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K. TCG Opportunity III GP LP (as defined in Item 2(a)) is the general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to these securities. TCG Opportunity III GP LLC (as defined in Item 2(a)) is the general partner of TCG Opportunity III GP LP and the ultimate general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to these securities. Peter Svennilson and Tim Kutzkey, a member of the Issuer's board of directors, are the managing members of TCG Opportunity III GP LLC and may each be deemed to share voting, investment and dispositive power with respect to these securities. Excludes warrants to purchase 431,034 shares of Common Stock held by TCG Opportunity III LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations.\n\nBased on 12,003,948 shares outstanding, comprised of (i) 11,486,707 shares of Common Stock outstanding as of March 19, 2026, as reported by the Issuer in the Form 10-K, plus (ii) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement." }, { "accession_no": "0001193125-26-227857", "person_seq": 4, "reporting_person_cik": 1932874, "reporting_person_name": "The Column Group Opportunity III GP, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 862068.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 862068.0, "aggregate_amount_owned": 862068.0, "percent_of_class": 7.2, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 344,827 shares of Common Stock held of record by TCG Opportunity III LP and (ii) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K. TCG Opportunity III GP LP is the general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to these securities. TCG Opportunity III GP LLC is the general partner of TCG Opportunity III GP LP and the ultimate general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to these securities. Peter Svennilson and Tim Kutzkey, a member of the Issuer's board of directors, are the managing members of TCG Opportunity III GP LLC and may each be deemed to share voting, investment and dispositive power with respect to these securities. Excludes warrants to purchase 431,034 shares of Common Stock held by TCG Opportunity III LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations.\n\nBased on 12,003,948 shares outstanding, comprised of (i) 11,486,707 shares of Common Stock outstanding as of March 19, 2026, as reported by the Issuer in the Form 10-K, plus (ii) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement." }, { "accession_no": "0001193125-26-227857", "person_seq": 5, "reporting_person_cik": 1932445, "reporting_person_name": "TCG Opportunity III GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 862068.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 862068.0, "aggregate_amount_owned": 862068.0, "percent_of_class": 7.2, "type_of_reporting_person": "OO", "comment_content": "Consists of (i) 344,827 shares of Common Stock held of record by TCG Opportunity III LP and (ii) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K. TCG Opportunity III GP LP is the general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to these securities. TCG Opportunity III GP LLC is the general partner of TCG Opportunity III GP LP and the ultimate general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to these securities. Peter Svennilson and Tim Kutzkey, a member of the Issuer's board of directors, are the managing members of TCG Opportunity III GP LLC and may each be deemed to share voting, investment and dispositive power with respect to these securities. Excludes warrants to purchase 431,034 shares of Common Stock held by TCG Opportunity III LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations.\n\nBased on 12,003,948 shares outstanding, comprised of (i) 11,486,707 shares of Common Stock outstanding as of March 19, 2026, as reported by the Issuer in the Form 10-K, plus (ii) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement." }, { "accession_no": "0001193125-26-227857", "person_seq": 6, "reporting_person_cik": 1614186, "reporting_person_name": "Tim Kutzkey", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3824612.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3824612.0, "aggregate_amount_owned": 3824612.0, "percent_of_class": 29.3, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 900,292 shares of Common Stock held of record by TCG III LP, (ii) 485,830 shares of Common Stock which TCG III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K, (iii) warrants to purchase 5,218 shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement, (iv) 1,016,658 shares of Common Stock held of record by TCG III-A LP, (v) 548,653 shares of Common Stock which TCG III-A LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K, (vi) warrants to purchase 5,893 shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement, (vii) 344,827 shares of Common Stock held of record by TCG Opportunity III LP and (viii) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K. TCG III GP LP is the general partner of each of TCG III LP and TCG III-A LP and may be deemed to have voting, investment and dispositive power with respect to these securities. TCG Opportunity III GP LP is the general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to the securities held by TCG Opportunity III LP. TCG Opportunity III GP LLC is the general partner of TCG Opportunity III GP LP and the ultimate general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to the securities held by TCG Opportunity III LP. Peter Svennilson and Tim Kutzkey, a member of the Issuer's board of directors, are the managing partners of TCG III GP LP and the managing members of TCG Opportunity III GP LLC and may each be deemed to share voting, investment and dispositive power with respect to these securities. Excludes (a) warrants to purchase 594,625 shares of Common Stock held by TCG III, LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations, (b) warrants to purchase 671,518 shares of Common Stock held by TCG III-A LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations and (c) 431,034 shares of Common Stock held by TCG Opportunity III LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations.\n\nBased on 13,049,542 shares outstanding, comprised of (i) 11,486,707 shares of Common Stock outstanding as of March 19, 2026, as reported by the Issuer in the Form 10-K, plus (ii) 485,830 shares of Common Stock which TCG III LP has the right to acquire within 60 days of this Statement, plus (iii) 5,218 shares underlying warrants to purchase shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement, plus (iv) 548,653 shares of Common Stock which TCG III-A LP has the right to acquire within 60 days of this Statement, plus (v) 5,893 shares underlying warrants to purchase shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement, plus (vi) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement." }, { "accession_no": "0001193125-26-227857", "person_seq": 7, "reporting_person_cik": 1606074, "reporting_person_name": "Peter Svennilson", "fund_type": "AF", "citizenship_or_org": "V7", "sole_voting_power": 0.0, "shared_voting_power": 3824612.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3824612.0, "aggregate_amount_owned": 3824612.0, "percent_of_class": 29.3, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 900,292 shares of Common Stock held of record by TCG III LP, (ii) 485,830 shares of Common Stock which TCG III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K, (iii) warrants to purchase 5,218 shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement, (iv) 1,016,658 shares of Common Stock held of record by TCG III-A LP, (v) 548,653 shares of Common Stock which TCG III-A LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K, (vi) warrants to purchase 5,893 shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement, (vii) 344,827 shares of Common Stock held of record by TCG Opportunity III LP and (viii) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement in the second tranche of the Issuer's private placement transaction as disclosed by the Issuer in the Form 8-K. TCG III GP LP is the general partner of each of TCG III LP and TCG III-A LP and may be deemed to have voting, investment and dispositive power with respect to these securities. TCG Opportunity III GP LP is the general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to the securities held by TCG Opportunity III LP. TCG Opportunity III GP LLC is the general partner of TCG Opportunity III GP LP and the ultimate general partner of TCG Opportunity III LP and may be deemed to have voting, investment and dispositive power with respect to the securities held by TCG Opportunity III LP. Peter Svennilson and Tim Kutzkey, a member of the Issuer's board of directors, are the managing partners of TCG III GP LP and the managing members of TCG Opportunity III GP LLC and may each be deemed to share voting, investment and dispositive power with respect to these securities. Excludes (a) warrants to purchase 594,625 shares of Common Stock held by TCG III, LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations, (b) warrants to purchase 671,518 shares of Common Stock held by TCG III-A LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations and (c) 431,034 shares of Common Stock held by TCG Opportunity III LP which are not exercisable within 60 days of this Statement due to beneficial ownership limitations.\n\nBased on 13,049,542 shares outstanding, comprised of (i) 11,486,707 shares of Common Stock outstanding as of March 19, 2026, as reported by the Issuer in the Form 10-K, plus (ii) 485,830 shares of Common Stock which TCG III LP has the right to acquire within 60 days of this Statement, plus (iii) 5,218 shares underlying warrants to purchase shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement, plus (iv) 548,653 shares of Common Stock which TCG III-A LP has the right to acquire within 60 days of this Statement, plus (v) 5,893 shares underlying warrants to purchase shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement, plus (vi) 517,241 shares of Common Stock which TCG Opportunity III LP has the right to acquire within 60 days of this Statement." }, { "accession_no": "0001193125-26-228280", "person_seq": 0, "reporting_person_cik": 59558, "reporting_person_name": "Lincoln National Corporation", "fund_type": "WC", "citizenship_or_org": "IN", "sole_voting_power": 0.0, "shared_voting_power": 5237272.66, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5237272.66, "aggregate_amount_owned": 5237272.66, "percent_of_class": 17.21, "type_of_reporting_person": "HC", "comment_content": "Items 8, 10, 11, and 13: The Lincoln National Life Insurance Company, an Indiana corporation (\"LNL\"), directly owns the following shares of beneficial interests in the Issuer: 5,234,135.36 Class I shares of beneficial interests (\"Class I Shares\"), 1,044.08 Class A shares of beneficial interests (\"Class A Shares\"), 1,045.95 Class D shares of beneficial interests (\"Class D Shares\"), and 1,047.28 Class IS shares of beneficial interests (\"Class IS Shares\" and, together with the Class I Shares, Class A Shares and Class D Shares, the \"Shares\"). Based on information provided by the Issuer as of the date of this Schedule 13D filing, LNL owns 17.20% of the Class I Shares outstanding, 100% of the Class A Shares outstanding, 100% of the Class D Shares outstanding, and 100% of the Class IS Shares outstanding. LNL is a wholly owned subsidiary of its parent holding company, Lincoln National Corporation, an Indiana corporation (\"LNC\"), which may be deemed to be an indirect beneficial owner of the reported securities." }, { "accession_no": "0001193125-26-228280", "person_seq": 1, "reporting_person_cik": 726865, "reporting_person_name": "The Lincoln National Life Insurance Company", "fund_type": "WC", "citizenship_or_org": "IN", "sole_voting_power": 0.0, "shared_voting_power": 5237272.66, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5237272.66, "aggregate_amount_owned": 5237272.66, "percent_of_class": 17.21, "type_of_reporting_person": "IC", "comment_content": "Items 8, 10, 11, and 13: LNL directly owns the following shares of beneficial interests in the Issuer: 5,234,135.36 Class I Shares, 1,044.08 Class A Shares, 1,045.95 Class D Shares and 1,047.28 Class IS Shares. Based on information provided by the Issuer as of the date of this Schedule 13D filing, LNL owns 17.20% of the Class I Shares outstanding, 100% of the Class A Shares outstanding, 100% of the Class D Shares outstanding, and 100% of the Class IS Shares outstanding. LNL is a wholly owned subsidiary of its parent holding company, LNC, which may be deemed to be an indirect beneficial owner of the reported securities." }, { "accession_no": "0001193125-26-228280", "person_seq": 2, "reporting_person_cik": 1464867, "reporting_person_name": "Lincoln Financial Investments Corporation", "fund_type": "OO", "citizenship_or_org": "TN", "sole_voting_power": 0.0, "shared_voting_power": 19954569.64, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19954569.64, "aggregate_amount_owned": 19954569.64, "percent_of_class": 65.58, "type_of_reporting_person": "IA", "comment_content": "Items 8, 10, and 11: These Class I Shares are owned directly by certain series of the Lincoln Variable Insurance Products Trust (the \"Trust\"), an investment company registered with the U.S. Securities and Exchange Commission under the Investment Company Act of 1940, as amended. Lincoln Financial Investments Corporation (\"LFI\" and together with LNL and LNC, the \"Reporting Persons\"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, serves as the investment adviser to each such series of the Trust, and may be deemed to have beneficial ownership of the Class I Shares reported herein as being directly by each such series of the Trust.\n\nItem 13: Percent of class calculated based on 30,422,840.35 Class I Shares outstanding as of the date of this Schedule 13D filing." }, { "accession_no": "0001193125-26-229005", "person_seq": 0, "reporting_person_cik": 1616061, "reporting_person_name": "Karman Topco L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 6998347.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6998347.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6998347.0, "percent_of_class": 52.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-229103", "person_seq": 0, "reporting_person_cik": 2085726, "reporting_person_name": "Winklevoss Capital Fund, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 82269641.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82269641.0, "aggregate_amount_owned": 82269641.0, "percent_of_class": 65.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-229103", "person_seq": 1, "reporting_person_cik": 2096657, "reporting_person_name": "Winklevoss Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 82269641.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82269641.0, "aggregate_amount_owned": 82269641.0, "percent_of_class": 65.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-229103", "person_seq": 2, "reporting_person_cik": 2084694, "reporting_person_name": "Tyler Howard Winklevoss", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 82269641.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82269641.0, "aggregate_amount_owned": 82269641.0, "percent_of_class": 65.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-229103", "person_seq": 3, "reporting_person_cik": 2084695, "reporting_person_name": "Cameron Howard Winklevoss", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 82269641.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 82269641.0, "aggregate_amount_owned": 82269641.0, "percent_of_class": 65.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-230372", "person_seq": 0, "reporting_person_cik": 1182451, "reporting_person_name": "John D. Gottwald", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 1917639.0, "shared_voting_power": 4079814.0, "sole_dispositive_power": 1917639.0, "shared_dispositive_power": 4079814.0, "aggregate_amount_owned": 5997453.0, "percent_of_class": 17.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-230372", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "William M. Gottwald", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 211260.0, "shared_voting_power": 4090597.0, "sole_dispositive_power": 211260.0, "shared_dispositive_power": 4090597.0, "aggregate_amount_owned": 4301857.0, "percent_of_class": 12.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-230372", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "James T. Gottwald", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 40000.0, "shared_voting_power": 4180597.0, "sole_dispositive_power": 40000.0, "shared_dispositive_power": 4180597.0, "aggregate_amount_owned": 4220597.0, "percent_of_class": 12.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-230372", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Residual 10-Year CLAT UA FDGJR Living Trust", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1447405.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1447405.0, "aggregate_amount_owned": 1447405.0, "percent_of_class": 4.1, "type_of_reporting_person": "OO", "comment_content": "* Amendment No. 18 amends and supplements Amendment Nos. 1 through 17 to the statement on Schedule 13D initially filed on August 15, 1989 with respect to shares of common stock (the \"Common Stock\") of Tredegar Corporation (the \"Issuer\").\n\n1 In computing the percentage ownership, each of the Reporting Persons assumed that there are 35,016,819 shares of Common Stock outstanding, as reported by Tredegar Corporation in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, as filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001193125-26-230872", "person_seq": 0, "reporting_person_cik": 1409751, "reporting_person_name": "Coliseum Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3697422.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3697422.0, "aggregate_amount_owned": 3697422.0, "percent_of_class": 15.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-230872", "person_seq": 1, "reporting_person_cik": 1409585, "reporting_person_name": "Coliseum Capital, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3083833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3083833.0, "aggregate_amount_owned": 3083833.0, "percent_of_class": 12.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-230872", "person_seq": 2, "reporting_person_cik": 1356974, "reporting_person_name": "Coliseum Capital Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3083833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3083833.0, "aggregate_amount_owned": 3083833.0, "percent_of_class": 12.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-230872", "person_seq": 3, "reporting_person_cik": 1454123, "reporting_person_name": "Adam Gray", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3697422.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3697422.0, "aggregate_amount_owned": 3697422.0, "percent_of_class": 15.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-230872", "person_seq": 4, "reporting_person_cik": 1430708, "reporting_person_name": "Christopher Shackelton", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3697422.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3697422.0, "aggregate_amount_owned": 3697422.0, "percent_of_class": 15.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-231421", "person_seq": 0, "reporting_person_cik": 1932967, "reporting_person_name": "David A. Ladensohn", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 176936842.0, "sole_dispositive_power": null, "shared_dispositive_power": 176936842.0, "aggregate_amount_owned": 176936842.0, "percent_of_class": 58.2, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11: Consists of (i) 151,561,831 shares of Class V-3 common stock held of record by The RBC Millennium Trust, for which the Reporting Person serves as co-trustee with Janet L. Cohen and Joseph P. Toce, Jr., and may be deemed to have shared voting and investment power therein, (ii) 520,835 shares of Class V-1 common stock and 13,858,144 shares of Class V-3 common stock held of record by The Tilia Mill Trust (formerly the Jill Cohen Mill Trust), for which the Reporting Person serves as co-trustee with Janet L. Cohen, and may be deemed to have shared voting and investment power therein, (iii) 375,378 shares of Class V-1 common stock and 10,615,154 shares of Class V-3 common stock held of record by The Serenade QSST Trust (formerly The 2014 QSST F/B/O Rachel Kanter), for which the Reporting Person serves as trustee, (v) 2,500 shares of Class A common stock held of record by Ladensohn Family Investments, Ltd., of which the Reporting Person is a general partner and may be deemed to have shared voting and investment power therein; and (vi) 3,000 shares of Class A common stock held by of record by David A. Ladensohn Roth IRA, over which the Reporting Person exercises investment and dispositive power. Shares of Class V-3 common stock entitles its holders to 3 votes per share and are convertible on a one-for-one basis into shares of Class A common stock of the Issuer at the election of the holder and upon the redemption of an equal number of OpCo Units (as described in Item 3 herein). Shares of Class V-1 common stock entitles its holders to 1 vote per share and are convertible on a one-for-one basis into shares of Class A common stock of the Issuer at the election of the holder and upon the redemption of an equal number of OpCo Units (as described in Item 3 herein).\n\nRow 13: Based on information about outstanding shares as of May 4, 2026 disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 6, 2026. The percent of class assumes conversion of all of the Reporting Person's Class V-1 common stock and Class V-3 common stock into Class A common stock, resulting in a total of 304,153,253 shares of Class A common stock outstanding (which reflects the sum of (x) 127,215,411 shares of Class A common stock outstanding as of May 4, 2026, (y) 896,213 shares of Class A common stock issuable upon conversion of the Reporting Person's Class V-1 common stock and (z) 176,035,129 shares of Class A common stock issuable on conversion of the Reporting Person's Class V-3 common stock). Based on the total of 602,706,815 shares of the Issuer's common stock outstanding as of May 4, 2026 (including (i) 127,215,411 shares of Class A common stock, (ii) 71,932,208 shares of Class V-1 common stock, and (iii) 403,559,196 shares of Class V-3 common stock), the Reporting Person beneficially owns 29.2% of the Issuer's total outstanding Class A common stock on a fully diluted basis as of May 4, 2026." }, { "accession_no": "0001193125-26-231421", "person_seq": 1, "reporting_person_cik": 1932964, "reporting_person_name": "The RBC Millennium Trust", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 151561831.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 151561831.0, "aggregate_amount_owned": 151561831.0, "percent_of_class": 54.4, "type_of_reporting_person": "OO", "comment_content": "Rows 7, 9 and 11: Consists of 151,561,831 shares of Class V-3 common stock held of record by The RBC Millennium Trust, for which the Reporting Person serves as co-trustee with Janet L. Cohen and Joseph P. Toce, Jr., and may be deemed to have shared voting and investment power therein. Shares of Class V-3 common stock entitles its holders to 3 votes per share and are convertible on a one-for-one basis into shares of Class A common stock of the Issuer at the election of the holder and upon the redemption of an equal number of OpCo Units (as defined herein).\n\nRow 13: Based on information about outstanding shares as of May 4, 2026 disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 6, 2026. The percent of class assumes conversion of all of the Reporting Person's Class V-3 common stock into Class A common stock, resulting in a total of 278,777,242 shares of Class A common stock outstanding (which reflects the sum of (x) 127,215,411 shares of Class A common stock outstanding as of May 4, 2026 and (y) 151,561,831 shares of Class A common stock issuable on conversion of the Reporting Person's Class V-3 common stock). Based on the total of 602,706,815 shares of the Issuer's common stock outstanding as of May 4, 2026 (including (i) 127,215,411 shares of Class A common stock, (ii) 71,932,208 shares of Class V-1 common stock, and (iii) 403,559,196 shares of Class V-3 common stock), the Reporting Person beneficially owns 25.1% of the Issuer's total outstanding Class A common stock on a fully diluted basis as of May 4, 2026." }, { "accession_no": "0001193125-26-231421", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "The Tilia Mill Trust", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 14378979.0, "sole_dispositive_power": null, "shared_dispositive_power": 14378979.0, "aggregate_amount_owned": 14378979.0, "percent_of_class": null, "type_of_reporting_person": "OO", "comment_content": "Rows 7, 9 and 11: Consists of 520,835 shares of Class V-1 common stock and 13,858,144 shares of Class V-3 common stock held of record by The Tilia Mill Trust. Shares of Class V-1 common stock entitles its holders to 1 vote per share and shares of Class V-3 common stock entitles its holders to 3 votes per share, and both classes of common stock are convertible on a one-for-one basis into shares of Class A common stock of the Issuer at the election of the holder and upon the redemption of an equal number of OpCo Units (as defined herein).\n\nRow 13: Based on information about outstanding shares as of May 4, 2026 disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 6, 2026. The percent of class assumes conversion of all of the Reporting Person's Class V-1 common stock and Class V-3 common stock into Class A common stock, resulting in a total of 141,594,390 shares of Class A common stock outstanding (which reflects the sum of (x) 127,215,411 shares of Class A common stock outstanding as of May 4, 2026, (y) 520,835 shares of Class A common stock issuable on conversion of the Reporting Person's Class V-1 common stsock, and (z) 13,858,144 shares of Class A common stock issuable on conversion of the Reporting Person's V-3 common stock). Based on the total of 602,706,815 shares of the Issuer's common stock outstanding as of May 4, 2026 (including (i) 127,215,411 shares of Class A common stock, (ii) 71,932,208 shares of Class V-1 common stock, and (iii) 403,559,196 shares of Class V-3 common stock), the Reporting Person beneficially owns 2.3% of the Issuer's total outstanding Class A common stock on a fully diluted basis as of May 4, 2026." }, { "accession_no": "0001193125-26-231421", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "The Serenade QSST Trust", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 10990532.0, "sole_dispositive_power": null, "shared_dispositive_power": 10990532.0, "aggregate_amount_owned": 10990532.0, "percent_of_class": 8.0, "type_of_reporting_person": "OO", "comment_content": "Rows 7, 9 and 11: Consists of 375,378 shares of Class V-1 common stock and 10,615,154 shares of Class V-3 common stock held of record by The Serenade QSST Trust. Shares of Class V-1 common stock entitles its holders to 1 vote per share and shares of Class V-3 common stock entitles its holders to 3 votes per share, and both classes of common stock are convertible on a one-for-one basis into shares of Class A common stock of the Issuer at the election of the holder and upon the redemption of an equal number of OpCo Units (as defined herein).\n\nRow 13: Based on information about outstanding shares as of May 4, 2026 disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 6, 2026. The percent of class assumes conversion of all of the Reporting Person's Class V-1 common stock and Class V-3 common stock into Class A common stock, resulting in a total of 138,205,943 shares of Class A common stock outstanding (which reflects the sum of (x) 127,215,411 shares of Class A common stock outstanding as of May 4, 2026, (y) 375,378 shares of Class A common stock issuable on conversion of the Reporting Person's Class V-1 common stsock, and (z) 10,615,154 shares of Class A common stock issuable on conversion of the Reporting Person's V-3 common stock). Based on the total of 602,706,815 shares of the Issuer's common stock outstanding as of May 4, 2026 (including (i) 127,215,411 shares of Class A common stock, (ii) 71,932,208 shares of Class V-1 common stock, and (iii) 403,559,196 shares of Class V-3 common stock), the Reporting Person beneficially owns 1.8% of the Issuer's total outstanding Class A common stock on a fully diluted basis as of May 4, 2026." }, { "accession_no": "0001193125-26-231421", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "The 2014 QSST F/B/O Perry Cohen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-231436", "person_seq": 0, "reporting_person_cik": 2134480, "reporting_person_name": "Ronald M. Wright", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 10857484.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10857484.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10857484.0, "percent_of_class": 7.9, "type_of_reporting_person": "IN", "comment_content": "Rows 7, 9 and 11: Consists of (i) 4,000 shares of Class A common stock held by Ronald M. Wright and (ii) 10,853,484 shares of Class V-3 common stock held of record by The Goose Pond Trust, for which Mr. Wright serves as trustee and may be deemed to have sole voting and investment power therein. Shares of Class V-3 common stock entitles its holders to 3 votes per share and are convertible on a one-for-one basis into shares of Class A common stock of the Issuer at the election of the holder and upon the redemption of an equal number of OpCo Units (as defined herein).\n\nRow 13: Based on information about outstanding shares as of May 4, 2026 disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 6, 2026. The percent of class assumes conversion of all of the Reporting Person's Class V-3 common stock into Class A common stock, resulting in a total of 138,068,895 shares of Class A common stock outstanding (which reflects the sum of (x) 127,215,411 shares of Class A common stock outstanding as of May 4, 2026 and (y) 10,853,484 shares of Class A common stock issuable on conversion of the Reporting Person's Class V-3 common stock). Based on the total of 602,706,815 shares of the Issuer's common stock outstanding as of May 4, 2026 (including (i) 127,215,411 shares of Class A common stock, (ii) 71,932,208 shares of Class V-1 common stock, and (iii) 403,559,196 shares of Class V-3 common stock), the Reporting Person beneficially owns 1.8% of the Issuer's total outstanding Class A common stock on a fully diluted basis as of May 4, 2026." }, { "accession_no": "0001193125-26-231436", "person_seq": 1, "reporting_person_cik": 2134928, "reporting_person_name": "The Goose Pond Trust", "fund_type": "OO", "citizenship_or_org": "NH", "sole_voting_power": 10853484.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10853484.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10853484.0, "percent_of_class": 7.9, "type_of_reporting_person": "OO", "comment_content": "Rows 7, 9 and 11: Consists of 10,853,484 shares of Class V-3 common stock held of record by The Goose Pond Trust. Shares of Class V-3 common stock entitles its holders to 3 votes per share and are convertible on a one-for-one basis into shares of Class A common stock of the Issuer at the election of the holder and upon the redemption of an equal number of OpCo Units (as defined herein).\n\nRow 13: Based on information about outstanding shares as of May 4, 2026 disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 6, 2026. The percent of class assumes conversion of all of the Reporting Person's Class V-3 common stock into Class A common stock, resulting in a total of 138,068,895 shares of Class A common stock outstanding (which reflects the sum of (x) 127,215,411 shares of Class A common stock outstanding as of May 4, 2026 and (y) 10,853,484 shares of Class A common stock issuable on conversion of the Reporting Person's Class V-3 common stock). Based on the total of 602,706,815 shares of the Issuer's common stock outstanding as of May 4, 2026 (including (i) 127,215,411 shares of Class A common stock, (ii) 71,932,208 shares of Class V-1 common stock, and (iii) 403,559,196 shares of Class V-3 common stock), the Reporting Person beneficially owns 1.8% of the Issuer's total outstanding Class A common stock on a fully diluted basis as of May 4, 2026." }, { "accession_no": "0001193125-26-231479", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Survivor's Trust under the Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 7629180.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7629180.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7629180.0, "percent_of_class": 9.23, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 7,629,180 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Survivor's Trust (the \"Survivor's Trust\") under The Seros Ulloa Family Trust of 1996 (the \"The Seros Ulloa Family Trust\"). Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Survivor's Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-231479", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Non-Exempt Marital Trust under The Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1087571.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1087571.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1087571.0, "percent_of_class": 1.32, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 1,087,571 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Non-Exempt Marital Trust (the \"Non-Exempt Marital Trust\") under The Seros Ulloa Family Trust. Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Non-Exempt Marital Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-231479", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Alexandra Seros, as Trustee of The Bypass Trust under The Seros Ulloa Family Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 344840.0, "shared_voting_power": 0.0, "sole_dispositive_power": 344840.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 344840.0, "percent_of_class": 0.42, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 344,840 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of The Bypass Trust (the \"Bypass Trust\") under The Seros Ulloa Family Trust. Ms. Seros, who was the wife of the Company's late founder, Walter Ulloa, has sole voting and dispositive power over the shares held of record by the Bypass Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-231479", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Thomas Strickler, as Trustee of The Walter F. Ulloa Irrevocable Trust of 1996", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 389848.0, "shared_voting_power": 0.0, "sole_dispositive_power": 389848.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 389848.0, "percent_of_class": 0.47, "type_of_reporting_person": "OO", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 389,848 shares of Class A Common Stock held of record by Thomas Strickler, as Trustee of The Walter F. Ulloa Irrevocable Trust of 1996 (the \"Ulloa Irrevocable Trust\"). Mr. Strickler has sole voting and dispositive power over the shares held of record by the Ulloa Irrevocable Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-231479", "person_seq": 4, "reporting_person_cik": 1965002, "reporting_person_name": "Alexandra Seros", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 9061591.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9061591.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9061591.0, "percent_of_class": 10.96, "type_of_reporting_person": "IN", "comment_content": "(1) The amount set forth in rows 7, 9 and 11 above consists of 7,629,180 shares of Class A Common Stock held of record by Alexandra Seros, as Trustee of the Survivor's Trust, 1,087,571 shares of Class A Common Stock held of record by Ms. Seros, as Trustee of the Non-Exempt Marital Trust, and 344,840 shares of Class A Common Stock held of record by Ms. Seros, as Trustee of the Non-Exempt Marital Trust. Ms. Seros has sole voting and dispositive power over the shares held of record by the Survivor's Trust, the Non-Exempt Marital Trust and the Bypass Trust.\n(2) The percent of class set forth in row 13 above was calculated based on 82,686,451 shares of the Issuer's Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") by Entravision Communications Corporation on May 5, 2026." }, { "accession_no": "0001193125-26-231493", "person_seq": 0, "reporting_person_cik": 1326380, "reporting_person_name": "GameStop Corp.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 25000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 25000.0, "percent_of_class": 0.01, "type_of_reporting_person": "CO", "comment_content": "Rounded up to the nearest hundredth of a percent and based on the 444 million shares of Common Stock stated by the Issuer as being outstanding as of April 24, 2026 in its Form 10-Q, filed with the United States Securities and Exchange Commission on April 29, 2026 (the \"2026 Q1 10-Q\")." }, { "accession_no": "0001193125-26-232696", "person_seq": 0, "reporting_person_cik": 1825471, "reporting_person_name": "Danone S.A.", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-232696", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Danone USA Public Benefit Corporation", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-232710", "person_seq": 0, "reporting_person_cik": 2027139, "reporting_person_name": "REH Advisors Inc.", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 11256662.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11256662.0, "aggregate_amount_owned": 11256662.0, "percent_of_class": 6.3, "type_of_reporting_person": "CO", "comment_content": "* Calculation of percentage based on a total of 180,275,437 shares of Common Stock (as defined below) outstanding as of April 27, 2026, as reported by the Issuer (as defined below) in its Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission (the \"SEC\") on May 1, 2026, less the Common Stock acquired by the Issuer pursuant to the Twenty-Second Repurchase Transaction (as defined below).\n(1) The Reporting Person is the primary and direct beneficial owner of the 11,256,662 shares indicated above, and the board of directors of the Reporting Person has all voting and investment power with respect to such shares." }, { "accession_no": "0001193125-26-232878", "person_seq": 0, "reporting_person_cik": 34088, "reporting_person_name": "Exxon Mobil Corporation", "fund_type": "OO", "citizenship_or_org": "NJ", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-232878", "person_seq": 1, "reporting_person_cik": 1038357, "reporting_person_name": "Pioneer Natural Resources Company", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "Row 1: Pioneer Natural Resources Company, a Delaware corporation (\"Pioneer\"), is a direct wholly owned subsidiary of Exxon Mobil Corporation (\"Exxon Mobil\")." }, { "accession_no": "0001193125-26-232878", "person_seq": 2, "reporting_person_cik": 846920, "reporting_person_name": "Pioneer Natural Resources USA, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "Row 1: Pioneer Natural Resources USA, Inc., a Delaware corporation (\"Pioneer USA\"), is a direct wholly owned subsidiary of Pioneer." }, { "accession_no": "0001193125-26-232878", "person_seq": 3, "reporting_person_cik": 1763628, "reporting_person_name": "Pioneer Natural Resources Pumping Services LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Row 1: Pioneer Natural Resources Pumping Services LLC, a Delaware limited liability company (\"Pioneer Pumping Services\" and, together with Exxon Mobil, Pioneer and Pioneer USA, the \"Reporting Persons\"), is a direct wholly owned subsidiary of Pioneer USA." }, { "accession_no": "0001193125-26-233062", "person_seq": 0, "reporting_person_cik": 2042266, "reporting_person_name": "Foundation Fighting Blindness Retinal Degeneration Fund", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3792171.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3792171.0, "aggregate_amount_owned": 3792171.0, "percent_of_class": 4.66, "type_of_reporting_person": "CO", "comment_content": "Percent of class represented in Row (11) is based on 81,395,539 shares of common stock, $0.0001 par value per share (the \"Common Stock\") of Opus Genetics, Inc., a Delaware corporation (the \"Issuer\") outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on May 12, 2026." }, { "accession_no": "0001193125-26-233062", "person_seq": 1, "reporting_person_cik": 2042532, "reporting_person_name": "Foundation Fighting Blindness, Inc.", "fund_type": "OO", "citizenship_or_org": "MD", "sole_voting_power": 0.0, "shared_voting_power": 3792171.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3792171.0, "aggregate_amount_owned": 3792171.0, "percent_of_class": 4.66, "type_of_reporting_person": "CO", "comment_content": "Percent of class represented in Row (11) is based on 81,395,539 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 12, 2026." }, { "accession_no": "0001193125-26-233115", "person_seq": 0, "reporting_person_cik": 1407029, "reporting_person_name": "Dennis J. Wilson", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 3852.0, "shared_voting_power": 9901004.0, "sole_dispositive_power": 3852.0, "shared_dispositive_power": 9901004.0, "aggregate_amount_owned": 9904856.0, "percent_of_class": 8.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Anamered Investments Inc.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 4755217.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4755217.0, "aggregate_amount_owned": 4755217.0, "percent_of_class": 4.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 2, "reporting_person_cik": 2003936, "reporting_person_name": "LIPO Investments (USA), Inc.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 3401596.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3401596.0, "aggregate_amount_owned": 3401596.0, "percent_of_class": 3.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Wilson 5 Foundation", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 829325.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 829325.0, "aggregate_amount_owned": 829325.0, "percent_of_class": 0.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Wilson 5 Foundation Management Ltd.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 829325.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 829325.0, "aggregate_amount_owned": 829325.0, "percent_of_class": 0.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Five Boys Investments ULC", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 91760.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 91760.0, "aggregate_amount_owned": 91760.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Shannon Wilson", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 1098309.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1098309.0, "aggregate_amount_owned": 1098309.0, "percent_of_class": 1.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 7, "reporting_person_cik": 1972360, "reporting_person_name": "Low Tide Properties Ltd.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 554122.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 554122.0, "aggregate_amount_owned": 554122.0, "percent_of_class": 0.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "House of Wilson Ltd.", "fund_type": null, "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Laura Gentile", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Eric Hirshberg", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-233115", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Marc Maurer", "fund_type": null, "citizenship_or_org": "V8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-236850", "person_seq": 0, "reporting_person_cik": 1332784, "reporting_person_name": "Silver Point Capital, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6035214.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6035214.0, "aggregate_amount_owned": 6035214.0, "percent_of_class": 15.2, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-236850", "person_seq": 1, "reporting_person_cik": 1029625, "reporting_person_name": "Edward A. Mule", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6035214.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6035214.0, "aggregate_amount_owned": 6035214.0, "percent_of_class": 15.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-236850", "person_seq": 2, "reporting_person_cik": 1382617, "reporting_person_name": "Robert J. O'Shea", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6035214.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6035214.0, "aggregate_amount_owned": 6035214.0, "percent_of_class": 15.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-236919", "person_seq": 0, "reporting_person_cik": 1182684, "reporting_person_name": "Bob R. Simpson", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 7950000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7950000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7950000.0, "percent_of_class": 14.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-237003", "person_seq": 0, "reporting_person_cik": 1675124, "reporting_person_name": "Eclipse Continuity GP I, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 800358.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 800358.0, "aggregate_amount_owned": 800358.0, "percent_of_class": 0.4, "type_of_reporting_person": "OO", "comment_content": "Represents 800,358 shares of Class B common stock (the Class B common stock) which are convertible at any time at the option of the holder into shares of Class A common stock (as defined in Item 1(a)) on a one-for-one basis. All shares are held by Eclipse Continuity I (as defined in Item 2(a)). Eclipse Continuity GP (as defined in Item 2(a)) is the general partner of Eclipse Continuity I and may be deemed to have voting and dispositive power over the shares held by Eclipse Continuity I. Mr. Susan (as defined in Item 2(a)), a member of the Issuer's Board (as defined in Item 2(a)), is the sole managing member of Eclipse Continuity GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Issuer's (as defined in Item 1(a) below) initial public offering of its Class A common stock (the Offering), as reported by the Issuer in its prospectus filed with the United States Securities and Exchange Commission (the Commission) on May 14, 2026 (the Prospectus), which includes the full exercise of the underwriters' option to purchase 4,500,000 additional shares of Class A common stock (the Underwriters' Option), plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237003", "person_seq": 1, "reporting_person_cik": 1675126, "reporting_person_name": "Eclipse Continuity Fund I, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 800358.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 800358.0, "aggregate_amount_owned": 800358.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": "Represents 800,358 shares of Class B common stock which are convertible at any time at the option of the holder into shares of Class A common stock on a one-for-one basis. All shares are held by Eclipse Continuity I. Eclipse Continuity GP is the general partner of Eclipse Continuity I and may be deemed to have voting and dispositive power over the shares held by Eclipse Continuity I. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse Continuity GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Offering, as reported in the Prospectus, which includes the full exercise of the Underwriters' Option, plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237003", "person_seq": 2, "reporting_person_cik": 1843678, "reporting_person_name": "Eclipse Ventures GP I, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5517493.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5517493.0, "aggregate_amount_owned": 5517493.0, "percent_of_class": 2.5, "type_of_reporting_person": "OO", "comment_content": "Represents 5,517,493 shares of Class B common stock which are convertible at any time at the option of the holder into shares of Class A common stock on a one-for-one basis. All shares are held by Eclipse I (as defined in Item 2(a)). Eclipse I GP (as defined in Item 2(a)) is the general partner of Eclipse I and may be deemed to have voting and dispositive power over the shares held by Eclipse I. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse I GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Offering, as reported in the Prospectus, which includes the full exercise of the Underwriters' Option, plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237003", "person_seq": 3, "reporting_person_cik": 1641394, "reporting_person_name": "Eclipse Ventures Fund I, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5517493.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5517493.0, "aggregate_amount_owned": 5517493.0, "percent_of_class": 2.5, "type_of_reporting_person": "PN", "comment_content": "Represents 5,517,493 shares of Class B common stock which are convertible at any time at the option of the holder into shares of Class A common stock on a one-for-one basis. All shares are held by Eclipse I. Eclipse I GP is the general partner of Eclipse I and may be deemed to have voting and dispositive power over the shares held by Eclipse I. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse I GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Offering, as reported in the Prospectus, which includes the full exercise of the Underwriters' Option, plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237003", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Eclipse SPV II GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6548466.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6548466.0, "aggregate_amount_owned": 6548466.0, "percent_of_class": 3.0, "type_of_reporting_person": "OO", "comment_content": "Represents 6,548,466 shares of Class B common stock which are convertible at any time at the option of the holder into shares of Class A common stock on a one-for-one basis. All shares are held by Eclipse SPV II (as defined in Item 2(a)). Eclipse SPV II GP (as defined in Item 2(a)) is the general partner of Eclipse SPV II and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV II. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse SPV II GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Offering, as reported in the Prospectus, which includes the full exercise of the Underwriters' Option, plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237003", "person_seq": 5, "reporting_person_cik": 1791665, "reporting_person_name": "Eclipse SPV II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6548466.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6548466.0, "aggregate_amount_owned": 6548466.0, "percent_of_class": 3.0, "type_of_reporting_person": "PN", "comment_content": "Represents 6,548,466 shares of Class B common stock which are convertible at any time at the option of the holder into shares of Class A common stock on a one-for-one basis. All shares are held by Eclipse SPV II. Eclipse SPV II GP is the general partner of Eclipse SPV II and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV II. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse SPV II GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Offering, as reported in the Prospectus, which includes the full exercise of the Underwriters' Option, plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237003", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Eclipse SPV XIII GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 599880.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 599880.0, "aggregate_amount_owned": 599880.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "Represents 599,880 shares of Class B common stock which are convertible at any time at the option of the holder into shares of Class A common stock on a one-for-one basis. All shares are held by Eclipse SPV XIII (as defined in Item 2(a)). Eclipse SPV XIII GP (as defined in Item 2(a)) is the general partner of Eclipse SPV XIII and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV XIII. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse SPV XIII GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Offering, as reported in the Prospectus, which includes the full exercise of the Underwriters' Option, plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237003", "person_seq": 7, "reporting_person_cik": 1943130, "reporting_person_name": "Eclipse SPV XIII, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 599880.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 599880.0, "aggregate_amount_owned": 599880.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "Represents 599,880 shares of Class B common stock which are convertible at any time at the option of the holder into shares of Class A common stock on a one-for-one basis. All shares are held by Eclipse SPV XIII. Eclipse SPV XIII GP is the general partner of Eclipse SPV XIII and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV XIII. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse SPV XIII GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Offering, as reported in the Prospectus, which includes the full exercise of the Underwriters' Option, plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237003", "person_seq": 8, "reporting_person_cik": 1832895, "reporting_person_name": "Lior Susan", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 13466197.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13466197.0, "aggregate_amount_owned": 13466197.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 800,358 shares of Class B common stock held by Eclipse Continuity I, (ii) 5,517,493 shares of Class B common stock held by Eclipse I, (iii) 6,548,466 shares of Class B common stock held by Eclipse SPV II, and (iv) 599,880 shares of Class B common stock held by Eclipse SPV XIII. The Class B common stock is convertible at any time at the option of the holder into shares of Class A common stock on a one-for-one basis. Eclipse Continuity GP is the general partner of Eclipse Continuity I and may be deemed to have voting and dispositive power over the shares held by Eclipse Continuity I. Eclipse I GP is the general partner of Eclipse I and may be deemed to have voting and dispositive power over the shares held by Eclipse I. Eclipse SPV II GP is the general partner of Eclipse SPV II and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV II. Eclipse SPV XIII GP is the general partner of Eclipse SPV XIII and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV XIII. Mr. Susan, a member of the Issuer's Board, is the sole managing member of each of Eclipse Continuity GP, Eclipse I GP, Eclipse SPV II GP, and Eclipse SPV XIII GP and may be deemed to have voting and dispositive power with respect to the shares held by each of Eclipse Continuity I, Eclipse I, Eclipse SPV II, and Eclipse SPV XIII.\n\nBased on 219,610,345 shares of common stock outstanding, consisting of (i) 34,500,000 shares of Class A common stock outstanding as of May 15, 2026, following the closing of the Offering, as reported in the Prospectus, which includes the full exercise of the Underwriters' Option, plus (ii) 185,304,949 shares of Class B common stock outstanding as of May 15, 2026, as reported by the Issuer in the Prospectus. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-237023", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Blackstone Treasury Holdings III L.L.C.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 9111800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9111800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9111800.0, "percent_of_class": 9.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-237023", "person_seq": 1, "reporting_person_cik": 1404073, "reporting_person_name": "Blackstone Holdings III L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9111800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9111800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9111800.0, "percent_of_class": 9.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-237023", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings III GP L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9111800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9111800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9111800.0, "percent_of_class": 9.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-237023", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings III GP Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9111800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9111800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9111800.0, "percent_of_class": 9.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-237023", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Blackstone Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9111800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9111800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9111800.0, "percent_of_class": 9.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-237023", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Blackstone Group Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 9111800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9111800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9111800.0, "percent_of_class": 9.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-237023", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Stephen A. Schwarzman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 9486800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9486800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9486800.0, "percent_of_class": 9.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-237252", "person_seq": 0, "reporting_person_cik": 1403412, "reporting_person_name": "James E. Davison, Jr.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5423932.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5423932.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5423932.0, "percent_of_class": 4.43, "type_of_reporting_person": "IN", "comment_content": "(1) Represents (i) 3,896,693 Class A Common Units, including (a) 3,883,045 Class A Common Units and (b) 13,648 Class A Common Units issuable upon conversion of Class B Common Units, (ii) 1,339,383 Class A Common Units previously held in trust for the Reporting Person's children and (iii) 187,856 Class A Common Units previously held in trust by the James E. and Margaret A.B. Davison Special Trust. The Reporting Person withdrew the Class A Units held in the trusts referenced in (ii) and (iii) on May 21, 2026 in exchange for contributions to the trusts of cash and property of equal value, as described herein.\n(2) Calculated using total Class A Common Units outstanding as of May 7, 2026, which includes 122,424,321 Class A Common Units outstanding, and 13,648 Class A Common Units which are issuable upon conversion of 13,648 Class B Common Units owned by the Reporting Person." }, { "accession_no": "0001193125-26-239217", "person_seq": 0, "reporting_person_cik": 1040463, "reporting_person_name": "John C. Goff", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4765498.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4765498.0, "aggregate_amount_owned": 4765498.0, "percent_of_class": 5.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-239217", "person_seq": 1, "reporting_person_cik": 1813595, "reporting_person_name": "Travis Goff", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 387135.0, "shared_voting_power": 0.0, "sole_dispositive_power": 387135.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 387135.0, "percent_of_class": 0.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-239217", "person_seq": 2, "reporting_person_cik": 1743461, "reporting_person_name": "John C. Goff 2010 Family Trust", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 4765498.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4765498.0, "aggregate_amount_owned": 4765498.0, "percent_of_class": 5.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-239217", "person_seq": 3, "reporting_person_cik": 1682344, "reporting_person_name": "Goff Capital, Inc.", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 221227.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 221227.0, "aggregate_amount_owned": 221227.0, "percent_of_class": 0.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-239217", "person_seq": 4, "reporting_person_cik": 1813596, "reporting_person_name": "Goff Family Investments, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 221227.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 221227.0, "aggregate_amount_owned": 221227.0, "percent_of_class": 0.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-239217", "person_seq": 5, "reporting_person_cik": 1687041, "reporting_person_name": "JCG 2016 Management, LLC", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 4544271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4544271.0, "aggregate_amount_owned": 4544271.0, "percent_of_class": 4.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-239217", "person_seq": 6, "reporting_person_cik": 1687040, "reporting_person_name": "JCG 2016 Holdings, LP", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 4544271.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4544271.0, "aggregate_amount_owned": 4544271.0, "percent_of_class": 4.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 0, "reporting_person_cik": 1886438, "reporting_person_name": "Green LTF Holdings II LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 1, "reporting_person_cik": 1531051, "reporting_person_name": "Green Equity Investors VI, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 2, "reporting_person_cik": 1531059, "reporting_person_name": "Green Equity Investors Side VI, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 3, "reporting_person_cik": 1568921, "reporting_person_name": "LGP Associates VI-A LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 4, "reporting_person_cik": 1568923, "reporting_person_name": "LGP Associates VI-B LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 5, "reporting_person_cik": 1632071, "reporting_person_name": "GEI Capital VI, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 6, "reporting_person_cik": 1632074, "reporting_person_name": "Green VI Holdings, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 7, "reporting_person_cik": 1175523, "reporting_person_name": "Leonard Green & Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 8, "reporting_person_cik": 1175525, "reporting_person_name": "LGP Management Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-239961", "person_seq": 9, "reporting_person_cik": 1632725, "reporting_person_name": "Peridot Coinvest Manager LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13236283.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13236283.0, "aggregate_amount_owned": 13236283.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-240025", "person_seq": 0, "reporting_person_cik": 1074034, "reporting_person_name": "Canyon Capital Advisors LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 7416294.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7416294.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7416294.0, "percent_of_class": 24.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-240025", "person_seq": 1, "reporting_person_cik": 1766581, "reporting_person_name": "Mitchell R. Julis", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 7416294.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7416294.0, "aggregate_amount_owned": 7416294.0, "percent_of_class": 24.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-240025", "person_seq": 2, "reporting_person_cik": 1766767, "reporting_person_name": "Joshua S. Friedman", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 7416294.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7416294.0, "aggregate_amount_owned": 7416294.0, "percent_of_class": 24.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-242427", "person_seq": 0, "reporting_person_cik": 1569866, "reporting_person_name": "Global Value Investment Corporation", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 43290.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 43290.0, "aggregate_amount_owned": 43290.0, "percent_of_class": 0.24, "type_of_reporting_person": "IA", "comment_content": "Percentage calculated is based on 18,006,963 shares of Common Stock, $0.01 par value outstanding as of April 28, 2026, as reported in the Form 10-Q for the fiscal quarter ended March 28, 2026, of CPS Technologies Corp." }, { "accession_no": "0001193125-26-242427", "person_seq": 1, "reporting_person_cik": 1733547, "reporting_person_name": "Jeffrey R. Geygan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 43290.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 43290.0, "aggregate_amount_owned": 43290.0, "percent_of_class": 0.24, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 18,006,963 shares of Common Stock, $0.01 par value outstanding as of April 28, 2026, as reported in the Form 10-Q for the fiscal quarter ended March 28, 2026, of CPS Technologies Corp." }, { "accession_no": "0001193125-26-242427", "person_seq": 2, "reporting_person_cik": 1734726, "reporting_person_name": "James P. Geygan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 43290.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 43290.0, "aggregate_amount_owned": 43290.0, "percent_of_class": 0.24, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 18,006,963 shares of Common Stock, $0.01 par value outstanding as of April 28, 2026, as reported in the Form 10-Q for the fiscal quarter ended March 28, 2026, of CPS Technologies Corp." }, { "accession_no": "0001193125-26-242427", "person_seq": 3, "reporting_person_cik": 1865363, "reporting_person_name": "Stacy A. Wilke", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 43290.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 43290.0, "aggregate_amount_owned": 43290.0, "percent_of_class": 0.24, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 18,006,963 shares of Common Stock, $0.01 par value outstanding as of April 28, 2026, as reported in the Form 10-Q for the fiscal quarter ended March 28, 2026, of CPS Technologies Corp." }, { "accession_no": "0001193125-26-242427", "person_seq": 4, "reporting_person_cik": 1865425, "reporting_person_name": "Kathleen M. Geygan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 43290.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 43290.0, "aggregate_amount_owned": 43290.0, "percent_of_class": 0.24, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 18,006,963 shares of Common Stock, $0.01 par value outstanding as of April 28, 2026, as reported in the Form 10-Q for the fiscal quarter ended March 28, 2026, of CPS Technologies Corp." }, { "accession_no": "0001193125-26-242427", "person_seq": 5, "reporting_person_cik": 2007274, "reporting_person_name": "Shawn G. Rice", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 43290.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 43290.0, "aggregate_amount_owned": 43290.0, "percent_of_class": 0.24, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 18,006,963 shares of Common Stock, $0.01 par value outstanding as of April 28, 2026, as reported in the Form 10-Q for the fiscal quarter ended March 28, 2026, of CPS Technologies Corp." }, { "accession_no": "0001193125-26-245631", "person_seq": 0, "reporting_person_cik": 1391297, "reporting_person_name": "Access Industries Holdings LLC", "fund_type": "SC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3220645.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3220645.0, "aggregate_amount_owned": 3220645.0, "percent_of_class": 4.24, "type_of_reporting_person": "OO", "comment_content": "All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 75,910,794 shares of Common Stock outstanding as of May 1, 2026, as set forth in the Issuer's Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on May 5, 2026." }, { "accession_no": "0001193125-26-245631", "person_seq": 1, "reporting_person_cik": 1508227, "reporting_person_name": "Access Industries, LLC", "fund_type": "SC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3220645.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3220645.0, "aggregate_amount_owned": 3220645.0, "percent_of_class": 4.24, "type_of_reporting_person": "OO", "comment_content": "All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 75,910,794 shares of Common Stock outstanding as of May 1, 2026, as set forth in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-245631", "person_seq": 2, "reporting_person_cik": 1508226, "reporting_person_name": "Access Industries Management, LLC", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3220645.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3220645.0, "aggregate_amount_owned": 3220645.0, "percent_of_class": 4.24, "type_of_reporting_person": "OO", "comment_content": "All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 75,910,794 shares of Common Stock outstanding as of May 1, 2026, as set forth in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-245631", "person_seq": 3, "reporting_person_cik": 1051856, "reporting_person_name": "Clal Industries Ltd.", "fund_type": "SC", "citizenship_or_org": "L3", "sole_voting_power": 3220645.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3220645.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3220645.0, "percent_of_class": 4.24, "type_of_reporting_person": "CO", "comment_content": "All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 75,910,794 shares of Common Stock outstanding as of May 1, 2026, as set forth in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-245631", "person_seq": 4, "reporting_person_cik": 1326628, "reporting_person_name": "Len Blavatnik", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3220645.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3220645.0, "aggregate_amount_owned": 3220645.0, "percent_of_class": 4.24, "type_of_reporting_person": "IN", "comment_content": "All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 75,910,794 shares of Common Stock outstanding as of May 1, 2026, as set forth in the Issuer's Form 10-Q filed with the SEC on May 5, 2026." }, { "accession_no": "0001193125-26-245833", "person_seq": 0, "reporting_person_cik": 1326380, "reporting_person_name": "GameStop Corp.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 25000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 25000.0, "percent_of_class": 0.01, "type_of_reporting_person": "CO", "comment_content": "Rounded up to the nearest hundredth of a percent and based on the 444 million shares of Common Stock stated by the Issuer as being outstanding as of April 24, 2026 in its Form 10-Q, filed with the United States Securities and Exchange Commission on April 29, 2026 (the \"2026 Q1 10-Q\")." }, { "accession_no": "0001193125-26-245848", "person_seq": 0, "reporting_person_cik": 1407029, "reporting_person_name": "Dennis J. Wilson", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 3852.0, "shared_voting_power": 9901004.0, "sole_dispositive_power": 3852.0, "shared_dispositive_power": 9901004.0, "aggregate_amount_owned": 9904856.0, "percent_of_class": 8.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Anamered Investments Inc.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 4755217.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4755217.0, "aggregate_amount_owned": 4755217.0, "percent_of_class": 4.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 2, "reporting_person_cik": 2003936, "reporting_person_name": "LIPO Investments (USA), Inc.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 3401596.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3401596.0, "aggregate_amount_owned": 3401596.0, "percent_of_class": 3.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Wilson 5 Foundation", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 829325.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 829325.0, "aggregate_amount_owned": 829325.0, "percent_of_class": 0.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Wilson 5 Foundation Management Ltd.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 829325.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 829325.0, "aggregate_amount_owned": 829325.0, "percent_of_class": 0.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Five Boys Investments ULC", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 91760.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 91760.0, "aggregate_amount_owned": 91760.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Shannon Wilson", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 1098309.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1098309.0, "aggregate_amount_owned": 1098309.0, "percent_of_class": 1.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 7, "reporting_person_cik": 1972360, "reporting_person_name": "Low Tide Properties Ltd.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 554122.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 554122.0, "aggregate_amount_owned": 554122.0, "percent_of_class": 0.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "House of Wilson Ltd.", "fund_type": null, "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Laura Gentile", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Eric Hirshberg", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-245848", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Marc Maurer", "fund_type": null, "citizenship_or_org": "V8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-245947", "person_seq": 0, "reporting_person_cik": 1283718, "reporting_person_name": "Canada Pension Plan Investment Board", "fund_type": "WC", "citizenship_or_org": "Z4", "sole_voting_power": 88846844.0, "shared_voting_power": 0.0, "sole_dispositive_power": 88846844.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 88846844.0, "percent_of_class": 34.4, "type_of_reporting_person": "CO", "comment_content": "Item 13 is calculated based on (i) 245,833,850 Class A ordinary shares (excluding treasury shares), nominal value of $0.0001 (the \"Shares\"), of ReNew Energy Global plc, a public limited company incorporated in England and Wales (the \"Issuer\"), outstanding as of October 2, 2025, as reported by the Issuer in its Form 6-K filed with the U.S. Securities and Exchange Commission (the \"SEC\") on October 28, 2025 plus (ii) an additional 12,345,678 Shares assuming conversion of the India Shares (as defined below).\nWith respect to items 7, 9, 11 and 13, the Reporting Person currently holds 76,501,166 Shares of the Issuer. In addition, the Business Combination Agreement grants the Reporting Person the right to, at its discretion, transfer the ordinary shares of Renew Power Private Limited, a company with limited liability incorporated under the laws of India and subsidiary of the Issuer (\"ReNew India\"), held by the Reporting Person (the \"India Shares\") to the Issuer in exchange for an aggregate of 12,345,678 Shares. The Reporting Person also holds one Class D ordinary share of the Issuer, nominal value of $0.0001 (the \"Class D Share\"). The Class D Share effectively gives the Reporting Person the right to exercise its voting rights as if the Reporting Person had already converted the India Shares into Shares. The Reporting Person is considered to beneficially own an aggregate of 88,846,844 Shares, or 34.4% of the voting rights associated with the outstanding Shares (including 12,345,678 voting rights exercisable by the Reporting Person by virtue of the Class D Share held by the Reporting Person)." }, { "accession_no": "0001193125-26-248643", "person_seq": 0, "reporting_person_cik": 1848200, "reporting_person_name": "BT DE Investments Inc.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 109944042.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 109944042.0, "aggregate_amount_owned": 109944042.0, "percent_of_class": 40.6, "type_of_reporting_person": "CO", "comment_content": "Row 13 is based on 270,549,931 common shares, no par value (\"Common Shares\"), of Charlotte's Web Holdings, Inc. (the \"Issuer\"), outstanding as of the date of this Amendment No. 2 (as defined below) as represented to the Reporting Person." }, { "accession_no": "0001193125-26-248643", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "British American Tobacco p.l.c.", "fund_type": "AF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 109944042.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 109944042.0, "aggregate_amount_owned": 109944042.0, "percent_of_class": 40.6, "type_of_reporting_person": null, "comment_content": "Row 13 is based on 270,549,931 Common Shares of the Issuer outstanding as of the date of this Amendment No. 2 as represented to the Reporting Person by the Issuer." }, { "accession_no": "0001193125-26-251853", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Ignition Acquisition Holdings LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16424728.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16424728.0, "aggregate_amount_owned": 16424728.0, "percent_of_class": 13.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-251853", "person_seq": 1, "reporting_person_cik": 1816546, "reporting_person_name": "Ignition Acquisition Holdings GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16424728.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16424728.0, "aggregate_amount_owned": 16424728.0, "percent_of_class": 13.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-251853", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Ignition Parent LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16424728.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16424728.0, "aggregate_amount_owned": 16424728.0, "percent_of_class": 13.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-251853", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Ignition GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16424728.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16424728.0, "aggregate_amount_owned": 16424728.0, "percent_of_class": 13.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-251853", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Ignition Topco Ltd", "fund_type": "OO", "citizenship_or_org": "Y7", "sole_voting_power": 0.0, "shared_voting_power": 16424728.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16424728.0, "aggregate_amount_owned": 16424728.0, "percent_of_class": 13.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-251853", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Apax X GP Co. Limited", "fund_type": "OO", "citizenship_or_org": "Y7", "sole_voting_power": 0.0, "shared_voting_power": 16424728.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16424728.0, "aggregate_amount_owned": 16424728.0, "percent_of_class": 13.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-251853", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Apax Guernsey (Holdco) PCC Limited Apax X Cell", "fund_type": "OO", "citizenship_or_org": "Y7", "sole_voting_power": 0.0, "shared_voting_power": 16424728.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16424728.0, "aggregate_amount_owned": 16424728.0, "percent_of_class": 13.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-251900", "person_seq": 0, "reporting_person_cik": 2061007, "reporting_person_name": "BoltRock Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4528936.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4528936.0, "aggregate_amount_owned": 4528936.0, "percent_of_class": 19.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-251900", "person_seq": 1, "reporting_person_cik": 1241947, "reporting_person_name": "Craig A. Huff", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4528936.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4528936.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4528936.0, "percent_of_class": 19.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-252011", "person_seq": 0, "reporting_person_cik": 1636349, "reporting_person_name": "Dubner Derek", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 516420.0, "shared_voting_power": 0.0, "sole_dispositive_power": 516420.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 516420.0, "percent_of_class": 3.7, "type_of_reporting_person": "IN", "comment_content": "Includes 516,420 shares of common stock of Red Violet, Inc. held directly by Derek Dubner.\nCalculated using 14,108,921 shares of common stock of Red Violet, Inc. outstanding as of April 30, 2026, as reported on the Quarterly Report on Form 10-Q filed by Red Violet, Inc. with the Securities and Exchange Commission (the \"SEC\") on May 6, 2026." }, { "accession_no": "0001193125-26-252011", "person_seq": 1, "reporting_person_cik": 1640723, "reporting_person_name": "MacLachlan Daniel", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 318049.0, "shared_voting_power": 0.0, "sole_dispositive_power": 318049.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 318049.0, "percent_of_class": 2.3, "type_of_reporting_person": "IN", "comment_content": "Includes 317,583 shares of common stock of Red Violet, Inc. held directly by Daniel MacLachlan and 466 shares of common stock of Red Violet, Inc. held by an IRA.\nCalculated using 14,108,921 shares of common stock of Red Violet, Inc. outstanding as of April 30, 2026, as reported on the Quarterly Report on Form 10-Q filed by Red Violet, Inc. with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-252011", "person_seq": 2, "reporting_person_cik": 1645365, "reporting_person_name": "Reilly James Patrick", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 191498.0, "shared_voting_power": 0.0, "sole_dispositive_power": 191498.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 191498.0, "percent_of_class": 1.4, "type_of_reporting_person": "IN", "comment_content": "Includes 191,498 shares of common stock of Red Violet, Inc. held directly by James Reilly.\nCalculated using 14,108,921 shares of common stock of Red Violet, Inc. outstanding as of April 30, 2026, as reported on the Quarterly Report on Form 10-Q filed by Red Violet, Inc. with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-252011", "person_seq": 3, "reporting_person_cik": 1684823, "reporting_person_name": "Dell Jeffrey Alan", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 126249.0, "shared_voting_power": 0.0, "sole_dispositive_power": 126249.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 126249.0, "percent_of_class": 0.9, "type_of_reporting_person": "IN", "comment_content": "Includes 126,249 shares of common stock of Red Violet, Inc. held directly by Jeffrey Dell.\nCalculated using 14,108,921 shares of common stock of Red Violet, Inc. outstanding as of April 30, 2026, as reported on the Quarterly Report on Form 10-Q filed by Red Violet, Inc. with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-252050", "person_seq": 0, "reporting_person_cik": 1636349, "reporting_person_name": "Dubner Derek", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 504420.0, "shared_voting_power": 0.0, "sole_dispositive_power": 504420.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 504420.0, "percent_of_class": 3.6, "type_of_reporting_person": "IN", "comment_content": "Includes 504,420 shares of common stock of Red Violet, Inc. held directly by Derek Dubner.\n\nCalculated using 14,108,921 shares of common stock of Red Violet, Inc. outstanding as of April 30, 2026, as reported on the Quarterly Report on Form 10-Q filed by Red Violet, Inc. with the Securities and Exchange Commission (the \"SEC\") on May 6, 2026." }, { "accession_no": "0001193125-26-252050", "person_seq": 1, "reporting_person_cik": 1640723, "reporting_person_name": "MacLachlan Daniel", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 306049.0, "shared_voting_power": 0.0, "sole_dispositive_power": 306049.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 306049.0, "percent_of_class": 2.2, "type_of_reporting_person": "IN", "comment_content": "Includes 305,583 shares of common stock of Red Violet, Inc. held directly by Daniel MacLachlan and 466 shares of common stock of Red Violet, Inc. held by an IRA.\n\nCalculated using 14,108,921 shares of common stock of Red Violet, Inc. outstanding as of April 30, 2026, as reported on the Quarterly Report on Form 10-Q filed by Red Violet, Inc. with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-252050", "person_seq": 2, "reporting_person_cik": 1645365, "reporting_person_name": "Reilly James Patrick", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 179498.0, "shared_voting_power": 0.0, "sole_dispositive_power": 179498.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 179498.0, "percent_of_class": 1.3, "type_of_reporting_person": "IN", "comment_content": "Includes 179,498 shares of common stock of Red Violet, Inc. held directly by James Patrick Reilly.\n\nCalculated using 14,108,921 shares of common stock of Red Violet, Inc. outstanding as of April 30, 2026, as reported on the Quarterly Report on Form 10-Q filed by Red Violet, Inc. with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-252050", "person_seq": 3, "reporting_person_cik": 1684823, "reporting_person_name": "Dell Jeffrey Alan", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 116249.0, "shared_voting_power": 0.0, "sole_dispositive_power": 116249.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 116249.0, "percent_of_class": 0.8, "type_of_reporting_person": "IN", "comment_content": "Includes 116,249 shares of common stock of Red Violet, Inc. held directly by Jeffrey Alan Dell.\nCalculated using 14,108,921 shares of common stock of Red Violet, Inc. outstanding as of April 30, 2026, as reported on the Quarterly Report on Form 10-Q filed by Red Violet, Inc. with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-253778", "person_seq": 0, "reporting_person_cik": 1015014, "reporting_person_name": "Mitchell P. Rales", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 4441570.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4441570.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4441570.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": "(1) Based on 62,854,027 shares of the Company's Common Stock outstanding as of June 1, 2026, comprised of (a) 60,881,712 shares of Common Stock outstanding as of April 28, 2026, as reported in the Company's Quarterly Report on Form 10-Q filed with the Commission on May 7, 2026, (b) 1,254,255 shares of common stock issued by the Company in a private placement on June 1, 2026, as reported in the Company's Current Report on Form 8-K filed with the Commission on June 2, 2026 and (c) 718,060 shares of Common Stock currently issuable upon conversion of the Series A Mandatory Convertible Preferred Stock beneficially owned by Reporting Person" }, { "accession_no": "0001193125-26-253840", "person_seq": 0, "reporting_person_cik": 1511001, "reporting_person_name": "ADW Capital Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14500000.0, "aggregate_amount_owned": 14500000.0, "percent_of_class": 19.3, "type_of_reporting_person": "PN", "comment_content": "The figures in Items 8, 10 and 11 include 10,750,000 Shares representing beneficial interests in Compass Diversified Holdings (\"Shares\") that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by Compass Diversified Holdings (the \"Issuer\") with the U.S. Securities and Exchange Commission (the \"SEC\") on May 6, 2026." }, { "accession_no": "0001193125-26-253840", "person_seq": 1, "reporting_person_cik": 1745214, "reporting_person_name": "ADW Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14500000.0, "aggregate_amount_owned": 14500000.0, "percent_of_class": 19.3, "type_of_reporting_person": "HC", "comment_content": "The figures in Items 8, 10 and 11 include 10,750,000 Shares that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-253840", "person_seq": 2, "reporting_person_cik": 1745215, "reporting_person_name": "Adam D. Wyden", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 14500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14500000.0, "aggregate_amount_owned": 14500000.0, "percent_of_class": 19.3, "type_of_reporting_person": "IN", "comment_content": "The figures in Items 8, 10 and 11 include 10,750,000 Shares that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-255001", "person_seq": 0, "reporting_person_cik": 1701991, "reporting_person_name": "Wolf Pen Branch, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 101601480.0, "shared_voting_power": null, "sole_dispositive_power": 42000000.0, "shared_dispositive_power": null, "aggregate_amount_owned": 101601480.0, "percent_of_class": 60.3, "type_of_reporting_person": "PN", "comment_content": "Row 4: See Item 3 of Original Schedule 13D (as defined under Item 1 below).\nRow 13: Based upon 168,441,239 shares of Class A Common Stock (voting) outstanding as of February 28, 2026 as disclosed in Brown-Forman Corporation's Quarterly Report on Form 10-Q for the quarter ended January 31, 2026, filed with the Securities and Exchange Commission on March 4, 2026." }, { "accession_no": "0001193125-26-255001", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Wolf Pen Branch GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 101601480.0, "shared_voting_power": null, "sole_dispositive_power": 42000000.0, "shared_dispositive_power": null, "aggregate_amount_owned": 101601480.0, "percent_of_class": 60.3, "type_of_reporting_person": "OO", "comment_content": "Row 4: See Item 3 of Original Schedule 13D.\nRow 7: Wolf Pen Branch GP, LLC has voting power with respect to these shares (which are the same shares in respect of which Wolf Pen Branch, LP has voting power) by virtue of serving as general partner of Wolf Pen Branch, LP. Wolf Pen Branch GP, LLC does not directly hold any of these shares.\nRow 9: Wolf Pen Branch GP, LLC has dispositive power with respect to these shares (which are the same shares in respect of which Wolf Pen Branch, LP has dispositive power) by virtue of serving as general partner of Wolf Pen Branch, LP. Wolf Pen Branch GP, LLC does not directly hold any of these shares.\nRow 13: Based upon 168,441,239 shares of Class A Common Stock (voting) outstanding as of February 28, 2026 as disclosed in Brown-Forman Corporation's Quarterly Report on Form 10-Q for the quarter ended January 31, 2026, filed with the Securities and Exchange Commission on March 4, 2026." }, { "accession_no": "0001193125-26-255760", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "FONAR, LLC", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "FONAR Acquisition Sub, Inc.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Bill Benham", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Breezy Mgmt., LLC.", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Robert Diamond", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Brianna Damadian", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Carl Erickson", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Carol Naglieri", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Charles Green", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Cindy Hargrave", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Cynthia B. 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Bonanni", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 34, "reporting_person_cik": null, "reporting_person_name": "Mark Decker", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 35, "reporting_person_cik": null, "reporting_person_name": "Megan Flanagan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 36, "reporting_person_cik": null, "reporting_person_name": "Michael Carlin", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 37, "reporting_person_cik": null, "reporting_person_name": "Mike Christie", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 38, "reporting_person_cik": null, "reporting_person_name": "Peggy Anne McCann", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 39, "reporting_person_cik": null, "reporting_person_name": "Richard Alan Feigenbaum", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 40, "reporting_person_cik": null, "reporting_person_name": "Rob Viel", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 41, "reporting_person_cik": null, "reporting_person_name": "Robert Bernstein", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 42, "reporting_person_cik": null, "reporting_person_name": "Robert W. Heinemann Jr.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 43, "reporting_person_cik": null, "reporting_person_name": "Roe Vella Brown", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 44, "reporting_person_cik": null, "reporting_person_name": "Ronald Merhige", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 45, "reporting_person_cik": null, "reporting_person_name": "Ronald G. Lehman II", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 46, "reporting_person_cik": null, "reporting_person_name": "Ronald Wagner", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 47, "reporting_person_cik": null, "reporting_person_name": "RYJOKA Holdings, LLC", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 48, "reporting_person_cik": null, "reporting_person_name": "Ryan Flanagan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 49, "reporting_person_cik": null, "reporting_person_name": "Sid Prakash", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 50, "reporting_person_cik": null, "reporting_person_name": "Sophimage LLC", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 51, "reporting_person_cik": null, "reporting_person_name": "Thomas Gemma", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 52, "reporting_person_cik": 1949366, "reporting_person_name": "Timothy Raymond Damadian", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 53, "reporting_person_cik": null, "reporting_person_name": "Tresina O'Rawe", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 54, "reporting_person_cik": null, "reporting_person_name": "Vincent Orrico", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 55, "reporting_person_cik": null, "reporting_person_name": "Wendy Heinemann", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-255760", "person_seq": 56, "reporting_person_cik": null, "reporting_person_name": "Xavier Patrick Rodrigo", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-257508", "person_seq": 0, "reporting_person_cik": 1182684, "reporting_person_name": "Bob R. Simpson", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 9000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9000000.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-257866", "person_seq": 0, "reporting_person_cik": 1844701, "reporting_person_name": "Carl Daikeler", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2597149.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2597149.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2597149.0, "percent_of_class": 36.3, "type_of_reporting_person": "IN", "comment_content": "Sections 7 and 9 above are based on beneficial ownership on June 2, 2026 of (i) 2,576,991 shares of Class X Common Stock and (ii) 20,158 stock options to acquire shares of Class A Common Stock that are currently exercisable or vest within 60 days. Each share of Class X Common Stock entitles the holder to 10 votes per share. Each share of Class X Common Stock is convertible to one share of Class A Common Stock at the option of Reporting Person, and will be automatically converted to one share of Class A Common Stock pursuant to the Issuer's charter upon the earlier of (a) the date the Reporting Person is no longer providing services to the Company as a senior executive officer or director of the Company, or (b) the date on which certain holders of Class X Common Stock have sold 75% of their shares (other than pursuant to certain permitted transfers).\n\nThe percentage ownership in section 13 above represents the Class A Common Stock percentage as of June 2, 2026 of 36.3%, based on 4,551,820 outstanding shares of Class A Common Stock, and includes the 20,158 stock options held by the Reporting Person as of such date. The Class X Common Stock represents 94.4% of the 2,729,003 shares of Class X Common Stock outstanding on June 2, 2026. The Reporting Person's voting power as of June 2, 2026 was 80.9%." }, { "accession_no": "0001193125-26-258039", "person_seq": 0, "reporting_person_cik": 1142206, "reporting_person_name": "Mitsui Sumitomo Insurance Co., Ltd.", "fund_type": "WC", "citizenship_or_org": "M0", "sole_voting_power": 58780450.0, "shared_voting_power": 0.0, "sole_dispositive_power": 58780450.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 58780450.0, "percent_of_class": 15.8, "type_of_reporting_person": "IC", "comment_content": "The aggregate amount in row (11) does not reflect shares of common stock, par value $0.20 per share (the \"Common Stock\"), of W. R. Berkley Corporation (the \"Issuer\") held by WR Berkley & Others LLC (\"Family Holdings\"), as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-258039", "person_seq": 1, "reporting_person_cik": 1431048, "reporting_person_name": "MS&AD Insurance Group Holdings, Inc.", "fund_type": "WC", "citizenship_or_org": "M0", "sole_voting_power": 0.0, "shared_voting_power": 58780450.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58780450.0, "aggregate_amount_owned": 58780450.0, "percent_of_class": 15.8, "type_of_reporting_person": "HC", "comment_content": "The aggregate amount in row (11) does not reflect shares of Common Stock held by Family Holdings, as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-258539", "person_seq": 0, "reporting_person_cik": 19617, "reporting_person_name": "JPMorgan Chase & Co.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7178.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7178.0, "aggregate_amount_owned": 7178.0, "percent_of_class": 100.0, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001193125-26-258539", "person_seq": 1, "reporting_person_cik": 2005954, "reporting_person_name": "DNT Asset Trust", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7178.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7178.0, "aggregate_amount_owned": 7178.0, "percent_of_class": 100.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-259706", "person_seq": 0, "reporting_person_cik": 2102845, "reporting_person_name": "Bernardo Gomez Martinez", "fund_type": "PF", "citizenship_or_org": "O5", "sole_voting_power": 710028540.0, "shared_voting_power": 24028511141.0, "sole_dispositive_power": 24738539681.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 24738539681.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": "The Shares reported herein consist of (i) 14,291,190,027 A Shares and 6,307,262,714 A Shares underlying the Convertible Debenture (as defined and further described in Item 4 below) representing 16.5% of the outstanding A Shares, assuming the conversion of the Convertible Debenture reported herein; (ii) 990,020,790 B Shares representing 1.8% of the outstanding B Shares; (iii) 1,575,033,075 D Shares representing 1.9% of the outstanding D Shares; and (iv) 1,575,033,075 L Shares representing 1.9% of the outstanding L Shares, and are based on approximately 118,614,113,375 A Shares, 54,882,207,692 B Shares, 83,562,738,595 D Shares and 83,562,738,595 L Shares outstanding as of March 31, 2026, as reported in the Issuer's Form 20-F filed with the Securities and Exchange Commission (\"SEC\") on April 30, 2026, adjusted to give pro forma effect to the conversion of the 6,307,262,714 A shares issuable upon conversion of the Convertible Debenture beneficially owned by the Reporting Person." }, { "accession_no": "0001193125-26-259707", "person_seq": 0, "reporting_person_cik": 1724519, "reporting_person_name": "Alfonso de Angoitia Noriega", "fund_type": "PF", "citizenship_or_org": "O5", "sole_voting_power": 710028540.0, "shared_voting_power": 24014609669.0, "sole_dispositive_power": 24724638209.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 24724638209.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": "The Shares reported herein consist of (i) 14,288,219,627 A Shares and 6,307,262,714 A Shares underlying the Convertible Debenture (as defined and further described in Item 4 below) representing 16.5% of the outstanding A Shares, assuming the conversion of the Convertible Debenture reported herein; (ii) 987,406,838 B Shares representing 1.8% of the outstanding B Shares; (iii) 1,570,874,515 D Shares representing 1.9% of the outstanding D Shares; and (iv) 1,570,874,515 L Shares representing 1.9% of the outstanding L Shares, and are based on approximately 118,614,113,375 A Shares, 54,882,207,692 B Shares, 83,562,738,595 D Shares and 83,562,738,595 L Shares outstanding as of March 31, 2026, as reported in the Issuer's Form 20-F filed with the Securities and Exchange Commission (\"SEC\") on April 30, 2026, adjusted to give pro forma effect to the conversion of the 6,307,262,714 A shares issuable upon conversion of the Convertible Debenture beneficially owned by the Reporting Person." }, { "accession_no": "0001193125-26-259859", "person_seq": 0, "reporting_person_cik": 1350750, "reporting_person_name": "The Heritage Group", "fund_type": "WC", "citizenship_or_org": "IN", "sole_voting_power": 13640211.0, "shared_voting_power": 882974.0, "sole_dispositive_power": 13640211.0, "shared_dispositive_power": 882974.0, "aggregate_amount_owned": 14523185.0, "percent_of_class": 16.56, "type_of_reporting_person": "HC", "comment_content": "The reported percentage is calculated based on 87,686,561 shares of the Issuer's Common Stock, par value $0.01 per share (\"Common Stock\") outstanding as of June 2, 2026, based on information provided by the Issuer." }, { "accession_no": "0001193125-26-260078", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "SL SPV-2, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17762868.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17762868.0, "aggregate_amount_owned": 17762868.0, "percent_of_class": 5.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "SLTA SPV-2, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17787431.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17762868.0, "aggregate_amount_owned": 17787431.0, "percent_of_class": 5.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "SLTA SPV-2 (GP), L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17787431.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17762868.0, "aggregate_amount_owned": 17787431.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Silver Lake Partners IV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 18234475.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18234475.0, "aggregate_amount_owned": 18234475.0, "percent_of_class": 5.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Silver Lake Technology Investors IV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 268289.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 268289.0, "aggregate_amount_owned": 268289.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": "The above beneficial ownership reflects less than 0.1% of the outstanding shares of Class C Common Stock outstanding. See Item 5." }, { "accession_no": "0001193125-26-260078", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Silver Lake Technology Associates IV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 18502764.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18502764.0, "aggregate_amount_owned": 18502764.0, "percent_of_class": 5.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "SLTA IV (GP), L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 18502764.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18502764.0, "aggregate_amount_owned": 18502764.0, "percent_of_class": 5.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Silver Lake Partners V DE (AIV), L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9964506.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9964506.0, "aggregate_amount_owned": 9964506.0, "percent_of_class": 3.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Silver Lake Technology Investors V, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 120983.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 120983.0, "aggregate_amount_owned": 120983.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "The above beneficial ownership reflects less than 0.1% of the outstanding shares of Class C Common Stock outstanding. See Item 5." }, { "accession_no": "0001193125-26-260078", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Silver Lake Technology Associates V, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10100274.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10085489.0, "aggregate_amount_owned": 10100274.0, "percent_of_class": 3.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "SLTA V (GP), L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10100274.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10085489.0, "aggregate_amount_owned": 10100274.0, "percent_of_class": 3.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-260078", "person_seq": 11, "reporting_person_cik": 1418226, "reporting_person_name": "Silver Lake Group, L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 46485717.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 46261805.0, "aggregate_amount_owned": 46485717.0, "percent_of_class": 12.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-260317", "person_seq": 0, "reporting_person_cik": 1502287, "reporting_person_name": "StepStone Group LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1007.2, "shared_voting_power": 0.0, "sole_dispositive_power": 1007.2, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1007.2, "percent_of_class": 43.2, "type_of_reporting_person": "PN", "comment_content": "Cover pages are limited to one class of security. The cover page of this Schedule 13D filing relates to the Class D Shares outstanding as of the date of this filing. This Schedule 13D relates to the following classes of securities of StepStone Private Infrastructure Fund, a Delaware statutory trust registered under the Investment Company Act of 1940 (the \"Issuer\"): Class I Common Shares of Beneficial Interest (the \"Class I Shares\") with CUSIP 85914R403, Class D Common Shares of Beneficial Interest (the \"Class D Shares\") with CUSIP 85914R304, Class S Common Shares of Beneficial Interest (the \"Class S Shares\") with CUSIP 85914R205, Class T Common Shares of Beneficial Interest (the \"Class T Shares\") with CUSIP 85914R106, and Class U Common Shares of Beneficial Interest (the \"Class U Shares\") with CUSIP 85913Y102. As of August 17, 2023, StepStone Group LP directly owned 7,000 Class I Shares representing 100% of the Class I Shares outstanding as of such date; 1,000 Class D Shares representing 100% of the Class D Shares outstanding as of such date; 1,000 Class S Shares representing 100% of the Class S Shares outstanding as of such date; 1,000 Class T Shares representing 100% of the Class T Shares outstanding as of such date, and 0 Class U Shares, which were not effective and available for purchase until April 13, 2026. As of the date hereof, the Reporting Person directly holds 274,528.467 Class I Shares, representing 0.317% of the Class I Shares outstanding; 1,007.203 Class D Shares, representing 43.197% of the Class D Shares outstanding; and 2,014.252 Class U Shares, representing 100% of the outstanding Class U Shares outstanding. As of the date hereof, the Reporting Person no longer beneficially owns any Class S Shares or Class T Shares and is no longer the beneficial owner of more than 5% of the Class I Shares. This filing represents an exit filing for the Reporting Person with respect to the Class I Shares, Class S Shares and Class T Shares. This comment shall serve as full disclosure of the beneficial ownership of the securities of the Issuer. See item 5." }, { "accession_no": "0001193125-26-260340", "person_seq": 0, "reporting_person_cik": 1326380, "reporting_person_name": "GameStop Corp.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 827648.0, "shared_voting_power": 0.0, "sole_dispositive_power": 827648.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 39874306.0, "percent_of_class": 9.0, "type_of_reporting_person": "CO", "comment_content": "Rounded up to the nearest tenth of a percent and based on the 444 million shares of Common Stock stated by the Issuer as being outstanding as of April 24, 2026 in its Form 10-Q, filed with the United States Securities and Exchange Commission on April 29, 2026 (the \"2026 Q1 10-Q\")." }, { "accession_no": "0001193125-26-264406", "person_seq": 0, "reporting_person_cik": 1746777, "reporting_person_name": "EW HEALTHCARE PARTNERS FUND 2, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3031617.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3031617.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3031617.0, "percent_of_class": 6.77, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-264406", "person_seq": 1, "reporting_person_cik": 1746779, "reporting_person_name": "EW HEALTHCARE PARTNERS FUND 2-A, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 4683092.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4683092.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4683092.0, "percent_of_class": 10.46, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-264406", "person_seq": 2, "reporting_person_cik": 1793943, "reporting_person_name": "EW Healthcare Partners Fund 2-GP, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 7714709.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7714709.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7714709.0, "percent_of_class": 17.23, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-264406", "person_seq": 3, "reporting_person_cik": 1793948, "reporting_person_name": "EW Healthcare Partners Fund 2-UGP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 7714709.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7714709.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7714709.0, "percent_of_class": 17.23, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-264808", "person_seq": 0, "reporting_person_cik": 315032, "reporting_person_name": "State Farm Mutual Automobile Insurance Company", "fund_type": "OO", "citizenship_or_org": "IL", "sole_voting_power": 0.0, "shared_voting_power": 133333333.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 133333333.0, "aggregate_amount_owned": 133333333.0, "percent_of_class": 18.09, "type_of_reporting_person": "IC", "comment_content": "Comment to Line 13: The percentage in line 13, above, is based on 736,749,788 shares of Common Stock outstanding as of April 23, 2026, as disclosed in the Issuer's Form 10-Q filed on April 30, 2026.\n\nExplanatory Note: This Amendment No. 4 (\"Amendment No. 4\") amends the Schedule 13D filed by State Farm Mutual Automobile Insurance Company (\"State Farm\" or \"Reporting Person\") on October 21, 2022, as amended by Amendment No. 1 to Schedule 13D filed by the Reporting Person on November 16, 2022, Amendment No. 2 to Schedule 13D filed by the Reporting Person on February 10, 2023, and Amendment No. 3 to Schedule 13D filed by the Reporting Person on April 15, 2025 (collectively, the \"Original Schedule 13D\"). Except as specifically provided herein, this Amendment No. 4 does not modify any of the information previously reported in the Original Schedule 13D. Capitalized terms used herein and not otherwise defined in this Amendment No. 4 have the meanings previously defined in the Original Schedule 13D." }, { "accession_no": "0001193125-26-265376", "person_seq": 0, "reporting_person_cik": 1985487, "reporting_person_name": "Joint Stock Company Kaspi.kz", "fund_type": "WC", "citizenship_or_org": "1P", "sole_voting_power": 309866046.0, "shared_voting_power": 0.0, "sole_dispositive_power": 309866046.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 309866046.0, "percent_of_class": 86.74, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-266148", "person_seq": 0, "reporting_person_cik": 1409751, "reporting_person_name": "Coliseum Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 971440.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 971440.0, "aggregate_amount_owned": 971440.0, "percent_of_class": 1.76, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-266148", "person_seq": 1, "reporting_person_cik": 1409585, "reporting_person_name": "Coliseum Capital, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 801777.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 801777.0, "aggregate_amount_owned": 801777.0, "percent_of_class": 1.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-266148", "person_seq": 2, "reporting_person_cik": 1356974, "reporting_person_name": "Coliseum Capital Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 801777.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 801777.0, "aggregate_amount_owned": 801777.0, "percent_of_class": 1.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-266148", "person_seq": 3, "reporting_person_cik": 1454123, "reporting_person_name": "Adam Gray", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 971440.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 971440.0, "aggregate_amount_owned": 971440.0, "percent_of_class": 1.76, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-266148", "person_seq": 4, "reporting_person_cik": 1430708, "reporting_person_name": "Christopher Shackelton", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 971440.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 971440.0, "aggregate_amount_owned": 971440.0, "percent_of_class": 1.76, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-268969", "person_seq": 0, "reporting_person_cik": 72971, "reporting_person_name": "Wells Fargo & Company", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2238.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2238.0, "aggregate_amount_owned": 2238.0, "percent_of_class": 13.54, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001193125-26-268969", "person_seq": 1, "reporting_person_cik": 1585457, "reporting_person_name": "Wells Fargo Municipal Capital Strategies, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2238.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2238.0, "aggregate_amount_owned": 2238.0, "percent_of_class": 13.54, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-270049", "person_seq": 0, "reporting_person_cik": 2022121, "reporting_person_name": "Haveli Brooks Aggregator, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 64197502.0, "sole_dispositive_power": null, "shared_dispositive_power": 64197502.0, "aggregate_amount_owned": 64197502.0, "percent_of_class": 22.5, "type_of_reporting_person": "PN", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock, par value $0.00001 per share (the \"Class A Common Stock\") of Blend Labs, Inc. (the \"Issuer\") issuable upon conversion of 150,000 shares of Series A Convertible Preferred Stock, par value $0.00001 per share, (the \"Series A Preferred Stock\") of the Issuer, and (ii) 18,043,657 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in its quarterly report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026 (the \"Q1 2026 Form 10-Q\") and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-270049", "person_seq": 1, "reporting_person_cik": 2022122, "reporting_person_name": "Haveli Investments Software Fund I GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 64197502.0, "sole_dispositive_power": null, "shared_dispositive_power": 64197502.0, "aggregate_amount_owned": 64197502.0, "percent_of_class": 22.5, "type_of_reporting_person": "OO", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 18,043,657 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-270049", "person_seq": 2, "reporting_person_cik": 2022117, "reporting_person_name": "Haveli Software Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 64197502.0, "sole_dispositive_power": null, "shared_dispositive_power": 64197502.0, "aggregate_amount_owned": 64197502.0, "percent_of_class": 22.5, "type_of_reporting_person": "IA", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 18,043,657 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-270049", "person_seq": 3, "reporting_person_cik": 2022120, "reporting_person_name": "Whanau Interests LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 64197502.0, "sole_dispositive_power": null, "shared_dispositive_power": 64197502.0, "aggregate_amount_owned": 64197502.0, "percent_of_class": 22.5, "type_of_reporting_person": "OO", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 18,043,657 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-270049", "person_seq": 4, "reporting_person_cik": 2022286, "reporting_person_name": "Haveli Investment Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 64197502.0, "sole_dispositive_power": null, "shared_dispositive_power": 64197502.0, "aggregate_amount_owned": 64197502.0, "percent_of_class": 22.5, "type_of_reporting_person": "IA", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 18,043,657 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-270049", "person_seq": 5, "reporting_person_cik": 2022284, "reporting_person_name": "Haveli Investments, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 64197502.0, "sole_dispositive_power": null, "shared_dispositive_power": 64197502.0, "aggregate_amount_owned": 64197502.0, "percent_of_class": 22.5, "type_of_reporting_person": "PN", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 18,043,657 shares of Class A Common Stock.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-270049", "person_seq": 6, "reporting_person_cik": 1782665, "reporting_person_name": "Brian N. Sheth", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 64327502.0, "sole_dispositive_power": null, "shared_dispositive_power": 64327502.0, "aggregate_amount_owned": 64327502.0, "percent_of_class": 22.6, "type_of_reporting_person": "IN", "comment_content": "The securities reported in rows 8, 10 and 11 are comprised of (i) 46,153,845 shares of Class A Common Stock issuable upon conversion of 150,000 shares of Series A Preferred Stock, and (ii) 18,043,657 shares of Class A Common Stock, including 130,000 shares of Class A Common Stock held in a family trust for which Mr. Sheth's spouse is the trustee.\n\nThe number of shares of Class A Common Stock outstanding for purposes of the percentage calculation in row 13 assumes (i) 238,860,271 shares outstanding as of May 1, 2026, as reported by the Issuer in the Q1 2026 Form 10-Q and (ii) 46,153,845 shares of Class A Common Stock issuable upon conversion of the Series A Preferred Stock." }, { "accession_no": "0001193125-26-271097", "person_seq": 0, "reporting_person_cik": 1184230, "reporting_person_name": "Richard N. Barton", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3954261.0, "shared_voting_power": 20000.0, "sole_dispositive_power": 3954261.0, "shared_dispositive_power": 240004.0, "aggregate_amount_owned": 4194265.0, "percent_of_class": 9.2, "type_of_reporting_person": "IN", "comment_content": "Rows 7 and 9 include (i) 190,536 shares of Class A Common Stock and (ii) 3,423,845 shares of Class A Common Stock issuable upon conversion of 3,423,845 shares of Class B Common Stock, owned directly by the Reporting Person and over which the Reporting Person has sole voting and dispositive power. Also includes 339,880 shares of Class A Common Stock issuable upon conversion of 339,880 shares of Class B Common Stock owned indirectly by the Reporting Person through Barton Ventures II, LLC, a Washington limited liability company (\"Barton LLC\"), and over which the Reporting Person has sole voting and dispositive power. Class A Common Stock has one (1) vote per share and Class B Common Stock has ten (10) votes per share. The shares reported in rows 7 and 8 represent an aggregate of 37,847,786 votes available with respect to the Issuer's outstanding shares, which is equal to approximately 36.4% of the combined voting power of issued and outstanding shares of the Issuer as of June 11, 2026, based on 41,711,654 shares of Class A Common Stock and 6,217,447 shares of Class B Common Stock outstanding as of June 11, 2026. Excludes 220,004 shares of Class A Common Stock owned by the Barton Descendants' Trust dated December 30, 2004 (the \"Barton Trust\") for which the Reporting Person is a co-trustee but over which shares the Reporting Person does not have voting power.\n\nRow 8 includes 20,000 shares of Class A Common Stock owned by The Barton Foundation for which the Reporting Person is a co-trustee. Excludes 220,004 shares of Class A Common Stock owned by the Barton Trust for which the Reporting Person is a co-trustee but over which shares the Reporting Person does not have voting power.\n\nRows 10 and 11 include 220,004 shares of Class A Common Stock owned by the Barton Trust for which the Reporting Person is a co-trustee and 20,000 shares of Class A Common Stock owned by The Barton Foundation for which the Reporting Person is a co-trustee.\n\nRow 13 assumes the conversion of all shares of Class B Common Stock beneficially owned by the Reporting Person to Class A Common Stock. Class B Common Stock converts to shares of Class A Common Stock on a one-for-one basis." }, { "accession_no": "0001193125-26-272455", "person_seq": 0, "reporting_person_cik": 901819, "reporting_person_name": "William J. McMorrow", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-272455", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "William J. McMorrow Revocable Trust", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-272917", "person_seq": 0, "reporting_person_cik": 2084288, "reporting_person_name": "Cruden 2, LLC", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 85372810.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85372810.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85372810.0, "percent_of_class": 38.7, "type_of_reporting_person": "OO", "comment_content": "Cruden 2, LLC (\"Cruden 2\") is the sole manager of LGC Holdco, LLC (\"LGC Holdco\"), the owner of the Class B Shares. See Item 5 of this Amendment No. 1." }, { "accession_no": "0001193125-26-272917", "person_seq": 1, "reporting_person_cik": 2082634, "reporting_person_name": "LGC Holdco, LLC", "fund_type": "BK", "citizenship_or_org": "DE", "sole_voting_power": 85372810.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85372810.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85372810.0, "percent_of_class": 38.7, "type_of_reporting_person": "OO", "comment_content": "Cruden 2 is the sole manager of LGC Holdco. See Item 5 of this Amendment No. 1." }, { "accession_no": "0001193125-26-272917", "person_seq": 2, "reporting_person_cik": 2084785, "reporting_person_name": "Michael Roberson", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 85372810.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 85372810.0, "aggregate_amount_owned": 85372810.0, "percent_of_class": 38.7, "type_of_reporting_person": "IN", "comment_content": "The number of Class B Shares with shared voting and dispositive power represents the Class B Shares owned by LGC Holdco, and Cruden 2 is the sole manager of LGC Holdco. Mr. Roberson, as a managing director of Cruden 2 appointed by Lachlan K. Murdoch, has the sole authority to make decisions for Cruden 2 with respect to the voting and disposition of the Class A Shares and Class B Shares owned by LGC Holdco. See Item 5 of this Amendment No. 1." }, { "accession_no": "0001193125-26-272917", "person_seq": 3, "reporting_person_cik": 1242818, "reporting_person_name": "Lachlan K. Murdoch", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1952.0, "shared_voting_power": 85372810.0, "sole_dispositive_power": 1952.0, "shared_dispositive_power": 85372810.0, "aggregate_amount_owned": 85374762.0, "percent_of_class": 38.7, "type_of_reporting_person": "IN", "comment_content": "The number of Shares with shared voting and dispositive power represents Shares owned by LGC Holdco, and Cruden 2 is the sole manager of LGC Holdco. Mr. Roberson, as a managing director of Cruden 2 appointed by Lachlan K. Murdoch, has the sole authority to make decisions for Cruden 2 with respect to the voting and disposition of the Class A Shares and Class B Shares owned by LGC Holdco. As a result, Mr. Murdoch may be deemed the beneficial owner of the Class A Shares and Class B Shares owned by LGC Holdco; however, Mr. Murdoch disclaims beneficial ownership of such shares. See Item 5 of this Amendment No. 1." }, { "accession_no": "0001193125-26-273094", "person_seq": 0, "reporting_person_cik": 1814733, "reporting_person_name": "Bregal Sagemount I, L.P.", "fund_type": "WC", "citizenship_or_org": "Y9", "sole_voting_power": 7564566.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7564566.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7564566.0, "percent_of_class": 6.4, "type_of_reporting_person": "PN", "comment_content": "The percentage of class was calculated based on 117,676,162 shares of the Company's common stock, par value $0.01 per share (\"Common Stock\"), outstanding as of March 6, 2026, as set forth in Open Lending Corporation's (the \"Company\") Form 10-K, filed with the Securities Exchange Commission on March 12, 2026." }, { "accession_no": "0001193125-26-273094", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bregal North America General Partner Jersey Ltd", "fund_type": "AF", "citizenship_or_org": "Y9", "sole_voting_power": 7564566.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7564566.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7564566.0, "percent_of_class": 6.4, "type_of_reporting_person": "CO", "comment_content": "The percentage of class was calculated based on 117,676,162 shares of Common Stock outstanding as of March 6, 2026, as set forth in the Company's Form 10-K, filed with the Securities Exchange Commission on March 12, 2026." }, { "accession_no": "0001193125-26-273094", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Bregal Investments, Inc.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 7564566.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7564566.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7564566.0, "percent_of_class": 6.4, "type_of_reporting_person": "IA", "comment_content": "Consists of (i) 7,564,566 shares of Common Stock held by Bregal Sagemount I, L.P. (\"Bregal Sagemount\") and (ii) zero shares of Common Stock held by Bregal Investments, Inc. (\"Bregal Investments\"). The percentage of class was calculated based on 117,676,162 shares of Common Stock, outstanding as of March 6, 2026, as set forth in the Company's Form 10-K, filed with the Securities Exchange Commission on March 12, 2026." }, { "accession_no": "0001193125-26-273094", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Bregal Sagemount Management LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 7564566.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7564566.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7564566.0, "percent_of_class": 6.4, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 7,564,566 shares of Common Stock held by Bregal Sagemount and (ii) zero shares of Common Stock held by Bregal Sagemount Management LP (\"Bregal Management\"). The percentage of class was calculated based on 117,676,162 shares of Common Stock outstanding as of March 6, 2026, as set forth in the Company's Form 10-K, filed with the Securities Exchange Commission on March 12, 2026." }, { "accession_no": "0001193125-26-273094", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Gene Yoon", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 7564566.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7564566.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7564566.0, "percent_of_class": 6.4, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 7,564,566 shares of Common Stock held by Bregal Sagemount and (ii) zero shares of Common Stock held by Bregal Management. The percentage of class was calculated based on 117,676,162 shares of Common Stock outstanding as of March 6, 2026, as set forth in the Company's Form 10-K, filed with the Securities Exchange Commission on March 12, 2026." }, { "accession_no": "0001193125-26-273094", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Blair Greenberg", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 7564566.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7564566.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7564566.0, "percent_of_class": 6.4, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 7,564,566 shares of Common Stock held by Bregal Sagemount and (ii) zero shares of Common Stock held by Bregal Management. The percentage of class was calculated based on 117,676,162 shares of Common Stock outstanding as of March 6, 2026, as set forth in the Company's Form 10-K, filed with the Securities Exchange Commission on March 12, 2026." }, { "accession_no": "0001193125-26-273135", "person_seq": 0, "reporting_person_cik": 1845711, "reporting_person_name": "Apeiron Investment Group Ltd.", "fund_type": "OO", "citizenship_or_org": "O1", "sole_voting_power": 0.0, "shared_voting_power": 29904746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29904746.0, "aggregate_amount_owned": 29904746.0, "percent_of_class": 24.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-273135", "person_seq": 1, "reporting_person_cik": 2132854, "reporting_person_name": "Enhanced Holdings LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 29904746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29904746.0, "aggregate_amount_owned": 29904746.0, "percent_of_class": 24.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-273135", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Enhanced Holdings GP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 29904746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29904746.0, "aggregate_amount_owned": 29904746.0, "percent_of_class": 24.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-273135", "person_seq": 3, "reporting_person_cik": 1845872, "reporting_person_name": "Christian Angermayer", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 29904746.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 29904746.0, "aggregate_amount_owned": 29904746.0, "percent_of_class": 24.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-274228", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Nebula Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7545144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7545144.0, "aggregate_amount_owned": 7545144.0, "percent_of_class": 6.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-274228", "person_seq": 1, "reporting_person_cik": 1645139, "reporting_person_name": "True Wind Capital, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7545144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7545144.0, "aggregate_amount_owned": 7545144.0, "percent_of_class": 6.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-274228", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "True Wind Capital GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7545144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7545144.0, "aggregate_amount_owned": 7545144.0, "percent_of_class": 6.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-274228", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "James H. Greene, Jr.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 7545144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7545144.0, "aggregate_amount_owned": 7545144.0, "percent_of_class": 6.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-274228", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Adam H. Clammer", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 7545144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7545144.0, "aggregate_amount_owned": 7545144.0, "percent_of_class": 6.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-274311", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Bolton Partners Ltd.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 22680583.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22680583.0, "aggregate_amount_owned": 22680583.0, "percent_of_class": 17.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-274311", "person_seq": 1, "reporting_person_cik": 2123862, "reporting_person_name": "Kamal Anthony Hatoum", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 273334.0, "shared_voting_power": 22953917.0, "sole_dispositive_power": 273334.0, "shared_dispositive_power": 22953917.0, "aggregate_amount_owned": 22953917.0, "percent_of_class": 17.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-274498", "person_seq": 0, "reporting_person_cik": 1550729, "reporting_person_name": "Mill Road Capital II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1063079.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1063079.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1063079.0, "percent_of_class": 4.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-274498", "person_seq": 1, "reporting_person_cik": 1550728, "reporting_person_name": "Mill Road Capital II GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 1063079.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1063079.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1063079.0, "percent_of_class": 4.7, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001193125-26-274498", "person_seq": 2, "reporting_person_cik": 1244666, "reporting_person_name": "Thomas E. Lynch", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1063079.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1063079.0, "aggregate_amount_owned": 1063079.0, "percent_of_class": 4.7, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001193125-26-274718", "person_seq": 0, "reporting_person_cik": 1384542, "reporting_person_name": "International Finance Corporation (\"IFC\")", "fund_type": "OO", "citizenship_or_org": null, "sole_voting_power": 3271862.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3271862.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3271862.0, "percent_of_class": 3.82, "type_of_reporting_person": "OO", "comment_content": "IFC is an international organization established by Articles of Agreement among its member countries, including the United States, and as such, enjoys certain immunities, privileges and exemptions, including the freedom of all of its property and assets from restrictions, regulations, controls and moratoria of any nature. The voluntary provision by IFC of the following information does not in any way constitute or imply a waiver, termination or modification by IFC of any privilege, immunity or exemption of IFC granted in the Articles of Agreement establishing IFC, international conventions, or applicable law." }, { "accession_no": "0001193125-26-274718", "person_seq": 1, "reporting_person_cik": 1490628, "reporting_person_name": "IFC African, Latin American and Caribbean Fund LP (\"ALAC\")", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 1856263.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1856263.0, "aggregate_amount_owned": 1856263.0, "percent_of_class": 2.17, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-274718", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "IFC African, Latin American and Caribbean Fund (GP) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1856263.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1856263.0, "aggregate_amount_owned": 1856263.0, "percent_of_class": 2.17, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-274718", "person_seq": 3, "reporting_person_cik": 1638084, "reporting_person_name": "IFC Financial Institutions Growth Fund, LP (\"FIG\")", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 3302551.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3302551.0, "aggregate_amount_owned": 3302551.0, "percent_of_class": 3.85, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-274718", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "IFC FIG Fund (GP), LLP", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 3302551.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3302551.0, "aggregate_amount_owned": 3302551.0, "percent_of_class": 3.85, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-275971", "person_seq": 0, "reporting_person_cik": 2138137, "reporting_person_name": "Energy Impact Partners LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 102813846.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 102813846.0, "aggregate_amount_owned": 102813846.0, "percent_of_class": 78.1, "type_of_reporting_person": "OO", "comment_content": "Consists of (i) 19,350,897 shares of Class A common stock (as defined in Item 1(a)) held by FT-B (as defined in Item 2(a)), (ii) 83,355,210 shares of Class B common stock (the \"Class B common stock\") and 83,355,210 corresponding Class B Units of Enchanted Rock Holdings, LLC (\"ER Holdings\") held by Flagship (as defined in Item 2(a)) and (iii) 107,739 shares of Class A common stock underlying 111,545 Class M Units of ER Holdings, all of which are vested. The Class B Units are exchangeable, at the holder's option, on a one-for-one basis into shares of Class A common stock of the Issuer (as defined in Item 1(b)). Upon exchange of a Class B Unit, an equivalent number of shares of Class B common stock will be automatically cancelled. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. Each of EIF ER Holdings (as defined in Item 2(a)), as the sole owner of Flagship), FT-D (as defined in Item 2(a)), as owner of EIF ER Holdings) and EIP LLC (as defined in Item 2(a)), as the managing member of EIF ER Holdings and the general partner of FT-D) and Hans Kobler (as managing member of EIP LLC) may be deemed to have voting and dispositive power over the shares held by Flagship. Each of FT-B, EIP LLC (as the general partner of FT-B) and Mr. Kobler, a member of the Issuer's Board and the managing member of EIP LLC, may also be deemed to be the beneficial owners having shared voting power and shared investment power of the securities held by FT-B. Voting and investment decisions with respect to the securities described in this footnote are made by the investment committee of Energy Impact Partners LLC, which comprises seven individuals, including Mr. Kobler, Lindsay Luger (\"Ms. Luger\") and Sameer Reddy (\"Mr. Reddy\"), each of whom is a member of the Issuer's Board. Each member of this investment committee disclaims beneficial ownership of all securities described by this footnote except to the extent of his or her pecuniary interest therein.\n\nBased on 48,174,023 shares of Class A common stock outstanding as of June 11, 2026, following the closing of the Issuer's initial public offering of its Class A common stock (the \"Offering\"), as reported by the Issuer in its prospectus filed with the United States Securities and Exchange Commission (the \"Commission\") on June 10, 2026 (the \"Prospectus\"), assuming no exercise of the underwriters' option to purchase 4,186,046 additional shares of Class A common stock (the \"Underwriters' Option\")." }, { "accession_no": "0001193125-26-275971", "person_seq": 1, "reporting_person_cik": 2138898, "reporting_person_name": "Energy Impact Fund (FT-B) LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19350897.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19350897.0, "aggregate_amount_owned": 19350897.0, "percent_of_class": 40.2, "type_of_reporting_person": "PN", "comment_content": "Consists of 19,350,897 shares of Class A common stock held by FT-B. Each of EIP LLC (as the general partner of FT-B) and Mr. Kobler, a member of the Issuer's Board and the managing member of EIP LLC, may also be deemed to be the beneficial owners having shared voting power and shared investment power of the securities held by FT-B. Voting and investment decisions with respect to the securities described in this footnote are made by the investment committee of Energy Impact Partners LLC, which comprises seven individuals, including Mr. Kobler, Ms. Luger and Mr. Reddy, each of whom is a member of the Issuer's Board. Each member of this investment committee disclaims beneficial ownership of all securities described by this footnote except to the extent of his or her pecuniary interest therein.\n\nBased on 48,174,023 shares of Class A common stock outstanding as of June 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-275971", "person_seq": 2, "reporting_person_cik": 2138967, "reporting_person_name": "EIP Flagship Fund I ER Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 83462949.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 83462949.0, "aggregate_amount_owned": 83462949.0, "percent_of_class": 63.4, "type_of_reporting_person": "OO", "comment_content": "Consists of (i) 83,355,210 shares of Class B common stock and 83,355,210 corresponding Class B Units held by Flagship and (ii) 107,739 shares of Class A common stock underlying 111,545 Class M Units, all of which are vested. The Class B Units are exchangeable, at the holder's option, on a one-for-one basis into shares of Class A common stock of the Issuer. Upon exchange of a Class B Unit, an equivalent number of shares of Class B common stock will be automatically cancelled. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. Each of EIF ER Holdings (as the sole owner of Flagship), FT-D (as owner of EIF ER Holdings) and EIP LLC (as the managing member of EIF ER Holdings and the general partner of FT-D) and Mr. Kobler, a member of the Issuer's Board and the managing member of EIP LLC, may be deemed to have voting and dispositive power over the shares held by Flagship. Voting and investment decisions with respect to the securities described in this footnote are made by the investment committee of Energy Impact Partners LLC, which comprises seven individuals, including Mr. Kobler, Ms. Luger and Mr. Reddy, each of whom is a member of the Issuer's Board. Each member of this investment committee disclaims beneficial ownership of all securities described by this footnote except to the extent of his or her pecuniary interest therein.\n\nBased on 48,174,023 shares of Class A common stock outstanding as of June 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-275971", "person_seq": 3, "reporting_person_cik": 2138540, "reporting_person_name": "EIF ER Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 83462949.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 83462949.0, "aggregate_amount_owned": 83462949.0, "percent_of_class": 63.4, "type_of_reporting_person": "OO", "comment_content": "Consists of (i) 83,355,210 shares of Class B common stock and 83,355,210 corresponding Class B Units held by Flagship and (ii) 107,739 shares of Class A common stock underlying 111,545 Class M Units, all of which are vested. The Class B Units are exchangeable, at the holder's option, on a one-for-one basis into shares of Class A common stock of the Issuer. Upon exchange of a Class B Unit, an equivalent number of shares of Class B common stock will be automatically cancelled. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. Each of EIF ER Holdings (as the sole owner of Flagship), FT-D (as owner of EIF ER Holdings) and EIP LLC (as the managing member of EIF ER Holdings and the general partner of FT-D) and Mr Kobler, a member of the Issuer's Board and the managing member of EIP LLC, may be deemed to have voting and dispositive power over the shares held by Flagship. Voting and investment decisions with respect to the securities described in this footnote are made by the investment committee of Energy Impact Partners LLC, which comprises seven individuals, including Mr. Kobler, Ms. Luger and Mr. Reddy, each of whom is a member of the Issuer's Board. Each member of this investment committee disclaims beneficial ownership of all securities described by this footnote except to the extent of his or her pecuniary interest therein.\n\nBased on 48,174,023 shares of Class A common stock outstanding as of June 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-275971", "person_seq": 4, "reporting_person_cik": 2138969, "reporting_person_name": "Energy Impact Fund (FT-D) LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 83462949.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 83462949.0, "aggregate_amount_owned": 83462949.0, "percent_of_class": 63.4, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 83,355,210 shares of Class B common stock and 83,355,210 corresponding Class B Units held by Flagship and (ii) 107,739 shares of Class A common stock underlying 111,545 Class M Units, all of which are vested. The Class B Units are exchangeable, at the holder's option, on a one-for-one basis into shares of Class A common stock of the Issuer. Upon exchange of a Class B Unit, an equivalent number of shares of Class B common stock will be automatically cancelled. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. Each of EIF ER Holdings (as the sole owner of Flagship), FT-D (as owner of EIF ER Holdings) and EIP LLC (as the managing member of EIF ER Holdings and the general partner of FT-D) and Mr. Kobler, a member of the Issuer's Board and the managing member of EIP LLC, may be deemed to have voting and dispositive power over the shares held by Flagship. Voting and investment decisions with respect to the securities described in this footnote are made by the investment committee of Energy Impact Partners LLC, which comprises seven individuals, including Mr. Kobler, Ms. Luger and Mr. Reddy, each of whom is a member of the Issuer's Board. Each member of this investment committee disclaims beneficial ownership of all securities described by this footnote except to the extent of his or her pecuniary interest therein.\n\nBased on 48,174,023 shares of Class A common stock outstanding as of June 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-275971", "person_seq": 5, "reporting_person_cik": 1407324, "reporting_person_name": "Hans Kobler", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 102813846.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 102813846.0, "aggregate_amount_owned": 102813846.0, "percent_of_class": 78.1, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 19,350,897 shares of Class A common stock (as defined in Item 1(a)) held by FT-B (as defined in Item 2(a)), (ii) 83,355,210 shares of Class B common stock and 83,355,210 corresponding Class B Units held by Flagship (as defined in Item 2(a)) and (iii) 107,739 shares of Class A common stock underlying 111,545 Class M Units, all of which are vested. The Class B Units are exchangeable, at the holder's option, on a one-for-one basis into shares of Class A common stock of the Issuer (as defined in Item 1(b)). Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be automatically cancelled. Vested Class M Units are convertible, at the holder's option, into a number of Class B Units generally equal to the product of (a) the number of vested Class M Units to be converted, and (b) a fraction, the numerator of which is the amount that would be distributed in respect of the vested Class M Unit (taking into account the applicable threshold amount), and the denominator of which is the amount that would be distributed in respect of a Class B Unit, in each case if, immediately before the exchange, ER Holdings were to sell all of its assets for their fair market values, pay any liabilities, and distribute the proceeds available for distribution, subject to certain adjustments. Class M Units have no expiration date. Each of EIF ER Holdings (as the sole owner of Flagship), FT-D (as owner of EIF ER Holdings), EIP LLC (as the managing member of EIF ER Holdings and the general partner of FT-D) and Mr. Kobler, a member of the Issuer's Board and the managing member of EIP LLC, may be deemed to have voting and dispositive power over the shares held by Flagship. Each of FT-B, EIP LLC (as the general partner of FT-B) and Mr. Kobler, a member of the Issuer's Board and the managing member of EIP LLC, may also be deemed to be the beneficial owners having shared voting power and shared investment power of the securities held by FT-B. Voting and investment decisions with respect to the securities described in this footnote are made by the investment committee of Energy Impact Partners LLC, which comprises seven individuals, including Mr. Kobler, Ms. Luger and Mr. Reddy, each of whom is a member of the Issuer's Board. Each member of this investment committee disclaims beneficial ownership of all securities described by this footnote except to the extent of his or her pecuniary interest therein.\n\nBased on 48,174,023 shares of Class A common stock outstanding as of June 11, 2026, following the closing of the Offering, as reported by the Issuer in the Prospectus, assuming no exercise of the Underwriters' Option." }, { "accession_no": "0001193125-26-276271", "person_seq": 0, "reporting_person_cik": 1309416, "reporting_person_name": "Miriam Adelson", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 48767951.0, "shared_voting_power": 2208548.0, "sole_dispositive_power": 102957851.0, "shared_dispositive_power": 238485060.0, "aggregate_amount_owned": 341442911.0, "percent_of_class": 51.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-276271", "person_seq": 1, "reporting_person_cik": 1319523, "reporting_person_name": "Irwin Chafetz", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 335752290.0, "shared_voting_power": 2208548.0, "sole_dispositive_power": 43935878.0, "shared_dispositive_power": 239835060.0, "aggregate_amount_owned": 337960838.0, "percent_of_class": 51.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-276271", "person_seq": 2, "reporting_person_cik": 1543244, "reporting_person_name": "General Trust under the Sheldon G. Adelson 2007 Remainder Trust", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-276271", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "General Trust under the Sheldon G. Adelson 2007 Friends and Family Trust", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-276271", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "ESBT S-II Trust", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 43859460.0, "shared_voting_power": 0.0, "sole_dispositive_power": 43859460.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 43859460.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-276271", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "ESBT Y-II Trust", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 43859459.0, "shared_voting_power": 0.0, "sole_dispositive_power": 43859459.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 43859459.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-276271", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "QSST A-II Trust", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 43859459.0, "shared_voting_power": 0.0, "sole_dispositive_power": 43859459.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 43859459.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-276271", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "QSST M-II Trust", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 43859459.0, "shared_voting_power": 0.0, "sole_dispositive_power": 43859459.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 43859459.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "BX Buzz ML-1 Holdco L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 544030.0, "shared_voting_power": 0.0, "sole_dispositive_power": 544030.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 544030.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "BX Buzz ML-2 Holdco L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 7485565.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7485565.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7485565.0, "percent_of_class": 5.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BX Buzz ML-3 Holdco L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 1215217.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1215217.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1215217.0, "percent_of_class": 0.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "BX Buzz ML-4 Holdco L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 3242706.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3242706.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3242706.0, "percent_of_class": 2.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "BX Buzz ML-5 Holdco L.P.", "fund_type": 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"type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 40, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings III GP L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 3242706.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3242706.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3242706.0, "percent_of_class": 2.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 41, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings III GP Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 3242706.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3242706.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3242706.0, "percent_of_class": 2.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 42, "reporting_person_cik": null, "reporting_person_name": "Blackstone Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 22432496.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22432496.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22432496.0, "percent_of_class": 17.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 43, "reporting_person_cik": null, "reporting_person_name": "Blackstone Group Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 22432496.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22432496.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22432496.0, "percent_of_class": 17.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-276273", "person_seq": 44, "reporting_person_cik": null, "reporting_person_name": "Stephen A. Schwarzman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 22432496.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22432496.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22432496.0, "percent_of_class": 17.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-276322", "person_seq": 0, "reporting_person_cik": 1502287, "reporting_person_name": "StepStone Group LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Cover pages are limited to one class of security. The cover page of this Schedule 13D filing relates to the Class D Shares outstanding as of the date of this filing. This Schedule 13D/A relates to the following classes of securities of StepStone Private Infrastructure Fund, a Delaware statutory trust registered under the Investment Company Act of 1940 (the \"Issuer\"): Class D Common Shares of Beneficial Interest (the \"Class D Shares\") with CUSIP 85914R304 and Class U Common Shares of Beneficial Interest (the \"Class U Shares\") with CUSIP 85913Y102. As of the date hereof, the Reporting Person directly holds 2,014.252 Class U Shares, representing 1.83% of the Class U Shares outstanding. As of the date hereof, the Reporting Person no longer beneficially owns any Class D Shares and is no longer the beneficial owner of more than 5% of the Class U Shares. This filing represents an exit filing for the Reporting Person with respect to the Class D Shares and Class U Shares. This comment shall serve as full disclosure of the beneficial ownership of the securities of the Issuer. See Item 5." }, { "accession_no": "0001193125-26-277207", "person_seq": 0, "reporting_person_cik": 59558, "reporting_person_name": "Lincoln National Corporation", "fund_type": "WC", "citizenship_or_org": "IN", "sole_voting_power": 0.0, "shared_voting_power": 5273205.79, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5273205.79, "aggregate_amount_owned": 5273205.79, "percent_of_class": 15.94, "type_of_reporting_person": "HC", "comment_content": "EXPLANATORY NOTE\n\nThis Amendment No. 2 (this \"Amendment\") amends and supplements certain of the information included in the Schedule 13D relating to the Shares filed by the Reporting Persons with the Securities and Exchange Commission (the \"SEC\") on April 20, 2026 (the \"Initial 13D\" and as amended by this Amendment, this \"Schedule 13D\") as amended by Amendment No. 1, filed on May 18, 2026. Capitalized terms not otherwise defined herein have the meanings given to them in the Initial 13D. Except as otherwise provided herein, the information set forth in the Initial 13D remains unchanged.\n\nItems 8, 10, 11, and 13: The Lincoln National Life Insurance Company, an Indiana corporation (\"LNL\"), directly owns the following shares of beneficial interests in the Issuer: 5,270,047.60 Class I shares of beneficial interests (\"Class I Shares\"), 1,050.74 Class A shares of beneficial interests (\"Class A Shares\"), 1,052.94 Class D shares of beneficial interests (\"Class D Shares\"), and 1,054.51 Class IS shares of beneficial interests (\"Class IS Shares\" and, together with the Class I Shares, Class A Shares and Class D Shares, the \"Shares\"). Based on information provided by the Issuer as of the date of this Schedule 13D filing, LNL owns 15.93% of the Class I Shares outstanding, 100% of the Class A Shares outstanding, 100% of the Class D Shares outstanding, and 100% of the Class IS Shares outstanding. LNL is a wholly owned subsidiary of its parent holding company, Lincoln National Corporation, an Indiana corporation (\"LNC\"), which may be deemed to be an indirect beneficial owner of the reported securities." }, { "accession_no": "0001193125-26-277207", "person_seq": 1, "reporting_person_cik": 726865, "reporting_person_name": "The Lincoln National Life Insurance Company", "fund_type": "WC", "citizenship_or_org": "IN", "sole_voting_power": 0.0, "shared_voting_power": 5273205.79, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5273205.79, "aggregate_amount_owned": 5273205.79, "percent_of_class": 15.94, "type_of_reporting_person": "IC", "comment_content": "Items 8, 10, 11, and 13: LNL directly owns the following shares of beneficial interests in the Issuer: 5,270,047.60 Class I Shares, 1,050.74 Class A Shares, 1,052.94 Class D Shares and 1,054.51 Class IS Shares. Based on information provided by the Issuer as of the date of this Schedule 13D filing, LNL owns 15.93% of the Class I Shares outstanding, 100% of the Class A Shares outstanding, 100% of the Class D Shares outstanding, and 100% of the Class IS Shares outstanding. LNL is a wholly owned subsidiary of its parent holding company, LNC, which may be deemed to be an indirect beneficial owner of the reported securities." }, { "accession_no": "0001193125-26-277207", "person_seq": 2, "reporting_person_cik": 1464867, "reporting_person_name": "Lincoln Financial Investments Corporation", "fund_type": "OO", "citizenship_or_org": "TN", "sole_voting_power": 0.0, "shared_voting_power": 22544866.82, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22544866.82, "aggregate_amount_owned": 22544866.82, "percent_of_class": 68.14, "type_of_reporting_person": "IA", "comment_content": "Items 8, 10, and 11: These Class I Shares are owned directly by certain series of the Lincoln Variable Insurance Products Trust (the \"Trust\"), an investment company registered with the U.S. Securities and Exchange Commission under the Investment Company Act of 1940, as amended. Lincoln Financial Investments Corporation (\"LFI\" and together with LNL and LNC, the \"Reporting Persons\"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, serves as the investment adviser to each such series of the Trust, and may be deemed to have beneficial ownership of the Class I Shares reported herein as being directly by each such series of the Trust.\n\nItem 13: Percent of class calculated based on 33,084,962.00 Class I Shares outstanding as of the date of this Schedule 13D filing." }, { "accession_no": "0001193125-26-278613", "person_seq": 0, "reporting_person_cik": 2107305, "reporting_person_name": "Victor Vega", "fund_type": "PF", "citizenship_or_org": "TX", "sole_voting_power": 19552066.0, "shared_voting_power": 0.0, "sole_dispositive_power": 19552066.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 19552066.0, "percent_of_class": 9.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-280387", "person_seq": 0, "reporting_person_cik": 1803068, "reporting_person_name": "Moshe Mizrahy", "fund_type": "PF", "citizenship_or_org": "L3", "sole_voting_power": 4299226.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4299226.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4299226.0, "percent_of_class": 7.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-281039", "person_seq": 0, "reporting_person_cik": 1876581, "reporting_person_name": "Imperial Petroleum Inc.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 7171543.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7171543.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7171543.0, "percent_of_class": 82.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-281134", "person_seq": 0, "reporting_person_cik": 1242110, "reporting_person_name": "Lawrence M. Blatt", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 316228.0, "shared_voting_power": 0.0, "sole_dispositive_power": 316228.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 316228.0, "percent_of_class": 5.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-281303", "person_seq": 0, "reporting_person_cik": 1569866, "reporting_person_name": "Global Value Investment Corporation", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3335429.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3335429.0, "aggregate_amount_owned": 3335429.0, "percent_of_class": 6.89, "type_of_reporting_person": "IA", "comment_content": "Percentage calculated is based on 48,380,371 shares of Common stock, par value $0.0001 per share outstanding as of May 26, 2026, as reported in the Form 10-K for the fiscal year ended February 28, 2026, of Loop Industries, Inc." }, { "accession_no": "0001193125-26-281303", "person_seq": 1, "reporting_person_cik": 1733547, "reporting_person_name": "Jeffrey R. Geygan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3335429.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3335429.0, "aggregate_amount_owned": 3335429.0, "percent_of_class": 6.89, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 48,380,371 shares of Common stock, par value $0.0001 per share outstanding as of May 26, 2026, as reported in the Form 10-K for the fiscal year ended February 28, 2026, of Loop Industries, Inc." }, { "accession_no": "0001193125-26-281303", "person_seq": 2, "reporting_person_cik": 1734726, "reporting_person_name": "James P. Geygan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3335429.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3335429.0, "aggregate_amount_owned": 3335429.0, "percent_of_class": 6.89, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 48,380,371 shares of Common stock, par value $0.0001 per share outstanding as of May 26, 2026, as reported in the Form 10-K for the fiscal year ended February 28, 2026, of Loop Industries, Inc." }, { "accession_no": "0001193125-26-281303", "person_seq": 3, "reporting_person_cik": 1865363, "reporting_person_name": "Stacy A. Wilke", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3335429.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3335429.0, "aggregate_amount_owned": 3335429.0, "percent_of_class": 6.89, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 48,380,371 shares of Common stock, par value $0.0001 per share outstanding as of May 26, 2026, as reported in the Form 10-K for the fiscal year ended February 28, 2026, of Loop Industries, Inc." }, { "accession_no": "0001193125-26-281303", "person_seq": 4, "reporting_person_cik": 1865425, "reporting_person_name": "Kathleen M. Geygan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3335429.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3335429.0, "aggregate_amount_owned": 3335429.0, "percent_of_class": 6.89, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 48,380,371 shares of Common stock, par value $0.0001 per share outstanding as of May 26, 2026, as reported in the Form 10-K for the fiscal year ended February 28, 2026, of Loop Industries, Inc." }, { "accession_no": "0001193125-26-281303", "person_seq": 5, "reporting_person_cik": 2007274, "reporting_person_name": "Shawn G. Rice", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3335429.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3335429.0, "aggregate_amount_owned": 3335429.0, "percent_of_class": 6.89, "type_of_reporting_person": "IN", "comment_content": "Percentage calculated is based on 48,380,371 shares of Common stock, par value $0.0001 per share outstanding as of May 26, 2026, as reported in the Form 10-K for the fiscal year ended February 28, 2026, of Loop Industries, Inc." }, { "accession_no": "0001193125-26-281378", "person_seq": 0, "reporting_person_cik": 1328920, "reporting_person_name": "Flawless Management Inc.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 0.0, "shared_voting_power": 6991255.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6991255.0, "aggregate_amount_owned": 6991255.0, "percent_of_class": 15.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-281378", "person_seq": 1, "reporting_person_cik": 2004014, "reporting_person_name": "Arethusa Properties LTD", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 3307452.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3307452.0, "aggregate_amount_owned": 3307452.0, "percent_of_class": 7.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-281378", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Harry N. Vafias", "fund_type": "OO", "citizenship_or_org": "J3", "sole_voting_power": 3968196.0, "shared_voting_power": 10298707.0, "sole_dispositive_power": 3968196.0, "shared_dispositive_power": 10298707.0, "aggregate_amount_owned": 14266903.0, "percent_of_class": 31.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-282228", "person_seq": 0, "reporting_person_cik": 1995612, "reporting_person_name": "Helix Partners Management LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5565017.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5565017.0, "aggregate_amount_owned": 5565017.0, "percent_of_class": 25.3, "type_of_reporting_person": "IA", "comment_content": "(1) Includes (a) 5,551,703 Common Shares (as defined below) and (b) 13,314 Common Shares issuable upon exercise of the Warrants (as defined below), in each case beneficially owned by this Reporting Person.\n\n(2) Based on (i) 21,953,577 Common Shares outstanding as of June 17, 2026 (as reported in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 23, 2026) plus (ii) 13,314 Common Shares issuable upon exercise of the Warrants." }, { "accession_no": "0001193125-26-282228", "person_seq": 1, "reporting_person_cik": 2141517, "reporting_person_name": "Helix Strategic Fund LP", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2064837.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2064837.0, "aggregate_amount_owned": 2064837.0, "percent_of_class": 9.4, "type_of_reporting_person": "PN", "comment_content": "(1) Includes 2,064,837 Common Shares beneficially owned by this Reporting Person.\n\n(2) Based on 21,953,577 Common Shares outstanding as of June 17, 2026 (as reported in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 23, 2026)." }, { "accession_no": "0001193125-26-282228", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Helix Strategic Fund II LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3500180.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3500180.0, "aggregate_amount_owned": 3500180.0, "percent_of_class": 15.9, "type_of_reporting_person": "OO", "comment_content": "(1) Includes (a) 3,486,866 Common Shares and (b) 13,314 Common Shares issuable upon exercise of the Warrants, in each case beneficially owned by this Reporting Person.\n\n(2) Based on (i) 21,953,577 Common Shares outstanding as of June 17, 2026 (as reported in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 23, 2026) plus (ii) 13,314 Common Shares issuable upon exercise of the Warrants." }, { "accession_no": "0001193125-26-282228", "person_seq": 3, "reporting_person_cik": 1886624, "reporting_person_name": "Jonathan Heller", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 5565017.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5565017.0, "aggregate_amount_owned": 5565017.0, "percent_of_class": 25.3, "type_of_reporting_person": "HC", "comment_content": "(1) Includes (a) 5,551,703 Common Shares and (b) 13,314 Common Shares issuable upon exercise of the Warrants, in each case beneficially owned by this Reporting Person.\n\n(2) Based on (i) 21,953,577 Common Shares outstanding as of June 17, 2026 (as reported in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on June 23, 2026) plus (ii) 13,314 Common Shares issuable upon exercise of the Warrants." }, { "accession_no": "0001193125-26-282713", "person_seq": 0, "reporting_person_cik": 1224962, "reporting_person_name": "Perceptive Advisors LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8254144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8254144.0, "aggregate_amount_owned": 8254144.0, "percent_of_class": 8.9, "type_of_reporting_person": "IA", "comment_content": "The securities reported on this page consist of (i) 2,460,195 shares of Common Stock held directly by Perceptive Life Sciences Master Fund, Ltd. (the \"Master Fund\"); (ii) 5,740,466 shares of Common Stock held directly by Perceptive Capital Solutions Holdings LP (\"PCS Holdings\"); and (iii) stock options issued to Douglas Giordano (\"Mr. Giordano\") in connection with his service on the Issuer's board of directors, currently exercisable or exercisable within 60 days for 53,483 shares of Common Stock, with respect to which Perceptive Advisors LLC (\"Perceptive Advisors\") has the right to receive the director compensation provided in respect of Mr. Giordano's board service through a partial management fee offset. Perceptive Advisors serves as the investment manager to the Master Fund. Perceptive Capital Solutions Advisors LP (\"PCS Advisors\"), a relying adviser of Perceptive Advisors, serves as the investment manager to PCS Holdings, and Perceptive Capital Solutions GP LLC (\"PCS GP\") serves as the general partner of PCS Holdings. Joseph Edelman (\"Mr. Edelman\") is the managing member of each of Perceptive Advisors and PCS GP." }, { "accession_no": "0001193125-26-282713", "person_seq": 1, "reporting_person_cik": 1164426, "reporting_person_name": "Joseph Edelman", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 8254144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8254144.0, "aggregate_amount_owned": 8254144.0, "percent_of_class": 8.9, "type_of_reporting_person": "IN", "comment_content": "The securities reported on this page consist of (i) 2,460,195 shares of Common Stock held directly by the Master Fund (ii) 5,740,466 shares of Common Stock held directly by PCS Holdings; and (iii) stock options issued to Mr. Giordano in connection with his service on the Issuer's board of directors, currently exercisable or exercisable within 60 days for 53,483 shares of Common Stock, with respect to which Perceptive Advisors has the right to receive the director compensation provided in respect of Mr. Giordano's board service through a partial management fee offset. Perceptive Advisors serves as the investment manager to the Master Fund. PCS Advisors, a relying adviser of Perceptive Advisors, serves as the investment manager to PCS Holdings, and PCS GP serves as the general partner of PCS Holdings. Mr. Edelman is the managing member of each of Perceptive Advisors and PCS GP." }, { "accession_no": "0001193125-26-282713", "person_seq": 2, "reporting_person_cik": 1249675, "reporting_person_name": "Perceptive Life Sciences Master Fund, Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2476240.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2476240.0, "aggregate_amount_owned": 2476240.0, "percent_of_class": 2.7, "type_of_reporting_person": "CO", "comment_content": "The securities reported on this page consist of (i) 2,460,195 shares of Common Stock held directly by the Master Fund; and (ii) stock options issued to Mr. Giordano in connection with his service on the Issuer's board of directors, currently exercisable or exercisable within 60 days for 16,045 shares of Common Stock, with respect to which Perceptive Advisors has the right to receive the director compensation provided in respect of Mr. Giordano's board service through a partial management fee offset. Perceptive Advisors serves as the investment manager to the Master Fund. Mr. Edelman is the managing member of Perceptive Advisors." }, { "accession_no": "0001193125-26-282713", "person_seq": 3, "reporting_person_cik": 2142326, "reporting_person_name": "Perceptive Capital Solutions Holdings LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5777904.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5777904.0, "aggregate_amount_owned": 5777904.0, "percent_of_class": 6.2, "type_of_reporting_person": "CO", "comment_content": "The securities reported on this page consist of (i) 5,740,466 shares of Common Stock held directly by PCS Holdings; and (ii) stock options issued to Mr. Giordano in connection with his service on the Issuer's board of directors, currently exercisable or exercisable within 60 days for 37,438 shares of Common Stock, with respect to which Perceptive Advisors has the right to receive the director compensation provided in respect of Mr. Giordano's board service through a partial management fee offset. PCS Advisors, a relying adviser of Perceptive Advisors, serves as the investment manager to PCS Holdings, and PCS GP serves as the general partner of PCS Holdings. Mr. Edelman is the managing member of each of Perceptive Advisors and PCS GP." }, { "accession_no": "0001193125-26-283868", "person_seq": 0, "reporting_person_cik": 1437107, "reporting_person_name": "Warner Bros. Discovery, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7417345.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7417345.0, "aggregate_amount_owned": 7417345.0, "percent_of_class": 71.3, "type_of_reporting_person": "CO", "comment_content": "The amounts listed in Rows 8, 10 and 11 include (i) 6,074,721 ordinary shares, par value $0.001 per share (the \"Ordinary Shares\"), of Anghami Inc., an exempted company incorporated in the Cayman Islands with limited liability (the \"Issuer\"), owned of record by OSN Streaming Limited (\"OSN Streaming\") and beneficially owned by the Reporting Persons (as defined below) plus (ii) 1,342,624 Ordinary Shares underlying warrants that are exercisable by OSN Streaming at a price of $115 per Ordinary Share (subject to certain specified adjustments) that are beneficially owned by the Reporting Persons (the \"OSN Warrants\").\n\nThe percentage calculated in Row 13 is based on a total of 10,407,432 Ordinary Shares, which includes (i) 9,064,808 Ordinary Shares outstanding as of December 31, 2025, as reported in the Annual Report on Form 20-F filed by the Issuer on April 30, 2026 (the \"Form 20-F\"), plus (ii) 1,342,624 Ordinary Shares issuable upon the exercise of the OSN Warrants. In accordance with SEC rules governing beneficial ownership, the calculation of the percentage ownership includes warrants beneficially owned by the Reporting Persons but does not include any other shares issuable upon the exercise of any other outstanding warrants or convertible notes beneficially owned by other persons." }, { "accession_no": "0001193125-26-283868", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Dplay Entertainment Limited", "fund_type": "WC", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 7417345.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7417345.0, "aggregate_amount_owned": 7417345.0, "percent_of_class": 71.3, "type_of_reporting_person": "CO", "comment_content": "The amounts listed in Rows 8, 10 and 11 include (i) 6,074,721 Ordinary Shares owned of record by OSN Streaming and beneficially owned by the Reporting Persons plus (ii) 1,342,624 Ordinary Shares issuable upon the exercise of the OSN Warrants.\n\nThe percentage calculated in Row 13 is based on a total of 10,407,432 Ordinary Shares, which includes (i) 9,064,808 Ordinary Shares outstanding as of December 31, 2025, as reported in the Form 20-F, plus (ii) 1,342,624 Ordinary Shares issuable upon the exercise of the OSN Warrants. In accordance with SEC rules governing beneficial ownership, the calculation of the percentage ownership includes warrants beneficially owned by the Reporting Persons but does not include any other shares issuable upon the exercise of any other outstanding warrants or convertible notes beneficially owned by other persons." }, { "accession_no": "0001193125-26-285454", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Beauty Ventures LLC", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row 13 of Class A ordinary shares, par value of $0.0001 per share (\"Class A Shares\") is based on 118,239,889 shares of Class A Shares outstanding as of February 27, 2026, as reported in the Current Report on Form 20-F filed by the Issuer on March 13, 2026." }, { "accession_no": "0001193125-26-285454", "person_seq": 1, "reporting_person_cik": 1840220, "reporting_person_name": "Waldencast Long-Term Capital LLC", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row 13 of Class A Shares is based on 118,239,889 shares of Class A Shares outstanding as of February 27, 2026, as reported in the Current Report on Form 20-F filed by the Issuer on March 13, 2026." }, { "accession_no": "0001193125-26-285542", "person_seq": 0, "reporting_person_cik": 1820190, "reporting_person_name": "Scilex Holding Company", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 500000.0, "shared_voting_power": 181020112.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 181020112.0, "aggregate_amount_owned": 181520112.0, "percent_of_class": 78.85, "type_of_reporting_person": "HC", "comment_content": "Note to Rows 7 and 9: Comprised of the following shares of common stock, par value $0.0001 per share (\"Common Stock\"), of Semnur Pharmaceuticals, Inc. (f/k/a Denali Capital Acquisition Corp.) (the \"Issuer\"): (i) 542,361 shares issued pursuant to the Business Combination (as defined below) upon the exchange of 5,423,606 shares of Series A Preferred Stock of Old Semnur (as defined below), (ii) 500,000 shares purchased by SHC (as defined below) prior to the Business Combination, and (iii) 12,488 shares issued upon conversion of the SHC Convertible Promissory Note (as defined below) upon the consummation of the Business Combination. Subsequent to the consummation of the Business Combination, SHC transferred 554,849 shares of the Issuer's Common Stock to a third party. The beneficial ownership reported in these rows does not reflect the 5,423,606 shares of Series A Preferred Stock, par value $0.0001 per share, of the Issuer (\"Series A Preferred Stock\") held by SHC, representing 100% of the outstanding shares of Series A Preferred Stock, which are entitled to vote, together with the holders of Common Stock, and not separately as a class, on an as converted to Common Stock basis on all matters on which the holders of shares of Common Stock have the right to vote (with the number of votes being determined by dividing the stated value (as determined under the Issuer's Certificate of Designations of Series A Preferred Stock, filed with the Delaware Secretary of State on September 22, 2025 (the \"Certificate of Designations\")) by $10.00) because such shares of Series A Preferred Stock are not convertible into Common Stock.\n\nNote to Rows 8 and 10: Comprised of (i) 174,770,112 shares of Common Stock held by Scilex, Inc., a wholly owned subsidiary of Scilex Holding Company (\"SHC\") and (ii) 6,250,000 shares of Common Stock held by Scilex Bio, Inc., a majority owned subsidiary of SHC, each of which entities share voting and dispositive power over the shares held by it with SHC.\n\nNote to Row 11: Comprised of the shares of Common Stock referenced in Rows 7 through 10.\n\nNote to Row 13: Percent of class beneficially owned is calculated based on 230,209,142 shares of Common Stock outstanding as of April 25, 2026 as reported in the Issuer's Quarterly Report on Form 10-Q filed on May 13, 2026. The aggregate voting power of the shares of Common Stock beneficially owned by SHC and referenced in rows 7 through 10 together with 5,423,606 shares of Series A Preferred Stock held by SHC represent 79.34% of total voting power of the Issuer based on 230,209,142 shares of Common Stock and 5,423,606 shares of Series A Preferred Stock outstanding as of April 25, 2026." }, { "accession_no": "0001193125-26-285542", "person_seq": 1, "reporting_person_cik": 2084647, "reporting_person_name": "Scilex, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 174770112.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 174770112.0, "aggregate_amount_owned": 174770112.0, "percent_of_class": 75.92, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 8 and 10: Comprised of 174,770,112 shares of Common Stock held by Scilex, Inc., a wholly owned subsidiary of SHC, with which it shares voting and dispositive power over these shares.\n\nNote to Row 13: Percent of class beneficially owned is calculated based on 230,209,142 shares of Common Stock outstanding as of April 25, 2026 as reported in the Issuer's Quarterly Report on Form 10-Q filed on May 13, 2026." }, { "accession_no": "0001193125-26-285633", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Apollo Direct Lending Fund II (Levered AIV), L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 32067124.2, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32067124.2, "aggregate_amount_owned": 32067124.2, "percent_of_class": 100.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-285633", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Apollo Direct Lending Advisors II, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 32067124.2, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32067124.2, "aggregate_amount_owned": 32067124.2, "percent_of_class": 100.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-285633", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Apollo Origination Advisors II GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32067124.2, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32067124.2, "aggregate_amount_owned": 32067124.2, "percent_of_class": 100.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-285633", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "APH Holdings (DC), L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 32067124.2, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32067124.2, "aggregate_amount_owned": 32067124.2, "percent_of_class": 100.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-285633", "person_seq": 4, "reporting_person_cik": 2011937, "reporting_person_name": "Apollo Principal Holdings B GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32067124.2, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32067124.2, "aggregate_amount_owned": 32067124.2, "percent_of_class": 100.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-285642", "person_seq": 0, "reporting_person_cik": 1675124, "reporting_person_name": "Eclipse Continuity GP I, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 680305.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 680305.0, "aggregate_amount_owned": 680305.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "Represents 680,305 shares of Class A common stock (as defined in Item 1(a)). All shares are held by Eclipse Continuity I (as defined in Item 2(a)). Eclipse Continuity GP (as defined in Item 2(a)) is the general partner of Eclipse Continuity I and may be deemed to have voting and dispositive power over the shares held by Eclipse Continuity I. Mr. Susan (as defined in Item 2(a)), a member of the Issuer's Board (as defined in Item 2(a)), is the sole managing member of Eclipse Continuity GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock outstanding as of June 17, 2026, as reported by the Issuer (as defined in Item 1(a) below) in its quarterly report on Form 10-Q filed with the Securities and Exchange Commission (the Commission) on June 24, 2026 (the Form 10-Q), plus (ii) 130,720,379 shares of Class B common stock (the Class B common stock) outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285642", "person_seq": 1, "reporting_person_cik": 1675126, "reporting_person_name": "Eclipse Continuity Fund I, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 680305.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 680305.0, "aggregate_amount_owned": 680305.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "Represents 680,305 shares of Class A common stock. All shares are held by Eclipse Continuity I. Eclipse Continuity GP is the general partner of Eclipse Continuity I and may be deemed to have voting and dispositive power over the shares held by Eclipse Continuity I. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse Continuity GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock, plus (ii) 130,720,379 shares of Class B common stock outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285642", "person_seq": 2, "reporting_person_cik": 1843678, "reporting_person_name": "Eclipse Ventures GP I, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4689870.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4689870.0, "aggregate_amount_owned": 4689870.0, "percent_of_class": 2.1, "type_of_reporting_person": "OO", "comment_content": "Represents 4,689,870 shares of Class A common stock. All shares are held by Eclipse I (as defined in Item 2(a)). Eclipse I GP (as defined in Item 2(a)) is the general partner of Eclipse I and may be deemed to have voting and dispositive power over the shares held by Eclipse I. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse I GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock, plus (ii) 130,720,379 shares of Class B common stock outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285642", "person_seq": 3, "reporting_person_cik": 1641394, "reporting_person_name": "Eclipse Ventures Fund I, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4689870.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4689870.0, "aggregate_amount_owned": 4689870.0, "percent_of_class": 2.1, "type_of_reporting_person": "PN", "comment_content": "Represents 4,689,870 shares of Class A common stock. All shares are held by Eclipse I. Eclipse I GP is the general partner of Eclipse I and may be deemed to have voting and dispositive power over the shares held by Eclipse I. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse I GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock, plus (ii) 130,720,379 shares of Class B common stock outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285642", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Eclipse SPV II GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5566197.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5566197.0, "aggregate_amount_owned": 5566197.0, "percent_of_class": 2.5, "type_of_reporting_person": "OO", "comment_content": "Represents 5,566,197 shares of Class A common stock. All shares are held by Eclipse SPV II (as defined in Item 2(a)). Eclipse SPV II GP (as defined in Item 2(a)) is the general partner of Eclipse SPV II and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV II. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse SPV II GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock, plus (ii) 130,720,379 shares of Class B common stock outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285642", "person_seq": 5, "reporting_person_cik": 1791665, "reporting_person_name": "Eclipse SPV II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5566197.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5566197.0, "aggregate_amount_owned": 5566197.0, "percent_of_class": 2.5, "type_of_reporting_person": "PN", "comment_content": "Represents 5,566,197 shares of Class A common stock. All shares are held by Eclipse SPV II. Eclipse SPV II GP is the general partner of Eclipse SPV II and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV II. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse SPV II GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock, plus (ii) 130,720,379 shares of Class B common stock outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285642", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Eclipse SPV XIII GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 509898.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 509898.0, "aggregate_amount_owned": 509898.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Represents 509,898 shares of Class A common stock. All shares are held by Eclipse SPV XIII (as defined in Item 2(a)). Eclipse SPV XIII GP (as defined in Item 2(a)) is the general partner of Eclipse SPV XIII and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV XIII. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse SPV XIII GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock, plus (ii) 130,720,379 shares of Class B common stock outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285642", "person_seq": 7, "reporting_person_cik": 1943130, "reporting_person_name": "Eclipse SPV XIII, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 509898.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 509898.0, "aggregate_amount_owned": 509898.0, "percent_of_class": 0.2, "type_of_reporting_person": "PN", "comment_content": "Represents 509,898 shares of Class A common stock. All shares are held by Eclipse SPV XIII. Eclipse SPV XIII GP is the general partner of Eclipse SPV XIII and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV XIII. Mr. Susan, a member of the Issuer's Board, is the sole managing member of Eclipse SPV XIII GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock, plus (ii) 130,720,379 shares of Class B common stock outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285642", "person_seq": 8, "reporting_person_cik": 1832895, "reporting_person_name": "Lior Susan", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 133948.0, "shared_voting_power": 11446270.0, "sole_dispositive_power": 133948.0, "shared_dispositive_power": 11446270.0, "aggregate_amount_owned": 11580218.0, "percent_of_class": 5.2, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) an aggregate of 92,973 shares of Class A common stock held by Mr. Susan, (ii) 40,975 shares of Class A common stock held by an estate-planning vehicle controlled by Mr. Susan, (iii) 680,305 shares of Class A common stock held by Eclipse Continuity I, (iv) 4,689,870 shares of Class A common stock held by Eclipse I, (v) 5,566,197 shares of Class A common stock held by Eclipse SPV II, and (vi) 509,898 shares of Class A common stock held by Eclipse SPV XIII. Eclipse Continuity GP is the general partner of Eclipse Continuity I and may be deemed to have voting and dispositive power over the shares held by Eclipse Continuity I. Eclipse I GP is the general partner of Eclipse I and may be deemed to have voting and dispositive power over the shares held by Eclipse I. Eclipse SPV II GP is the general partner of Eclipse SPV II and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV II. Eclipse SPV XIII GP is the general partner of Eclipse SPV XIII and may be deemed to have voting and dispositive power over the shares held by Eclipse SPV XIII. Mr. Susan, a member of the Issuer's Board, is the sole managing member of each of Eclipse Continuity GP, Eclipse I GP, Eclipse SPV II GP, and Eclipse SPV XIII GP and may be deemed to have voting and dispositive power with respect to the shares held by each of Eclipse Continuity I, Eclipse I, Eclipse SPV II, and Eclipse SPV XIII.\n\nBased on 222,850,567 shares of common stock outstanding, consisting of (i) 92,130,188 shares of Class A common stock, plus (ii) 130,720,379 shares of Class B common stock outstanding as of June 17, 2026, as reported by the Issuer in the Form 10-Q. The shares of Class A common stock and Class B common stock have the same rights, privileges, preferences, and powers, rank equally (including as to dividends and distributions, and upon any liquidation, dissolution, distribution of assets, or winding up of the Issuer), share ratably and are identical in all respects and as to all matters, except that the holders of shares of Class A common stock are entitled to one vote per share of Class A common stock and the holders of Class B common stock are entitled to twenty votes per share of Class B common stock." }, { "accession_no": "0001193125-26-285643", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Apollo Direct Lending Fund II (Unlevered AIV), L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 28069111.38, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28069111.38, "aggregate_amount_owned": 28069111.38, "percent_of_class": 100.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-285643", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Apollo Direct Lending Advisors II, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 28069111.38, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28069111.38, "aggregate_amount_owned": 28069111.38, "percent_of_class": 100.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-285643", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Apollo Origination Advisors II GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 28069111.38, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28069111.38, "aggregate_amount_owned": 28069111.38, "percent_of_class": 100.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-285643", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "APH Holdings (DC), L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 28069111.38, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28069111.38, "aggregate_amount_owned": 28069111.38, "percent_of_class": 100.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-285643", "person_seq": 4, "reporting_person_cik": 2011937, "reporting_person_name": "Apollo Principal Holdings B GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 28069111.38, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28069111.38, "aggregate_amount_owned": 28069111.38, "percent_of_class": 100.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-288406", "person_seq": 0, "reporting_person_cik": 2006772, "reporting_person_name": "ARCH Venture Fund XIII, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15042035.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15042035.0, "aggregate_amount_owned": 15042035.0, "percent_of_class": 16.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-288406", "person_seq": 1, "reporting_person_cik": 2016083, "reporting_person_name": "ARCH Venture Partners XIII, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15042035.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15042035.0, "aggregate_amount_owned": 15042035.0, "percent_of_class": 16.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-288406", "person_seq": 2, "reporting_person_cik": 2016082, "reporting_person_name": "ARCH Venture Partners XIII, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15042035.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15042035.0, "aggregate_amount_owned": 15042035.0, "percent_of_class": 16.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-288406", "person_seq": 3, "reporting_person_cik": 1219042, "reporting_person_name": "Robert Nelsen", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 15042035.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15042035.0, "aggregate_amount_owned": 15042035.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-288406", "person_seq": 4, "reporting_person_cik": 1219039, "reporting_person_name": "Keith Crandell", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 15042035.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15042035.0, "aggregate_amount_owned": 15042035.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-288406", "person_seq": 5, "reporting_person_cik": 1569248, "reporting_person_name": "Kristina Burow", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 15042035.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15042035.0, "aggregate_amount_owned": 15042035.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-288406", "person_seq": 6, "reporting_person_cik": 1229592, "reporting_person_name": "Steven Gillis", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 15042035.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15042035.0, "aggregate_amount_owned": 15042035.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-288406", "person_seq": 7, "reporting_person_cik": 1202769, "reporting_person_name": "Paul Berns", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 53483.0, "shared_voting_power": 15042035.0, "sole_dispositive_power": 53483.0, "shared_dispositive_power": 15042035.0, "aggregate_amount_owned": 15095518.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-290623", "person_seq": 0, "reporting_person_cik": 1094517, "reporting_person_name": "TOYOTA MOTOR CORP/", "fund_type": "WC", "citizenship_or_org": "M0", "sole_voting_power": 122573621.0, "shared_voting_power": 5880780.0, "sole_dispositive_power": 122573621.0, "shared_dispositive_power": 5880780.0, "aggregate_amount_owned": 128454401.0, "percent_of_class": 13.1, "type_of_reporting_person": "CO", "comment_content": "Items 8,10,11* Includes (i) 5,813,286 Common Shares of the Issuer issued to TVF (as defined herein) and (ii) 67,494 Common Shares of the Issuer issued to TVPF (as defined herein). TMC (as defined herein) has voting and dispositive power of the Common Shares held by TVF and TVPF and therefore may be deemed to be the beneficial owner of such Common Shares.\n\nItem 13** This percentage is calculated based upon 983,642,852 Common Shares issued and outstanding of the Issuer as of May 4, 2026 as set forth in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-292841", "person_seq": 0, "reporting_person_cik": 2141619, "reporting_person_name": "CIM Group Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 907376073.66, "shared_voting_power": 0.0, "sole_dispositive_power": 907376073.66, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 907376073.66, "percent_of_class": 100.0, "type_of_reporting_person": "OO", "comment_content": "Share amounts reported are rounded to two decimal places." }, { "accession_no": "0001193125-26-292841", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Richard Ressler", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 907376073.66, "sole_dispositive_power": 0.0, "shared_dispositive_power": 907376073.66, "aggregate_amount_owned": 907376073.66, "percent_of_class": 100.0, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person disclaims beneficial ownership of the reported shares of Special Voting Preferred Stock except to the extent of his pecuniary interest therein, and the inclusion of such shares in this Schedule 13D shall not be deemed an admission of beneficial ownership of all of the reported shares for any purpose.\n\nShare amounts reported are rounded to two decimal places." }, { "accession_no": "0001193125-26-292841", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Avraham Shemesh", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 907376073.66, "sole_dispositive_power": 0.0, "shared_dispositive_power": 907376073.66, "aggregate_amount_owned": 907376073.66, "percent_of_class": 100.0, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person disclaims beneficial ownership of the reported shares of Special Voting Preferred Stock except to the extent of his pecuniary interest therein, and the inclusion of such shares in this Schedule 13D shall not be deemed an admission of beneficial ownership of all of the reported shares for any purpose.\n\nShare amounts reported are rounded to two decimal places." }, { "accession_no": "0001193125-26-292841", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Shaul Kuba", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 907376073.66, "sole_dispositive_power": 0.0, "shared_dispositive_power": 907376073.66, "aggregate_amount_owned": 907376073.66, "percent_of_class": 100.0, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person disclaims beneficial ownership of the reported shares of Special Voting Preferred Stock except to the extent of his pecuniary interest therein, and the inclusion of such shares in this Schedule 13D shall not be deemed an admission of beneficial ownership of all of the reported shares for any purpose.\n\nShare amounts reported are rounded to two decimal places." }, { "accession_no": "0001193125-26-294951", "person_seq": 0, "reporting_person_cik": 1640809, "reporting_person_name": "22NW Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 2712472.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2712472.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2712472.0, "percent_of_class": 6.74, "type_of_reporting_person": "PN", "comment_content": "Including 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock that are convertible within 60 days of the date hereof pursuant to the terms and conditions of the Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of the Issuer.\n\nPercentage is based upon 40,220,625 Shares outstanding, consisting of (i) 37,509,407 shares of Common Stock as of April 29, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 6, 2026, plus (ii) 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock." }, { "accession_no": "0001193125-26-294951", "person_seq": 1, "reporting_person_cik": 1694297, "reporting_person_name": "22NW, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2712472.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2712472.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2712472.0, "percent_of_class": 6.74, "type_of_reporting_person": "PN", "comment_content": "Including 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock that are convertible within 60 days of the date hereof pursuant to the terms and conditions of the Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of the Issuer.\n\nPercentage is based upon 40,220,625 Shares outstanding, consisting of (i) 37,509,407 shares of Common Stock as of April 29, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 6, 2026, plus (ii) 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock." }, { "accession_no": "0001193125-26-294951", "person_seq": 2, "reporting_person_cik": 1770575, "reporting_person_name": "22NW Fund GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2712472.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2712472.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2712472.0, "percent_of_class": 6.74, "type_of_reporting_person": "OO", "comment_content": "Including 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock that are convertible within 60 days of the date hereof pursuant to the terms and conditions of the Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of the Issuer.\n\nPercentage is based upon 40,220,625 Shares outstanding, consisting of (i) 37,509,407 shares of Common Stock as of April 29, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 6, 2026, plus (ii) 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock." }, { "accession_no": "0001193125-26-294951", "person_seq": 3, "reporting_person_cik": 1783663, "reporting_person_name": "22NW GP, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2712472.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2712472.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2712472.0, "percent_of_class": 6.74, "type_of_reporting_person": "CO", "comment_content": "Including 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock that are convertible within 60 days of the date hereof pursuant to the terms and conditions of the Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of the Issuer.\n\nPercentage is based upon 40,220,625 Shares outstanding, consisting of (i) 37,509,407 shares of Common Stock as of April 29, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 6, 2026, plus (ii) 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock." }, { "accession_no": "0001193125-26-294951", "person_seq": 4, "reporting_person_cik": 1770436, "reporting_person_name": "Aron R. English", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2712472.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2712472.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2712472.0, "percent_of_class": 6.74, "type_of_reporting_person": "IN", "comment_content": "Including 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock that are convertible within 60 days of the date hereof pursuant to the terms and conditions of the Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of the Issuer.\n\nPercentage is based upon 40,220,625 Shares outstanding, consisting of (i) 37,509,407 shares of Common Stock as of April 29, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 6, 2026, plus (ii) 2,711,218 Shares issuable upon the conversion of certain shares of Series A Preferred Stock." }, { "accession_no": "0001193125-26-294951", "person_seq": 5, "reporting_person_cik": 1888106, "reporting_person_name": "Bryson O. Hirai-Hadley", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 583.0, "shared_voting_power": 0.0, "sole_dispositive_power": 583.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 583.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-294951", "person_seq": 6, "reporting_person_cik": 1952771, "reporting_person_name": "Nathaniel Calloway", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-295053", "person_seq": 0, "reporting_person_cik": 2136426, "reporting_person_name": "Jefferies Credit Partners Structured Solutions LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7312125.38, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7312125.38, "percent_of_class": 12.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-295162", "person_seq": 0, "reporting_person_cik": 1811744, "reporting_person_name": "Bering Partners II GP, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2113513.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2113513.0, "aggregate_amount_owned": 2113513.0, "percent_of_class": 6.9, "type_of_reporting_person": "OO", "comment_content": "Consists of 2,113,513 shares of Common Stock (as defined in Item 1(a)). All securities are held by Bering II (as defined in Item 2(a)). Bering II GP (as defined in Item 2(a)) is the general partner of Bering II and may be deemed to have voting and dispositive power over the shares held by Bering II. Mr. Zaytsev (as defined in Item 2(a)), a member of the Issuer's board of directors (the Board) and Mr. Sawyer (as defined in Item 2(a)), are the managing members of Bering II GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 30,736,401 shares, as follows: (i) 15,798,031 of Common Stock outstanding as of May 6, 2026, as reported by the Issuer (as defined in Item 1(b)) in its Form 10-Q filed with the United States Securities and Exchange Commission (the Commission) on May 12, 2026 (the Form 10-Q), plus (ii) 14,938,370 shares of Common Stock issued in the Issuer's private placement transaction which closed on June 25, 2026 (the Offering), which transaction was disclosed by the Issuer in its current report on Form 8-K filed with the Commission on June 24, 2026 (the 8-K)." }, { "accession_no": "0001193125-26-295162", "person_seq": 1, "reporting_person_cik": 1811512, "reporting_person_name": "Bering Partners II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2113513.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2113513.0, "aggregate_amount_owned": 2113513.0, "percent_of_class": 6.9, "type_of_reporting_person": "PN", "comment_content": "Consists of 2,113,513 shares of Common Stock. All securities are held by Bering II. Bering II GP is the general partner of Bering II and may be deemed to have voting and dispositive power over the shares held by Bering II. Mr. Zaytsev, a member of the Issuer's Board, and Mr. Sawyer are the managing members of Bering II GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 30,736,401 shares, as follows: (i) 15,798,031 of Common Stock outstanding as of May 6, 2026, as reported by the Issuer in the Form 10-Q, plus (ii) 14,938,370 shares of Common Stock issued in the Offering, which transaction was disclosed by the Issuer in the 8-K." }, { "accession_no": "0001193125-26-295162", "person_seq": 2, "reporting_person_cik": 1674797, "reporting_person_name": "Evgeny Zaytsev", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2113513.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2113513.0, "aggregate_amount_owned": 2113513.0, "percent_of_class": 6.9, "type_of_reporting_person": "IN", "comment_content": "Consists of 2,113,513 shares of Common Stock. All securities are held by Bering II. Bering II GP is the general partner of Bering II and may be deemed to have voting and dispositive power over the shares held by Bering II. Mr. Zaytsev, a member of the Issuer's Board, and Mr. Sawyer are the managing members of Bering II GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 30,736,401 shares, as follows: (i) 15,798,031 of Common Stock outstanding as of May 6, 2026, as reported by the Issuer in the Form 10-Q, plus (ii) 14,938,370 shares of Common Stock issued in the Offering, which transaction was disclosed by the Issuer in the 8-K." }, { "accession_no": "0001193125-26-295162", "person_seq": 3, "reporting_person_cik": 1034251, "reporting_person_name": "Philip M Sawyer", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2113513.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2113513.0, "aggregate_amount_owned": 2113513.0, "percent_of_class": 6.9, "type_of_reporting_person": "IN", "comment_content": "Consists of 2,113,513 shares of Common Stock. All securities are held by Bering II. Bering II GP is the general partner of Bering II and may be deemed to have voting and dispositive power over the shares held by Bering II. Mr. Zaytsev, a member of the Issuer's Board, and Mr. Sawyer are the managing members of Bering II GP and may be deemed to have voting and dispositive power with respect to these securities.\n\nBased on 30,736,401 shares, as follows: (i) 15,798,031 of Common Stock outstanding as of May 6, 2026, as reported by the Issuer in the Form 10-Q, plus (ii) 14,938,370 shares of Common Stock issued in the Offering, which transaction was disclosed by the Issuer in the 8-K." }, { "accession_no": "0001193125-26-296441", "person_seq": 0, "reporting_person_cik": 1134118, "reporting_person_name": "Bruce G. Beasley", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 84516.0, "shared_voting_power": 0.0, "sole_dispositive_power": 84516.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 84516.0, "percent_of_class": 8.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-296442", "person_seq": 0, "reporting_person_cik": 1134290, "reporting_person_name": "Caroline Beasley", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 97037.0, "shared_voting_power": 0.0, "sole_dispositive_power": 97037.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 97037.0, "percent_of_class": 9.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-296548", "person_seq": 0, "reporting_person_cik": 2055128, "reporting_person_name": "Bain Capital DCB Investments, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3988207.55, "shared_voting_power": 0.0, "sole_dispositive_power": 3988207.55, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3988207.55, "percent_of_class": 9.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-296548", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bain Capital DCB Investments II, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1161651.56, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1161651.56, "aggregate_amount_owned": 1161651.56, "percent_of_class": 2.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-296620", "person_seq": 0, "reporting_person_cik": 2021433, "reporting_person_name": "Jacob DeWitte", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20559091.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20559091.0, "aggregate_amount_owned": 20559091.0, "percent_of_class": 11.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-296620", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Caroline Cochran", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20559091.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20559091.0, "aggregate_amount_owned": 20559091.0, "percent_of_class": 11.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-297550", "person_seq": 0, "reporting_person_cik": 1899748, "reporting_person_name": "XP Control LLC", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 96797602.0, "shared_voting_power": 0.0, "sole_dispositive_power": 96797602.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 96797602.0, "percent_of_class": 18.7, "type_of_reporting_person": "CO", "comment_content": "The number of Class A common shares beneficially owned by XP Control LLC represents the number of Class A common shares available upon conversion of the Class B shares directly held by XP Control LLC. Each Class B common share is convertible into one Class A common share at the option of its holder at any time.\n\nNote to Row (13): The aggregate percentage of Class A common shares reported as beneficially owned by XP Control LLC was calculated based on (i) 417,080,230 Class A common shares issued and outstanding as of March 31, 2026, as disclosed in the Issuer's Current Report on Form 6-K filed with the Securities and Exchange Commission (the \"SEC\") on May 18, 2026, plus (ii) 4,954,867 Class A common shares issued upon the conversion of Class B common shares directly held by XP Control LLC, plus (iii) 96,797,602 Class A common shares issuable upon exercise of Class B common shares directly held by XP Control LLC. The aggregate number of Class B common shares beneficially owned by XP Control LLC as set forth in this footnote are treated as converted into Class A common shares only for the purpose of computing the percentage ownership of XP Control LLC.\n\nNote to Row (13): Each Class A common share is entitled to one vote, and each Class B common share is entitled to ten votes. The percentage reported does not reflect the ten for one voting power of the Class B common shares because the Class B common shares are treated as converted into Class A common shares for the purpose of this Schedule 13D." }, { "accession_no": "0001193125-26-297550", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Guilherme Dias Fernandes Benchimol", "fund_type": "OO", "citizenship_or_org": "D5", "sole_voting_power": 96797602.0, "shared_voting_power": 0.0, "sole_dispositive_power": 96797602.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 96797602.0, "percent_of_class": 18.7, "type_of_reporting_person": "HC", "comment_content": "The number of Class A common shares beneficially owned by Guilherme Dias Fernandes Benchimol represents the number of Class A common shares available upon conversion of the Class B shares directly held by Guilherme Dias Fernandes Benchimol. Each Class B common share is convertible into one Class A common share at the option of its holder at any time.\n\nNote to Row (13): The aggregate percentage of Class A common shares reported as beneficially owned by Guilherme Dias Fernandes Benchimol was calculated based on (i) 417,080,230 Class A common shares issued and outstanding as of March 31, 2026, as disclosed in the Issuer's Current Report on Form 6-K filed with the SEC on May 18, 2026, plus (ii) 4,954,867 Class A common shares issued upon the conversion of Class B common shares directly held by XP Control LLC, plus (iii) 96,797,602 Class A common shares issuable upon exercise of Class B common shares directly held by Guilherme Dias Fernandes Benchimol. The aggregate number of Class B common shares beneficially owned by Guilherme Dias Fernandes Benchimol as set forth in this footnote are treated as converted into Class A common shares only for the purpose of computing the percentage ownership of Guilherme Dias Fernandes Benchimol.\n\nNote to Row (13): Each Class A common share is entitled to one vote, and each Class B common share is entitled to ten votes. The percentage reported does not reflect the ten for one voting power of the Class B common shares because the Class B common shares are treated as converted into Class A common shares for the purpose of this Schedule 13D." }, { "accession_no": "0001193125-26-297650", "person_seq": 0, "reporting_person_cik": 1054568, "reporting_person_name": "Russell C. Horowitz", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8813485.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8813485.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8813485.0, "percent_of_class": 18.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-297859", "person_seq": 0, "reporting_person_cik": 1994894, "reporting_person_name": "SCLX Stock Acquisition JV LLC", "fund_type": "SC", "citizenship_or_org": "TX", "sole_voting_power": 30029378.0, "shared_voting_power": 0.0, "sole_dispositive_power": 30029378.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 30029378.0, "percent_of_class": 11.4, "type_of_reporting_person": "OO", "comment_content": "Note to Rows 7, 9, 11: Comprised of (i) 958,263 shares of common stock, par value $0.0001 per share (\"Common Stock\"), of Scilex Holding Company (the \"Issuer\"), (ii) 14,018 shares of Common Stock issuable upon exercise of warrants exercisable within 60 days of the date on which this Amendment No. 6 to Schedule 13D (this \"Amendment No. 6\") has been filed with the Securities and Exchange Commission (\"SEC\"), and (iii) 29,057,097 shares of Series A Preferred Stock, par value $0.0001 per share, of the Issuer (\"Series A Preferred Stock\") which are entitled to vote, together with the holders of Common Stock, and not separately as a class, on an as converted to Common Stock basis on all matters on which the holders of shares of Common Stock have the right to vote (with the number of votes being determined by dividing the stated value (as determined under the Issuer's Certificate of Designations of Series A Preferred Stock, filed with the Delaware Secretary of State on November 10, 2022 (the \"Certificate of Designations\")) by $10.00) and as of the date of this Amendment No. 6 such preferred stock is entitled to 848,106 votes as a result of adjustments to the conversion price of such preferred stock in accordance with the terms of the Certificate of Designations.\n\nNote to Row 13: Percent of class beneficially owned is calculated based on 8,491,267 shares of Common Stock outstanding as of May 15, 2026, plus 14,018 shares of Common Stock issuable upon exercise of warrants held by the Reporting Person that are exercisable within 60 days of the date on which this Amendment No. 6 has been filed with the SEC. Shares of Series A Preferred Stock are not convertible into shares of Common Stock and therefore the 29,057,097 shares of Series A Preferred Stock held by the Reporting Person are not included in this percentage. The Reporting Person's aggregate voting power, including shares of Series A Preferred Stock (which as of the date of this Amendment No. 6 such preferred stock is entitled to 848,106 votes as a result of adjustments to the conversion price of such preferred stock in accordance with the terms of the Certificate of Designations) and assuming the exercise of all warrants held by the Reporting Person, is 19.3%." }, { "accession_no": "0001193125-26-298548", "person_seq": 0, "reporting_person_cik": 1880358, "reporting_person_name": "Atlas Capital Resources (A9) LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2913565.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2913565.0, "aggregate_amount_owned": 2913565.0, "percent_of_class": 16.1, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 1,920,265 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 993,300 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer, the 114,199 shares of Class A Common Stock issued by the Issuer to the Reporting Persons on July 6, 2026, and assuming conversion of all of the 2,680,030 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-298548", "person_seq": 1, "reporting_person_cik": 1880372, "reporting_person_name": "Atlas Capital Resources (A9-Parallel) LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1046176.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1046176.0, "aggregate_amount_owned": 1046176.0, "percent_of_class": 5.8, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 689,512 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 356,664 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer, the 114,199 shares of Class A Common Stock issued by the Issuer to the Reporting Persons on July 6, 2026, and assuming conversion of all of the 2,680,030 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-298548", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Atlas Capital Resources (P) LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 106592.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 106592.0, "aggregate_amount_owned": 106592.0, "percent_of_class": 0.6, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 70,253 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 36,339 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer, the 114,199 shares of Class A Common Stock issued by the Issuer to the Reporting Persons on July 6, 2026, and assuming conversion of all of the 2,680,030 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-298548", "person_seq": 3, "reporting_person_cik": 1963983, "reporting_person_name": "GGH Bridge Investment LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 119048.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 119048.0, "aggregate_amount_owned": 119048.0, "percent_of_class": 0.7, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer, the 114,199 shares of Class A Common Stock issued by the Issuer to the Reporting Persons on July 6, 2026, and assuming conversion of all of the 2,680,030 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-298548", "person_seq": 4, "reporting_person_cik": 1882313, "reporting_person_name": "Atlas Capital GP LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4185381.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4185381.0, "aggregate_amount_owned": 4185381.0, "percent_of_class": 23.1, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 2,680,030 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 1,505,351 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer, the 114,199 shares of Class A Common Stock issued by the Issuer to the Reporting Persons on July 6, 2026, and assuming conversion of all of the 2,680,030 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-298548", "person_seq": 5, "reporting_person_cik": 1882294, "reporting_person_name": "Atlas Capital Resources GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4185381.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4185381.0, "aggregate_amount_owned": 4185381.0, "percent_of_class": 23.1, "type_of_reporting_person": "OO", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 2,680,030 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 1,505,351 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer, the 114,199 shares of Class A Common Stock issued by the Issuer to the Reporting Persons on July 6, 2026, and assuming conversion of all of the 2,680,030 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-298548", "person_seq": 6, "reporting_person_cik": 905112, "reporting_person_name": "Andrew M. Bursky", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4185381.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4185381.0, "aggregate_amount_owned": 4185381.0, "percent_of_class": 23.1, "type_of_reporting_person": "IN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 2,680,030 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 1,505,351 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer, the 114,199 shares of Class A Common Stock issued by the Issuer to the Reporting Persons on July 6, 2026, and assuming conversion of all of the 2,680,030 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-298548", "person_seq": 7, "reporting_person_cik": 1394403, "reporting_person_name": "Timothy J. Fazio", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4185381.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4185381.0, "aggregate_amount_owned": 4185381.0, "percent_of_class": 23.1, "type_of_reporting_person": "IN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 2,680,030 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 1,505,351 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer, the 114,199 shares of Class A Common Stock issued by the Issuer to the Reporting Persons on July 6, 2026, and assuming conversion of all of the 2,680,030 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-299127", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "MHR INSTITUTIONAL ADVISORS LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 2634891.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2634891.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2634891.0, "percent_of_class": 5.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "MHRC I LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 2634891.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2634891.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2634891.0, "percent_of_class": 5.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "MHR INSTITUTIONAL PARTNERS IIA LP", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "MHR INSTITUTIONAL ADVISORS II LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 2770676.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2770676.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2770676.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "MHRC II LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 2770676.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2770676.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2770676.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "MHR INSTITUTIONAL PARTNERS III LP", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "MHR INSTITUTIONAL ADVISORS III LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 3368027.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3368027.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3368027.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "MHR SAT SUBHOLDCO B", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 2842143.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2842143.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2842143.0, "percent_of_class": 5.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "MHR SAT HOLDCO B", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 3213938.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3213938.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3213938.0, "percent_of_class": 6.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "MHR SUN GP LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 6742088.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6742088.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6742088.0, "percent_of_class": 13.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "The Rachesky Revocable Trust", "fund_type": null, "citizenship_or_org": "NY", "sole_voting_power": 6742088.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6742088.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6742088.0, "percent_of_class": 13.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "MHR SUN III LP", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 3368027.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3368027.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3368027.0, "percent_of_class": 6.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 12, "reporting_person_cik": 1277742, "reporting_person_name": "MHR FUND MANAGEMENT LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 18035092.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18035092.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18035092.0, "percent_of_class": 35.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "MHR HOLDINGS LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 18035092.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18035092.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18035092.0, "percent_of_class": 35.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299127", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "MARK H. RACHESKY, M.D.", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 18096228.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18096228.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18096228.0, "percent_of_class": 35.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-299128", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "MHR INSTITUTIONAL PARTNERS III LP", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-299128", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "MHR INSTITUTIONAL ADVISORS III LLC", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 11154680.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11154680.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11154680.0, "percent_of_class": 3.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299128", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "MHR SUN GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 16476843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 16476843.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 16476843.0, "percent_of_class": 5.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299128", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "The Rachesky Revocable Trust", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 16476843.0, "shared_voting_power": 0.0, "sole_dispositive_power": 16476843.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 16476843.0, "percent_of_class": 5.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299128", "person_seq": 4, "reporting_person_cik": 1277742, "reporting_person_name": "MHR FUND MANAGEMENT LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 37648498.0, "shared_voting_power": 0.0, "sole_dispositive_power": 37648498.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 37648498.0, "percent_of_class": 13.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299128", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "MHR HOLDINGS LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 37648498.0, "shared_voting_power": 0.0, "sole_dispositive_power": 37648498.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 37648498.0, "percent_of_class": 13.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-299128", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Mark H. Rachesky, M.D.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 37910710.0, "shared_voting_power": 0.0, "sole_dispositive_power": 37910710.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 37910710.0, "percent_of_class": 13.0, "type_of_reporting_person": "IN", "comment_content": "The amounts listed above do not include (A) 7,035,969 Common Shares held by the Liberty Global Parties, of which the reporting persons may be deemed to have beneficial ownership as a result of the Liberty Global Voting Agreement or (B) 37,548,125 Common Shares held by the Liberty Entities, of which the reporting persons may be deemed to have beneficial ownership as a result of the Liberty77 Voting Agreement. See Item 5 and Item 6 of this Schedule 13D." }, { "accession_no": "0001193125-26-299516", "person_seq": 0, "reporting_person_cik": 1001085, "reporting_person_name": "BROOKFIELD CORPORATION", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 35605670.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35605670.0, "aggregate_amount_owned": 35605670.0, "percent_of_class": 37.44, "type_of_reporting_person": "CO", "comment_content": "Ownership percentage based upon 95,107,476 outstanding shares of the Issuer's common stock as of July 6, 2026, based on information provided by the Issuer (not including $2,108,800 of shares of the Issuer's common stock that will be issued on or about July 20, 2026 pursuant to the Issuer's distribution reinvestment plan)." }, { "accession_no": "0001193125-26-299516", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "BROOKFIELD WEALTH SOLUTIONS LTD.", "fund_type": "OO", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 30966984.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30966984.0, "aggregate_amount_owned": 30966984.0, "percent_of_class": 32.56, "type_of_reporting_person": "CO", "comment_content": "Ownership percentage based upon 95,107,476 outstanding shares of the Issuer's common stock as of July 6, 2026, based on information provided by the Issuer (not including $2,108,800 of shares of the Issuer's common stock that will be issued on or about July 20, 2026 pursuant to the Issuer's distribution reinvestment plan)." }, { "accession_no": "0001193125-26-299516", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BUSI II-C L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 30966984.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30966984.0, "aggregate_amount_owned": 30966984.0, "percent_of_class": 32.56, "type_of_reporting_person": "PN", "comment_content": "Ownership percentage based upon 95,107,476 outstanding shares of the Issuer's common stock as of July 6, 2026, based on information provided by the Issuer (not including $2,108,800 of shares of the Issuer's common stock that will be issued on or about July 20, 2026 pursuant to the Issuer's distribution reinvestment plan)." }, { "accession_no": "0001193125-26-299516", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "BUSI II GP-C LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 30966984.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 30966984.0, "aggregate_amount_owned": 30966984.0, "percent_of_class": 32.56, "type_of_reporting_person": "OO", "comment_content": "Ownership percentage based upon 95,107,476 outstanding shares of the Issuer's common stock as of July 6, 2026, based on information provided by the Issuer (not including $2,108,800 of shares of the Issuer's common stock that will be issued on or about July 20, 2026 pursuant to the Issuer's distribution reinvestment plan)." }, { "accession_no": "0001193125-26-299516", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "BIM CAPITAL LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 75834.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 75834.0, "aggregate_amount_owned": 75834.0, "percent_of_class": 0.08, "type_of_reporting_person": "OO", "comment_content": "Ownership percentage based upon 95,107,476 outstanding shares of the Issuer's common stock as of July 6, 2026, based on information provided by the Issuer (not including $2,108,800 of shares of the Issuer's common stock that will be issued on or about July 20, 2026 pursuant to the Issuer's distribution reinvestment plan)." }, { "accession_no": "0001193125-26-299516", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "BROOKFIELD REIT ADVISER LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 221318.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 221318.0, "aggregate_amount_owned": 221318.0, "percent_of_class": 0.23, "type_of_reporting_person": "OO", "comment_content": "Ownership percentage based upon 95,107,476 outstanding shares of the Issuer's common stock as of July 6, 2026, based on information provided by the Issuer (not including $2,108,800 of shares of the Issuer's common stock that will be issued on or about July 20, 2026 pursuant to the Issuer's distribution reinvestment plan)." }, { "accession_no": "0001193125-26-299516", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "BPG NTR HOLDINGS LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4341534.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4341534.0, "aggregate_amount_owned": 4341534.0, "percent_of_class": 4.56, "type_of_reporting_person": "OO", "comment_content": "Ownership percentage based upon 95,107,476 outstanding shares of the Issuer's common stock as of July 6, 2026, based on information provided by the Issuer (not including $2,108,800 of shares of the Issuer's common stock that will be issued on or about July 20, 2026 pursuant to the Issuer's distribution reinvestment plan)." }, { "accession_no": "0001193125-26-300964", "person_seq": 0, "reporting_person_cik": 1389153, "reporting_person_name": "Melco International Development Limited", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 687360906.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 687360906.0, "aggregate_amount_owned": 687360906.0, "percent_of_class": 56.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-300964", "person_seq": 1, "reporting_person_cik": 2086006, "reporting_person_name": "Melco Leisure and Entertainment Group Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 687360906.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 687360906.0, "aggregate_amount_owned": 687360906.0, "percent_of_class": 56.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-300964", "person_seq": 2, "reporting_person_cik": 1958709, "reporting_person_name": "Lawrence Yau Lung Ho", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 26440086.0, "shared_voting_power": 687360906.0, "sole_dispositive_power": 26440086.0, "shared_dispositive_power": 687360906.0, "aggregate_amount_owned": 713800992.0, "percent_of_class": 58.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-302440", "person_seq": 0, "reporting_person_cik": 1923287, "reporting_person_name": "Gold Sino Assets Limited", "fund_type": "WC", "citizenship_or_org": "Y0", "sole_voting_power": 0.0, "shared_voting_power": 10103591.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10103591.0, "aggregate_amount_owned": 10103591.0, "percent_of_class": 49.01, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11 -\n\nRepresents (i) 9,561,657 ordinary shares of the Issuer, par value US$0.002 per share (\"Ordinary Shares\") held by Gold Sino Assets Limited (\"Gold Sino\") as of the date hereof, and (ii) 541,934 Ordinary Shares issuable as of the date hereof upon the exercise of the warrant issued to Gold Sino pursuant to a share and warrant purchase agreement, dated as of May 31, 2024 by and between the Issuer and Gold Sino (the \"Warrant\"), as adjusted upon the completion of the 1-for-20 share consolidation as reported in the Issuer's Form 6-K filed on September 16, 2025. Each Ordinary Share is entitled to one (1) vote per share.\n\nRow 13 -\n\nThe percentage of the class of securities beneficially owned by such reporting person is calculated based on 20,615,517 Ordinary Shares, issued and outstanding as of the date hereof, plus issuable shares upon exercise of the Warrant, as determined based on the information provided by the Issuer and assuming upon the exercise of the Warrant." }, { "accession_no": "0001193125-26-302440", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "CHUNG YAO YIN", "fund_type": "WC", "citizenship_or_org": "F5", "sole_voting_power": 0.0, "shared_voting_power": 10598129.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10598129.0, "aggregate_amount_owned": 10598129.0, "percent_of_class": 51.41, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11 -\n\nRepresents (i) 9,561,657 Ordinary Shares held by Gold Sino as of the date hereof, (ii) 541,934 Ordinary Shares issuable upon the exercise of the Warrant held by Gold Sino as of the date hereof, and (iii) 494,538 Ordinary Shares held by Peng-Lin Investment Co., Ltd. (\"Peng-Lin\"). Each Ordinary Share is entitled to one (1) vote per share. Following the death of Mr. Chung Yao Yin's father, Mr. Yin, his mother and another successor became entitled under the laws of descent and distribution to one-third each of the Gold Sino shares formerly held by his father. On June 22, 2026, Mr. Yin's mother agreed to assign her entitlement to one-third of the Gold Sino shares to Mr. Yin. In addition, Mr. Yin holds a majority equity interest in and has control over Peng-Lin. As a result of the foregoing, Mr. Yin may be deemed to have voting and dispositive power over all the shares held by Gold Sino and Peng-Lin.\n\nRow 13 -\n\nThe percentage of the class of securities beneficially owned by such reporting person is calculated based on 20,615,517 Ordinary Shares, issued and outstanding as of the date hereof, plus issuable shares upon exercise of the Warrant, as determined based on the information provided by the Issuer and assuming upon the exercise of the Warrant." }, { "accession_no": "0001193125-26-303495", "person_seq": 0, "reporting_person_cik": 2073844, "reporting_person_name": "AMG New York Holdings Corp.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1398881.89, "shared_voting_power": 0.0, "sole_dispositive_power": 1398881.89, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1398881.89, "percent_of_class": 59.1, "type_of_reporting_person": "CO", "comment_content": "Comment: Cover pages are limited to one class of security. The cover page of this Schedule 13D filing relates to the Class S Units of Beneficial Interest outstanding as of the date of this filing. This Schedule 13D relates to the following classes of securities of AMG BBH Asset-Backed Credit Fund, LLC a Delaware limited liability company registered under the Investment Company Act of 1940, as amended, as a closed-end, non-diversified, management investment company (the \"Issuer\"): Class I Units of Beneficial Interest (the \"Class I Units\") with CUSIP 03116N203, Class M Units of Beneficial Interest (the \"Class M Units\") with CUSIP 03116N302, and Class S Units of Beneficial Interest (the \"Class S Units\") with CUSIP 03116N104. As of the date hereof, AMG New York Holdings Corp. directly owns 10,000 Class I Units representing 100% of the Class I Units outstanding; 10,000 Class M Units representing 100% of the Class M Units outstanding; and 1,398,881.892 Class S Units representing 59.06% of the Class S Units outstanding. This comment shall serve as full disclosure of the beneficial ownership of the securities of the Issuer. See item 5." }, { "accession_no": "0001193125-26-303540", "person_seq": 0, "reporting_person_cik": 937226, "reporting_person_name": "Onex Corporation", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 1, "reporting_person_cik": 1275599, "reporting_person_name": "Gerald W. Schwartz", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 2, "reporting_person_cik": 1544360, "reporting_person_name": "Onex Partners GP Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 3, "reporting_person_cik": 1506665, "reporting_person_name": "Onex Partners III GP LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 4, "reporting_person_cik": 1435855, "reporting_person_name": "Onex Partners III LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 5, "reporting_person_cik": 1446974, "reporting_person_name": "Onex Partners III PV LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 6, "reporting_person_cik": 1470880, "reporting_person_name": "Onex Partners III Select LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 7, "reporting_person_cik": 1544361, "reporting_person_name": "Onex American Holdings GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-303540", "person_seq": 8, "reporting_person_cik": 1297369, "reporting_person_name": "Onex US Principals LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 9, "reporting_person_cik": 1838066, "reporting_person_name": "Onex Partners Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-303540", "person_seq": 10, "reporting_person_cik": 2002606, "reporting_person_name": "Onex OP V Holdings SARL", "fund_type": "OO", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 11, "reporting_person_cik": 1517831, "reporting_person_name": "1597257 Ontario Inc.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 12, "reporting_person_cik": 1593408, "reporting_person_name": "New PCo II Investments Ltd.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-303540", "person_seq": 13, "reporting_person_cik": 1695911, "reporting_person_name": "Onex Advisor Subco III LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-303540", "person_seq": 14, "reporting_person_cik": 1817206, "reporting_person_name": "Onex Partners Canadian GP Inc.", "fund_type": "OO", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 15, "reporting_person_cik": 1817315, "reporting_person_name": "Onex Partners V GP Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-303540", "person_seq": 16, "reporting_person_cik": 1817205, "reporting_person_name": "OPV Gem Aggregator LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-304251", "person_seq": 0, "reporting_person_cik": 67088, "reporting_person_name": "MITSUBISHI UFJ FINANCIAL GROUP, INC.", "fund_type": null, "citizenship_or_org": "M0", "sole_voting_power": 24.12, "shared_voting_power": 0.0, "sole_dispositive_power": 24.12, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 380511118.0, "percent_of_class": 24.12, "type_of_reporting_person": "CO", "comment_content": "Rows (7), (9), (11) and (13): Includes 3,425,951 shares of common stock of Morgan Stanley that certain affiliates of the reporting person held solely in a fiduciary capacity as the trustee of trust accounts or as the manager of investment funds, other investment vehicles and managed accounts as of July 7, 2026. Such shares represent approximately 0.22% of the 24.12% reported in row 13 above. The reporting person disclaims beneficial ownership of such shares, and the inclusion of such shares in this statement shall not be construed as an admission that the reporting person is, for purposes of Sections 13(d) or 13(g) of the Act, the beneficial owner of such shares." }, { "accession_no": "0001193125-26-304838", "person_seq": 0, "reporting_person_cik": 315090, "reporting_person_name": "Warren E. Buffett", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 188290.0, "shared_voting_power": 0.0, "sole_dispositive_power": 188290.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 188290.0, "percent_of_class": 38.2, "type_of_reporting_person": "IN", "comment_content": "This Schedule 13D amendment relates to the following classes of securities: Class A Common Stock, Par Value $5.00 per share with CUSIP No. 084670108 and Class B Common Stock, Par Value $0.0033 per share with CUSIP No. 084670702. Due to the new EDGAR filing requirements, cover pages are limited to one class of security. The cover page of this Schedule 13D filing relates to the Class A Common Stock, and this comment and the notes below shall serve as full disclosure of the beneficial ownership of all classes of securities of the Issuer.\n\nSole Voting Power and Sole Dispositive Power shown in Boxes 7 and 9 consists of 188,290 shares of Class A Common Stock held directly by Mr. Buffett. Mr. Buffett also has sole voting power and sole dispositive power over 1,162 shares of Class B Common Stock held directly by Mr. Buffett.\n\nAggregate amount beneficially owned in Box 11 consists of the Class A Common Stock reported in Boxes 7 and 9. The aggregate amount of Class B Common Stock beneficially owned by Mr. Buffett consists of 1,162 shares of Class B Common Stock, which represents less than 0.01% of the outstanding shares of Class B Common Stock." }, { "accession_no": "0001193125-26-305785", "person_seq": 0, "reporting_person_cik": 1511001, "reporting_person_name": "ADW Capital Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14500000.0, "aggregate_amount_owned": 14500000.0, "percent_of_class": 19.3, "type_of_reporting_person": "PN", "comment_content": "The figures in Items 8, 10 and 11 include 10,750,000 Shares representing beneficial interests in Compass Diversified Holdings (\"Shares\") that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by Compass Diversified Holdings (the \"Issuer\") with the U.S. Securities and Exchange Commission (the \"SEC\") on May 6, 2026." }, { "accession_no": "0001193125-26-305785", "person_seq": 1, "reporting_person_cik": 1745214, "reporting_person_name": "ADW Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14500000.0, "aggregate_amount_owned": 14500000.0, "percent_of_class": 19.3, "type_of_reporting_person": "HC", "comment_content": "The figures in Items 8, 10 and 11 include 10,750,000 Shares that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-305785", "person_seq": 2, "reporting_person_cik": 1745215, "reporting_person_name": "Adam D. Wyden", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 14500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14500000.0, "aggregate_amount_owned": 14500000.0, "percent_of_class": 19.3, "type_of_reporting_person": "IN", "comment_content": "The figures in Items 8, 10 and 11 include 10,750,000 Shares that may be acquired by the Reporting Persons within 60 days upon the exercise of call options to purchase Shares. The percentage in Item 13 is based upon 75,235,966 Shares outstanding as of May 1, 2026, according to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026, filed by the Issuer with the SEC on May 6, 2026." }, { "accession_no": "0001193125-26-306071", "person_seq": 0, "reporting_person_cik": 1665159, "reporting_person_name": "Ocho Investments LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1325000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1325000.0, "aggregate_amount_owned": 1325000.0, "percent_of_class": 5.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-306071", "person_seq": 1, "reporting_person_cik": 1665051, "reporting_person_name": "Andris Upitis", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1325000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1325000.0, "aggregate_amount_owned": 1325000.0, "percent_of_class": 5.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 0, "reporting_person_cik": 1406372, "reporting_person_name": "LKCM Private Discipline Master Fund, SPC / PDLP Lawson, LLC", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 3578228.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3578228.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3578228.0, "percent_of_class": 7.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 1, "reporting_person_cik": 1406371, "reporting_person_name": "LKCM Investment Partnership, L.P.", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 552500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 552500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 552500.0, "percent_of_class": 1.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 2, "reporting_person_cik": 1502285, "reporting_person_name": "LKCM Micro-Cap Partnership, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 56470.0, "shared_voting_power": 0.0, "sole_dispositive_power": 56470.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 56470.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 3, "reporting_person_cik": 1502283, "reporting_person_name": "LKCM Core Discipline, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 23182.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23182.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23182.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 4, "reporting_person_cik": 1621801, "reporting_person_name": "LKCM Headwater Investments II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1184652.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1184652.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1184652.0, "percent_of_class": 2.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 5, "reporting_person_cik": 1713995, "reporting_person_name": "LKCM Headwater II Sidecar Partnership, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 6, "reporting_person_cik": 1764096, "reporting_person_name": "LKCM Headwater Investments III, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 7, "reporting_person_cik": 1921598, "reporting_person_name": "301 HW Opus Investors, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 16000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 16000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 16000000.0, "percent_of_class": 34.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 8, "reporting_person_cik": 1921624, "reporting_person_name": "LKCM TE Investors, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 8000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8000000.0, "percent_of_class": 17.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 9, "reporting_person_cik": 1765653, "reporting_person_name": "Headwater Lawson Investors, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3522988.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3522988.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3522988.0, "percent_of_class": 7.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 10, "reporting_person_cik": 1955947, "reporting_person_name": "LKCM Headwater Investments IV, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3434044.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3434044.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3434044.0, "percent_of_class": 7.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 11, "reporting_person_cik": 310051, "reporting_person_name": "Luther King Capital Management Corporation", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 36357588.0, "shared_voting_power": 0.0, "sole_dispositive_power": 36357588.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 36357588.0, "percent_of_class": 78.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 12, "reporting_person_cik": 1290407, "reporting_person_name": "J. Luther King, Jr.", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 36357588.0, "shared_voting_power": 0.0, "sole_dispositive_power": 36357588.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 36357588.0, "percent_of_class": 78.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-306298", "person_seq": 13, "reporting_person_cik": 1406297, "reporting_person_name": "J. Bryan King", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 35838638.0, "shared_voting_power": 0.0, "sole_dispositive_power": 35838638.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 35838638.0, "percent_of_class": 77.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-307988", "person_seq": 0, "reporting_person_cik": 1326380, "reporting_person_name": "GameStop Corp.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 43390383.0, "shared_voting_power": 0.0, "sole_dispositive_power": 43390383.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 43390383.0, "percent_of_class": 9.8, "type_of_reporting_person": "CO", "comment_content": "Rounded up to the nearest tenth of a percent and based on the 444 million shares of Common Stock stated by the Issuer as being outstanding as of April 24, 2026 in its Form 10-Q, filed with the United States Securities and Exchange Commission on April 29, 2026 (the \"2026 Q1 10-Q\")." }, { "accession_no": "0001193125-26-308002", "person_seq": 0, "reporting_person_cik": 1845711, "reporting_person_name": "Apeiron Investment Group Ltd.", "fund_type": "OO", "citizenship_or_org": "O1", "sole_voting_power": 0.0, "shared_voting_power": 55770948.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 55770948.0, "aggregate_amount_owned": 55770948.0, "percent_of_class": 15.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-308002", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Apeiron Presight Capital Fund II, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1799302.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1799302.0, "aggregate_amount_owned": 1799302.0, "percent_of_class": 0.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-308002", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Presight Capital Management I, L.L.C.", "fund_type": null, "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1799302.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1799302.0, "aggregate_amount_owned": 1799302.0, "percent_of_class": 0.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-308002", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Fabian Hansen", "fund_type": null, "citizenship_or_org": null, "sole_voting_power": 0.0, "shared_voting_power": 1799302.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1799302.0, "aggregate_amount_owned": 1799302.0, "percent_of_class": 0.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-308002", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Christian Angermayer", "fund_type": null, "citizenship_or_org": null, "sole_voting_power": 1600418.0, "shared_voting_power": 56812134.0, "sole_dispositive_power": 1600418.0, "shared_dispositive_power": 56812134.0, "aggregate_amount_owned": 56812134.0, "percent_of_class": 15.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-308519", "person_seq": 0, "reporting_person_cik": 59558, "reporting_person_name": "Lincoln National Corporation", "fund_type": "WC", "citizenship_or_org": "IN", "sole_voting_power": 0.0, "shared_voting_power": 5308168.34, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5308168.34, "aggregate_amount_owned": 5308168.34, "percent_of_class": 14.84, "type_of_reporting_person": "HC", "comment_content": "EXPLANATORY NOTE\n\nThis Amendment No. 3 (this \"Amendment\") amends and supplements certain of the information included in the Schedule 13D relating to the Shares filed by the Reporting Persons with the Securities and Exchange Commission (the \"SEC\") on April 20, 2026 (the \"Initial 13D\" and as amended by this Amendment, this \"Schedule 13D\") as amended by Amendment Nos. 1 and 2, filed on May 18, 2026 and June 22, 2026 respectively. Capitalized terms not otherwise defined herein have the meanings given to them in the Initial 13D. Except as otherwise provided herein, the information set forth in the Initial 13D remains unchanged.\n\nItems 8, 10, 11, and 13: The Lincoln National Life Insurance Company, an Indiana corporation (\"LNL\"), directly owns the following shares of beneficial interests in the Issuer: 5,304,989.83 Class I shares of beneficial interests (\"Class I Shares\"), 1,057.22 Class A shares of beneficial interests (\"Class A Shares\"), 1,059.74 Class D shares of beneficial interests (\"Class D Shares\"), and 1,061.55 Class IS shares of beneficial interests (\"Class IS Shares\" and, together with the Class I Shares, Class A Shares and Class D Shares, the \"Shares\"). Based on information provided by the Issuer as of the date of this Schedule 13D filing, LNL owns 14.83% of the Class I Shares outstanding, 100% of the Class A Shares outstanding, 100% of the Class D Shares outstanding, and 100% of the Class IS Shares outstanding. LNL is a wholly owned subsidiary of its parent holding company, Lincoln National Corporation, an Indiana corporation (\"LNC\"), which may be deemed to be an indirect beneficial owner of the reported securities." }, { "accession_no": "0001193125-26-308519", "person_seq": 1, "reporting_person_cik": 726865, "reporting_person_name": "The Lincoln National Life Insurance Company", "fund_type": "WC", "citizenship_or_org": "IN", "sole_voting_power": 0.0, "shared_voting_power": 5308168.34, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5308168.34, "aggregate_amount_owned": 5308168.34, "percent_of_class": 14.84, "type_of_reporting_person": "IC", "comment_content": "Items 8, 10, 11, and 13: LNL directly owns the following shares of beneficial interests in the Issuer: 5,304,989.83 Class I Shares, 1,057.22 Class A Shares, 1,059.74 Class D Shares and 1,061.55 Class IS Shares. Based on information provided by the Issuer as of the date of this Schedule 13D filing, LNL owns 14.83% of the Class I Shares outstanding, 100% of the Class A Shares outstanding, 100% of the Class D Shares outstanding, and 100% of the Class IS Shares outstanding. LNL is a wholly owned subsidiary of its parent holding company, LNC, which may be deemed to be an indirect beneficial owner of the reported securities." }, { "accession_no": "0001193125-26-308519", "person_seq": 2, "reporting_person_cik": 1464867, "reporting_person_name": "Lincoln Financial Investments Corporation", "fund_type": "OO", "citizenship_or_org": "TN", "sole_voting_power": 0.0, "shared_voting_power": 25154976.98, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25154976.98, "aggregate_amount_owned": 25154976.98, "percent_of_class": 70.33, "type_of_reporting_person": "IA", "comment_content": "Items 8, 10, and 11: These Class I Shares are owned directly by certain series of the Lincoln Variable Insurance Products Trust (the \"Trust\"), an investment company registered with the U.S. Securities and Exchange Commission under the Investment Company Act of 1940, as amended. Lincoln Financial Investments Corporation (\"LFI\" and together with LNL and LNC, the \"Reporting Persons\"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, serves as the investment adviser to each such series of the Trust, and may be deemed to have beneficial ownership of the Class I Shares reported herein as being directly by each such series of the Trust.\n\nItem 13: Percent of class calculated based on 35,764,956.64 Class I Shares outstanding as of the date of this Schedule 13D filing." }, { "accession_no": "0001193125-26-309029", "person_seq": 0, "reporting_person_cik": 1407029, "reporting_person_name": "Dennis J. Wilson", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 3852.0, "shared_voting_power": 9736858.0, "sole_dispositive_power": 3852.0, "shared_dispositive_power": 9736858.0, "aggregate_amount_owned": 9740710.0, "percent_of_class": 8.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-309029", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Anamered Investments Inc.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 4755217.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4755217.0, "aggregate_amount_owned": 4755217.0, "percent_of_class": 4.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-309029", "person_seq": 2, "reporting_person_cik": 2003936, "reporting_person_name": "LIPO Investments (USA), Inc.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 3401596.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3401596.0, "aggregate_amount_owned": 3401596.0, "percent_of_class": 3.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-309029", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Wilson 5 Foundation", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 829325.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 829325.0, "aggregate_amount_owned": 829325.0, "percent_of_class": 0.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-309029", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Wilson 5 Foundation Management Ltd.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 829325.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 829325.0, "aggregate_amount_owned": 829325.0, "percent_of_class": 0.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-309029", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Five Boys Investments ULC", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 91760.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 91760.0, "aggregate_amount_owned": 91760.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-309029", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Shannon Wilson", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 1098309.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1098309.0, "aggregate_amount_owned": 1098309.0, "percent_of_class": 1.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-309029", "person_seq": 7, "reporting_person_cik": 1972360, "reporting_person_name": "Low Tide Properties Ltd.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 389976.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 389976.0, "aggregate_amount_owned": 389976.0, "percent_of_class": 0.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-309029", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "House of Wilson Ltd.", "fund_type": null, "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-309174", "person_seq": 0, "reporting_person_cik": 1880358, "reporting_person_name": "Atlas Capital Resources (A9) LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2913566.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2913566.0, "aggregate_amount_owned": 2913566.0, "percent_of_class": 16.1, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 1,920,266 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 993,300 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer and assuming conversion of all of the 2,680,031 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-309174", "person_seq": 1, "reporting_person_cik": 1880372, "reporting_person_name": "Atlas Capital Resources (A9-Parallel) LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1046176.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1046176.0, "aggregate_amount_owned": 1046176.0, "percent_of_class": 5.8, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 689,512 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 356,664 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer and assuming conversion of all of the 2,680,031 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-309174", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Atlas Capital Resources (P) LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 106592.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 106592.0, "aggregate_amount_owned": 106592.0, "percent_of_class": 0.6, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 70,253 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 36,339 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer and assuming conversion of all of the 2,680,031 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-309174", "person_seq": 3, "reporting_person_cik": 1963983, "reporting_person_name": "GGH Bridge Investment LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 119048.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 119048.0, "aggregate_amount_owned": 119048.0, "percent_of_class": 0.7, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer and assuming conversion of all of the 2,680,031 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-309174", "person_seq": 4, "reporting_person_cik": 1882313, "reporting_person_name": "Atlas Capital GP LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4185382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4185382.0, "aggregate_amount_owned": 4185382.0, "percent_of_class": 23.1, "type_of_reporting_person": "PN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 2,680,031 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 1,505,351 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer and assuming conversion of all of the 2,680,031 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-309174", "person_seq": 5, "reporting_person_cik": 1882294, "reporting_person_name": "Atlas Capital Resources GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4185382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4185382.0, "aggregate_amount_owned": 4185382.0, "percent_of_class": 23.1, "type_of_reporting_person": "OO", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 2,680,031 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 1,505,351 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer and assuming conversion of all of the 2,680,031 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-309174", "person_seq": 6, "reporting_person_cik": 905112, "reporting_person_name": "Andrew M. Bursky", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4185382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4185382.0, "aggregate_amount_owned": 4185382.0, "percent_of_class": 23.1, "type_of_reporting_person": "IN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 2,680,031 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 1,505,351 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer and assuming conversion of all of the 2,680,031 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-309174", "person_seq": 7, "reporting_person_cik": 1394403, "reporting_person_name": "Timothy J. Fazio", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4185382.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4185382.0, "aggregate_amount_owned": 4185382.0, "percent_of_class": 23.1, "type_of_reporting_person": "IN", "comment_content": "(1) The reporting person expressly disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer other than the Common Stock of the Issuer owned directly by such reporting person.\n\n(2) Represents 2,680,031 shares of the Issuer's Class B Common Stock, which are convertible at any time at the option of the holder into an equal number of shares of the Issuer's Class A Common Stock, and 1,505,351 shares of the Issuer's Class A Common Stock.\n\n(3) Based on 15,286,349 shares of Class A Common Stock outstanding as of June 30, 2026 according to information provided by the Issuer and assuming conversion of all of the 2,680,031 shares of Class B Common Stock beneficially owned by the Reporting Persons in the aggregate." }, { "accession_no": "0001193125-26-309245", "person_seq": 0, "reporting_person_cik": 1478485, "reporting_person_name": "Peter M. Hecht", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 910240.0, "shared_voting_power": 0.0, "sole_dispositive_power": 910240.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 910240.0, "percent_of_class": 19.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-310126", "person_seq": 0, "reporting_person_cik": 2055606, "reporting_person_name": "John Hancock Stable Value Fund Collective Investment Trust", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 2976794.0, "sole_dispositive_power": null, "shared_dispositive_power": 2976794.0, "aggregate_amount_owned": 2976794.0, "percent_of_class": 25.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-310126", "person_seq": 1, "reporting_person_cik": 2056008, "reporting_person_name": "Global Trust Company", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 2976794.0, "sole_dispositive_power": null, "shared_dispositive_power": 2976794.0, "aggregate_amount_owned": 2976794.0, "percent_of_class": 25.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-310289", "person_seq": 0, "reporting_person_cik": 1717115, "reporting_person_name": "Tempus AI, Inc.", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 13039067.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13039067.0, "aggregate_amount_owned": 13039067.0, "percent_of_class": 12.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-310289", "person_seq": 1, "reporting_person_cik": 1114357, "reporting_person_name": "Eric Lefkofsky", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 150000.0, "shared_voting_power": 13039067.0, "sole_dispositive_power": 150000.0, "shared_dispositive_power": 13039067.0, "aggregate_amount_owned": 13189067.0, "percent_of_class": 12.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "ABRY Partners VII, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "ABRY Partners VII Co-Investment Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "ABRY Investment Partnership, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "ABRY Senior Equity IV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "ABRY Senior Equity Co-Investment Fund IV, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "ABRY Partners II, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Royce Yudkoff", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Peggy Koenig", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-310290", "person_seq": 8, "reporting_person_cik": 1268944, "reporting_person_name": "Jay Grossman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-310624", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "WR Berkley & Others LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 63515547.0, "shared_voting_power": 32041777.0, "sole_dispositive_power": 63515547.0, "shared_dispositive_power": 32041777.0, "aggregate_amount_owned": 95557324.0, "percent_of_class": 25.67, "type_of_reporting_person": "HC", "comment_content": "The aggregate amount in row (11) does not reflect shares of common stock, par value $0.20 per share (the \"Common Stock\"), of W. R. Berkley Corporation (the \"Issuer\") held by MS&AD Insurance Group Holdings, Inc., a kabushiki kaisha (stock corporation) organized under the laws of Japan (\"MS&AD Holdings\"), and Mitsui Sumitomo Insurance Co., Ltd., a kabushiki kaisha (stock corporation) organized under the laws of Japan (\"MSI\" and together with MS&AD Holdings, the \"MSI Entities\"), as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-310624", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "WR Berkley & Others 2 LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3553486.0, "shared_voting_power": 92003838.0, "sole_dispositive_power": 3553486.0, "shared_dispositive_power": 92003838.0, "aggregate_amount_owned": 95557324.0, "percent_of_class": 25.67, "type_of_reporting_person": "HC", "comment_content": "The aggregate amount in row (11) does not reflect shares of Common Stock held by the MSI Entities, as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-310624", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Estate of William R. Berkley", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 17366375.0, "shared_voting_power": 78190949.0, "sole_dispositive_power": 17366375.0, "shared_dispositive_power": 78190949.0, "aggregate_amount_owned": 95557324.0, "percent_of_class": 25.67, "type_of_reporting_person": "IN", "comment_content": "The aggregate amount in row (11) does not reflect shares of Common Stock held by the MSI Entities, as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-310624", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Marjorie J. Berkley", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 204364.0, "shared_voting_power": 95352960.0, "sole_dispositive_power": 204364.0, "shared_dispositive_power": 95352960.0, "aggregate_amount_owned": 95557324.0, "percent_of_class": 25.67, "type_of_reporting_person": "IN", "comment_content": "The aggregate amount in row (11) does not reflect shares of Common Stock held by the MSI Entities, as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-310624", "person_seq": 4, "reporting_person_cik": 1236253, "reporting_person_name": "W. Robert Berkley, Jr.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4555860.0, "shared_voting_power": 91001464.0, "sole_dispositive_power": 4555860.0, "shared_dispositive_power": 91001464.0, "aggregate_amount_owned": 95557324.0, "percent_of_class": 25.67, "type_of_reporting_person": "IN", "comment_content": "The aggregate amount in row (11) does not reflect shares of Common Stock held by the MSI Entities, as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-310624", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "The William R. Berkley 2011 GST Trust u/a dated December 20, 2011", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1350000.0, "shared_voting_power": 94207324.0, "sole_dispositive_power": 1350000.0, "shared_dispositive_power": 94207324.0, "aggregate_amount_owned": 95557324.0, "percent_of_class": 25.67, "type_of_reporting_person": "OO", "comment_content": "The aggregate amount in row (11) does not reflect shares of Common Stock held by the MSI Entities, as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-310624", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "The William R. Berkley 2022 Family Trust f/b/o William R. Berkley, Jr. and His Issue", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4287201.0, "shared_voting_power": 91270123.0, "sole_dispositive_power": 4287201.0, "shared_dispositive_power": 91270123.0, "aggregate_amount_owned": 95557324.0, "percent_of_class": 25.67, "type_of_reporting_person": "OO", "comment_content": "The aggregate amount in row (11) does not reflect shares of Common Stock held by the MSI Entities, as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-310624", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "The William R. Berkley 2022 Family Trust f/b/o Lauren Berkley and Her Issue", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 724491.0, "shared_voting_power": 94832833.0, "sole_dispositive_power": 724491.0, "shared_dispositive_power": 94832833.0, "aggregate_amount_owned": 95557324.0, "percent_of_class": 25.67, "type_of_reporting_person": "OO", "comment_content": "The aggregate amount in row (11) does not reflect shares of Common Stock held by the MSI Entities, as further described in Items 5(a) and 6.\n\nPercentages are based on 372,276,732 shares of Common Stock outstanding as of April 27, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 1, 2026." }, { "accession_no": "0001193125-26-311337", "person_seq": 0, "reporting_person_cik": 67099, "reporting_person_name": "Mitsui & Co., Ltd.", "fund_type": "OO", "citizenship_or_org": "M0", "sole_voting_power": 0.0, "shared_voting_power": 13322205.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13322205.0, "aggregate_amount_owned": 13322205.0, "percent_of_class": 20.3, "type_of_reporting_person": "CO", "comment_content": "Rows 11 and 12: To the extent that the parties to the Stockholders Agreement may be deemed to constitute a \"group\" within the meaning of Section 13(d) of the Exchange Act, and the Reporting Persons may be deemed to share beneficial ownership of the shares of Common Stock owned by the other stockholder parties to the Stockholders Agreement, the Reporting Persons expressly disclaim beneficial ownership of any shares of Common Stock held by such other parties.\n\nRow 13: All percentages are based on 65,749,255 shares of Common Stock issued and outstanding as of April 16, 2026, as set forth in the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission (the \"SEC\") on April 30, 2026." }, { "accession_no": "0001193125-26-311337", "person_seq": 1, "reporting_person_cik": 1283674, "reporting_person_name": "Mitsui & Co. (U.S.A.), Inc.", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 13322205.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13322205.0, "aggregate_amount_owned": 13322205.0, "percent_of_class": 20.3, "type_of_reporting_person": "CO", "comment_content": "Rows 11 and 12: To the extent that the parties to the Stockholders Agreement may be deemed to constitute a \"group\" within the meaning of Section 13(d) of the Exchange Act, and the Reporting Persons may be deemed to share beneficial ownership of the shares of Common Stock owned by the other stockholder parties to the Stockholders Agreement, the Reporting Persons expressly disclaim beneficial ownership of any shares of Common Stock held by such other parties.\n\nRow 13: All percentages are based on 65,749,255 shares of Common Stock issued and outstanding as of April 16, 2026, as set forth in the Issuer's quarterly report on Form 10-Q, filed with the SEC on April 30, 2026." }, { "accession_no": "0001193125-26-311372", "person_seq": 0, "reporting_person_cik": 849531, "reporting_person_name": "Penske Corporation", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 34181121.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34181121.0, "aggregate_amount_owned": 34333500.0, "percent_of_class": 52.2, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10, and 11: The aggregate amount beneficially owned by Penske Corporation reported on line 11 and the percent of class reported on line 13 reflect the beneficial ownership of shares of Voting Common Stock by Roger S. Penske and Penske Corporation as a group. The amount of Voting Common Stock beneficially owned by Penske Corporation without regard to such group status is 34,181,121 shares, representing 52.0% of the Voting Common Stock outstanding.\n\nRow 11: The parties to the Stockholders Agreement (as defined in Item 6 of Amendment 26 to the Schedule 13D, filed on July 30, 2013), as subsequently amended (the \"Stockholders Agreement\"), may be deemed to constitute a \"group\" within the meaning of Section 13(d) of the Exchange Act and, as a party to the Stockholders Agreement, Penske Corporation may be deemed to share beneficial ownership of the shares of Voting Common Stock owned by Mitsui & Co., Ltd. and Mitsui & Co. (U.S.A.), Inc. (collectively, \"Mitsui\"), the other stockholders party to the Stockholders Agreement. Penske Corporation expressly disclaims beneficial ownership of any shares of Voting Common Stock held by Mitsui. In Amendment 14 to the Schedule 13D filed on July 22, 2026 by Mitsui, Mitsui reported beneficial ownership of 13,322,205 shares of Voting Common Stock. Including the shares reported by Mitsui under its Schedule 13D, Penske Corporation would beneficially own 47,655,705 shares, representing 72.5% of the Voting Common Stock outstanding." }, { "accession_no": "0001193125-26-311372", "person_seq": 1, "reporting_person_cik": 942439, "reporting_person_name": "Roger S. Penske", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 152379.0, "shared_voting_power": 34181121.0, "sole_dispositive_power": 152379.0, "shared_dispositive_power": 34181121.0, "aggregate_amount_owned": 34333500.0, "percent_of_class": 52.2, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, and 11: The parties to the Stockholders Agreement may be deemed to constitute a \"group\" within the meaning of Section 13(d) of the Exchange Act and, as a party to the Stockholders Agreement, Roger S. Penske may be deemed to share beneficial ownership of the shares of Voting Common Stock owned by Mitsui. Roger S. Penske expressly disclaims beneficial ownership of any shares of Voting Common Stock held by Mitsui. In Amendment 14 to the Schedule 13D filed on July 22, 2026 by Mitsui, Mitsui reported beneficial ownership of 13,322,205 shares of Voting Common Stock. Including the shares reported by Mitsui under the Schedule 13D, Roger S. Penske would beneficially own 47,655,705 shares, representing 72.5% of the Voting Common Stock outstanding." }, { "accession_no": "0001193125-26-312811", "person_seq": 0, "reporting_person_cik": 1021572, "reporting_person_name": "Gerald J. Ford", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 7866.96, "shared_voting_power": 15651329.96, "sole_dispositive_power": 7866.96, "shared_dispositive_power": 15651329.96, "aggregate_amount_owned": 15651329.96, "percent_of_class": 26.7, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11. Includes 98,789 shares of Common Stock that are directly beneficially owned by the Trust. Includes 15,544,674 shares of Common Stock that are directly beneficially owned by Financial LP. Row 13. Based on 58,530,197 shares of common stock outstanding on April 23, 2026, as disclosed in Hilltop's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, that was filed by Hilltop with the SEC on April 24, 2026." }, { "accession_no": "0001193125-26-312811", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Diamond A Financial, L.P.", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 15544674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15544674.0, "aggregate_amount_owned": 15544674.0, "percent_of_class": 26.6, "type_of_reporting_person": "CO", "comment_content": "Row 13. Based on 58,530,197 shares of common stock outstanding on April 23, 2026, as disclosed in Hilltop's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, that was filed by Hilltop with the SEC on April 24, 2026." }, { "accession_no": "0001193125-26-312811", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Diamond HTH Stock Company, LP", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 15544674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15544674.0, "aggregate_amount_owned": 15544674.0, "percent_of_class": 26.6, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10 and 11. Includes 15,544,674.00 shares of Common Stock that are directly beneficially owned by Financial LP. Row 13. Based on 58,530,197 shares of common stock outstanding on April 23, 2026, as disclosed in Hilltop's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, that was filed by Hilltop with the SEC on April 24, 2026." }, { "accession_no": "0001193125-26-312811", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Diamond HTH Stock Company GP, LLC", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 15544674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15544674.0, "aggregate_amount_owned": 15544674.0, "percent_of_class": 26.6, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10 and 11. Includes 15,544,674.00 shares of Common Stock that are directly beneficially owned by Financial LP. Row 13. Based on 58,530,197 shares of common stock outstanding on April 23, 2026, as disclosed in Hilltop's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, that was filed by Hilltop with the SEC on April 24, 2026." }, { "accession_no": "0001193125-26-312811", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Turtle Creek Revocable Trust", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 98789.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 98789.0, "aggregate_amount_owned": 98789.0, "percent_of_class": 0.2, "type_of_reporting_person": "CO", "comment_content": "Row 13. Based on 58,530,197 shares of common stock outstanding on April 23, 2026, as disclosed in Hilltop's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, that was filed by Hilltop with the SEC on April 24, 2026." }, { "accession_no": "0001193125-26-314586", "person_seq": 0, "reporting_person_cik": 1454795, "reporting_person_name": "Electrum Strategic Resources L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 99277813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 99277813.0, "aggregate_amount_owned": 99277813.0, "percent_of_class": 22.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-314586", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "The Electrum Group LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 99277813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 99277813.0, "aggregate_amount_owned": 99277813.0, "percent_of_class": 22.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-314586", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Electrum Global Holdings L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 99277813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 99277813.0, "aggregate_amount_owned": 99277813.0, "percent_of_class": 22.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-314586", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "TEG Global GP Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 99277813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 99277813.0, "aggregate_amount_owned": 99277813.0, "percent_of_class": 22.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-314586", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Leopard Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 99277813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 99277813.0, "aggregate_amount_owned": 99277813.0, "percent_of_class": 22.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-314586", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "GRAT Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 5286977.0, "shared_voting_power": 99277813.0, "sole_dispositive_power": 5286977.0, "shared_dispositive_power": 99277813.0, "aggregate_amount_owned": 104564790.0, "percent_of_class": 23.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-314586", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Thomas S. Kaplan", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 326245.0, "shared_voting_power": 104564790.0, "sole_dispositive_power": 326245.0, "shared_dispositive_power": 104564790.0, "aggregate_amount_owned": 104891035.0, "percent_of_class": 23.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-315913", "person_seq": 0, "reporting_person_cik": 2073844, "reporting_person_name": "AMG New York Holdings Corp.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1459902.24, "shared_voting_power": 0.0, "sole_dispositive_power": 1459902.24, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1459902.24, "percent_of_class": 59.7, "type_of_reporting_person": "CO", "comment_content": "Comment: Cover pages are limited to one class of security. The cover page of this Schedule 13D filing relates to the Class S Units of Beneficial Interest outstanding as of the date of this filing. This Schedule 13D relates to the following classes of securities of AMG BBH Asset-Backed Credit Fund, LLC a Delaware limited liability company registered under the Investment Company Act of 1940, as amended, as a closed-end, non-diversified, management investment company (the \"Issuer\"): Class I Units of Beneficial Interest (the \"Class I Units\") with CUSIP 03116N203, Class M Units of Beneficial Interest (the \"Class M Units\") with CUSIP 03116N302, and Class S Units of Beneficial Interest (the \"Class S Units\") with CUSIP 03116N104. As of the date hereof, AMG New York Holdings Corp. directly owns 10,000 Class I Units representing 100% of the Class I Units outstanding; 10,000 Class M Units representing 100% of the Class M Units outstanding; and 1,459,902.237 Class S Units representing 59.72% of the Class S Units outstanding. This comment shall serve as full disclosure of the beneficial ownership of the securities of the Issuer. See item 5." }, { "accession_no": "0001193125-26-316043", "person_seq": 0, "reporting_person_cik": 2100658, "reporting_person_name": "Karbon Capital Partners Core Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 890000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 890000.0, "aggregate_amount_owned": 890000.0, "percent_of_class": 2.02, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-316043", "person_seq": 1, "reporting_person_cik": 2146935, "reporting_person_name": "Karbon Capital Partners Core Holdings II, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8625000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8625000.0, "aggregate_amount_owned": 8625000.0, "percent_of_class": 19.6, "type_of_reporting_person": "OO", "comment_content": "The Reporting Person holds Class B ordinary shares of the Issuer. The Class B shares will automatically convert into Class A shares at the time of the Issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the Issuer's charter documents." }, { "accession_no": "0001193125-26-316043", "person_seq": 2, "reporting_person_cik": 1183996, "reporting_person_name": "Thomas F. Karam", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9515000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9515000.0, "aggregate_amount_owned": 9515000.0, "percent_of_class": 21.6, "type_of_reporting_person": "IN", "comment_content": "Comprised of 890,000 Class A ordinary shares and 8,625,000 Class B ordinary shares held by each of Karbon Capital Partners Core Holdings I, LLC and Karbon Capital Partners Core Holdings II, LLC, respectively. The reporting person is a manager of each of Karbon Capital Partners Core Holdings and Karbon Capital Partners Core Holdings II, LLC, and may be deemed to have beneficial ownership of securities reported herein. The reporting person disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly. The Class B shares will automatically convert into Class A shares at the time of the Issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the Issuer's charter documents." }, { "accession_no": "0001193125-26-316043", "person_seq": 3, "reporting_person_cik": 2089392, "reporting_person_name": "Jeffrey Zajkowski", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9515000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9515000.0, "aggregate_amount_owned": 9515000.0, "percent_of_class": 21.6, "type_of_reporting_person": "IN", "comment_content": "Comprised of 890,000 Class A ordinary shares and 8,625,000 Class B ordinary shares held by each of Karbon Capital Partners Core Holdings I, LLC and Karbon Capital Partners Core Holdings II, LLC, respectively. The reporting person is a manager of each of Karbon Capital Partners Core Holdings and Karbon Capital Partners Core Holdings II, LLC, and may be deemed to have beneficial ownership of securities reported herein. The reporting person disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly. The Class B shares will automatically convert into Class A shares at the time of the Issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the Issuer's charter documents." }, { "accession_no": "0001193125-26-316452", "person_seq": 0, "reporting_person_cik": 1845711, "reporting_person_name": "Apeiron Investment Group Ltd.", "fund_type": "OO", "citizenship_or_org": "O1", "sole_voting_power": 0.0, "shared_voting_power": 35945876.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35945876.0, "aggregate_amount_owned": 35945876.0, "percent_of_class": 26.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-316452", "person_seq": 1, "reporting_person_cik": 2132854, "reporting_person_name": "Enhanced Holdings LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 35945876.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35945876.0, "aggregate_amount_owned": 35945876.0, "percent_of_class": 26.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-316452", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Enhanced Holdings GP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 35945876.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35945876.0, "aggregate_amount_owned": 35945876.0, "percent_of_class": 26.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-316452", "person_seq": 3, "reporting_person_cik": 1845872, "reporting_person_name": "Christian Angermayer", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 35945876.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35945876.0, "aggregate_amount_owned": 35945876.0, "percent_of_class": 26.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-316968", "person_seq": 0, "reporting_person_cik": 1283718, "reporting_person_name": "Canada Pension Plan Investment Board", "fund_type": "WC", "citizenship_or_org": "Z4", "sole_voting_power": 88846844.0, "shared_voting_power": 0.0, "sole_dispositive_power": 88846844.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 88846844.0, "percent_of_class": 34.4, "type_of_reporting_person": "CO", "comment_content": "Item 13 is calculated based on (i) 245,833,850 Class A ordinary shares (excluding treasury shares), nominal value of $0.0001 (the \"Shares\"), of ReNew Energy Global plc, a public limited company incorporated in England and Wales (the \"Issuer\"), outstanding as of October 2, 2025, as reported by the Issuer in its Form 6-K filed with the U.S. Securities and Exchange Commission (the \"SEC\") on October 28, 2025 plus (ii) an additional 12,345,678 Shares assuming conversion of the India Shares (as defined below).\nWith respect to items 7, 9, 11 and 13, the Reporting Person currently holds 76,501,166 Shares of the Issuer. In addition, the Business Combination Agreement grants the Reporting Person the right to, at its discretion, transfer the ordinary shares of Renew Power Private Limited, a company with limited liability incorporated under the laws of India and subsidiary of the Issuer (\"ReNew India\"), held by the Reporting Person (the \"India Shares\") to the Issuer in exchange for an aggregate of 12,345,678 Shares. The Reporting Person also holds one Class D ordinary share of the Issuer, nominal value of $0.0001 (the \"Class D Share\"). The Class D Share effectively gives the Reporting Person the right to exercise its voting rights as if the Reporting Person had already converted the India Shares into Shares. The Reporting Person is considered to beneficially own an aggregate of 88,846,844 Shares, or 34.4% of the voting rights associated with the outstanding Shares (including 12,345,678 voting rights exercisable by the Reporting Person by virtue of the Class D Share held by the Reporting Person)." }, { "accession_no": "0001193125-26-318891", "person_seq": 0, "reporting_person_cik": 1015650, "reporting_person_name": "SK Telecom Co., Ltd.", "fund_type": "WC", "citizenship_or_org": "M5", "sole_voting_power": 6096103.9, "shared_voting_power": 0.0, "sole_dispositive_power": 6096103.9, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6096103.0, "percent_of_class": 10.3, "type_of_reporting_person": "OO", "comment_content": "The Convertible Preferred Shares of the Issuer (the Preferred Shares) are directly held by Astra AI Infra LLC, a special purpose vehicle established by SK Telecom Co., Ltd. to invest in the Issuer. SK Telecom Co., Ltd. may be deemed to have sole voting and dispositive power with respect to the Preferred Shares held by Astra AI Infra LLC.\n\nThe number of Ordinary Shares into which the Preferred Shares may convert is calculated as of July 27, 2026, and is subject to adjustment, as described in the Certificate of Designation of the Preferred Shares, as amended or modified from time to time (the Certificate). The Preferred Shares are convertible into a number of the Issuer's Ordinary Shares to be determined at the time of conversion based on the Accumulated Stated Value (as defined in the Certificate) of the Preferred Shares, accumulated Compounded Dividends (as defined in the Certificate) and the Conversion Price (as defined in the Certificate). As of the date of issuance, the Accumulated Stated Value of the Preferred Shares was $200 million and the Conversion Price was $32.80784. The Accumulated Stated Value and the Conversion Price are subject to adjustment as described in Section 4 of the Certificate.\n\nThe information set forth in Rows (7), (9), (11) and (13) is subject to the Investor Agreement described in Item 6 of this Schedule 13D." }, { "accession_no": "0001193125-26-318891", "person_seq": 1, "reporting_person_cik": 2048719, "reporting_person_name": "Astra AI Infra LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 6096103.9, "shared_voting_power": 0.0, "sole_dispositive_power": 6096103.9, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6096103.0, "percent_of_class": 10.3, "type_of_reporting_person": "OO", "comment_content": "The number of Ordinary Shares into which the Preferred Shares may convert is calculated as of July 27, 2026, and is subject to adjustment, as described in the Certificate. The Preferred Shares are convertible into a number of the Issuer's Ordinary Shares to be determined at the time of conversion based on the Accumulated Stated Value (as defined in the Certificate) of the Preferred Shares, accumulated Compounded Dividends (as defined in the Certificate) and the Conversion Price (as defined in the Certificate). As of the date of issuance, the Accumulated Stated Value of the Preferred Shares was $200 million and the Conversion Price was $32.80784. The Accumulated Stated Value and the Conversion Price are subject to adjustment as described in Section 4 of the Certificate.\n\nThe information set forth in Rows (7), (9), (11) and (13) is subject to the Investor Agreement described in Item 6 of this Schedule 13D." }, { "accession_no": "0001193125-26-321242", "person_seq": 0, "reporting_person_cik": 1105497, "reporting_person_name": "MSD Capital, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3800197.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3800197.0, "aggregate_amount_owned": 3800197.0, "percent_of_class": 24.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-321242", "person_seq": 1, "reporting_person_cik": 1914199, "reporting_person_name": "Noble Environmental Investments, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3800197.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3800197.0, "aggregate_amount_owned": 3800197.0, "percent_of_class": 24.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-321242", "person_seq": 2, "reporting_person_cik": 1134557, "reporting_person_name": "MSD Portfolio L.P. - Investments", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3800197.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3800197.0, "aggregate_amount_owned": 3800197.0, "percent_of_class": 24.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-321242", "person_seq": 3, "reporting_person_cik": 908724, "reporting_person_name": "Michael S. Dell", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3800197.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3800197.0, "aggregate_amount_owned": 3800197.0, "percent_of_class": 24.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-321790", "person_seq": 0, "reporting_person_cik": 2140787, "reporting_person_name": "CS RE Holdings, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3090859.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3090859.0, "aggregate_amount_owned": 3090859.0, "percent_of_class": 23.51, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001193125-26-321790", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Core Spaces, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3090859.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3090859.0, "aggregate_amount_owned": 3090859.0, "percent_of_class": 23.51, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001193125-26-321790", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Marc Lifshin", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3090859.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3090859.0, "aggregate_amount_owned": 3090859.0, "percent_of_class": 23.51, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-323654", "person_seq": 0, "reporting_person_cik": 1942670, "reporting_person_name": "AI Biotechnology LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 178180.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178180.0, "aggregate_amount_owned": 178180.0, "percent_of_class": 6.02, "type_of_reporting_person": "OO", "comment_content": "(1) The total number of shares of common stock, par value $0.0001 per share (\"Common Stock\"), of Yarrow Bioscience, Inc. (the \"Issuer\") reported as beneficially owned includes (i) 22,331 shares of Common Stock held directly by AI Biotechnology LLC (\"AI Biotechnology\") and (ii) 155,849 shares of Common Stock issuable upon the exercise of pre-funded warrants (\"Warrants\") held directly by AI Biotechnology.\n\n(2) The percent of Common Stock reported as beneficially owned is calculated based on the number of shares of Common Stock described in footnote (1) above and, as the denominator, the sum of (i) 2,803,078 shares of Common Stock issued and outstanding following the reverse stock split and the closing of the merger, as disclosed in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission (the \"SEC\") on July 28, 2026, and (ii) 155,849 shares of Common Stock issuable upon the exercise of Warrants held by AI Biotechnology." }, { "accession_no": "0001193125-26-323654", "person_seq": 1, "reporting_person_cik": 1391297, "reporting_person_name": "Access Industries Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 178180.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178180.0, "aggregate_amount_owned": 178180.0, "percent_of_class": 6.02, "type_of_reporting_person": "OO", "comment_content": "(1) The total number of shares of Common Stock of the Issuer reported as beneficially owned includes (i) 22,331 shares of Common Stock held directly by AI Biotechnology and (ii) 155,849 shares of Common Stock issuable upon the exercise of Warrants held directly by AI Biotechnology.\n\n(2) The percent of Common Stock reported as beneficially owned is calculated based on the number of shares of Common Stock described in footnote (1) above and, as the denominator, the sum of (i) 2,803,078 shares of Common Stock issued and outstanding following the reverse stock split and the closing of the merger, as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on July 28, 2026, and (ii) 155,849 shares of Common Stock issuable upon the exercise of Warrants held by AI Biotechnology." }, { "accession_no": "0001193125-26-323654", "person_seq": 2, "reporting_person_cik": 1508226, "reporting_person_name": "Access Industries Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 178180.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178180.0, "aggregate_amount_owned": 178180.0, "percent_of_class": 6.02, "type_of_reporting_person": "OO", "comment_content": "(1) The total number of shares of Common Stock of the Issuer reported as beneficially owned includes (i) 22,331 shares of Common Stock held directly by AI Biotechnology and (ii) 155,849 shares of Common Stock issuable upon the exercise of Warrants held directly by AI Biotechnology.\n\n(2) The percent of Common Stock reported as beneficially owned is calculated based on the number of shares of Common Stock described in footnote (1) above and, as the denominator, the sum of (i) 2,803,078 shares of Common Stock issued and outstanding following the reverse stock split and the closing of the merger, as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on July 28, 2026, and (ii) 155,849 shares of Common Stock issuable upon the exercise of Warrants held by AI Biotechnology." }, { "accession_no": "0001193125-26-323654", "person_seq": 3, "reporting_person_cik": 1326628, "reporting_person_name": "Len Blavatnik", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 178180.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 178180.0, "aggregate_amount_owned": 178180.0, "percent_of_class": 6.02, "type_of_reporting_person": "IN", "comment_content": "(1) The total number of shares of Common Stock of the Issuer reported as beneficially owned includes (i) 22,331 shares of Common Stock held directly by AI Biotechnology and (ii) 155,849 shares of Common Stock issuable upon the exercise of Warrants held directly by AI Biotechnology.\n\n(2) The percent of Common Stock reported as beneficially owned is calculated based on the number of shares of Common Stock described in footnote (1) above and, as the denominator, the sum of (i) 2,803,078 shares of Common Stock issued and outstanding following the reverse stock split and the closing of the merger, as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on July 28, 2026, and (ii) 155,849 shares of Common Stock issuable upon the exercise of Warrants held by AI Biotechnology." }, { "accession_no": "0001193125-26-324204", "person_seq": 0, "reporting_person_cik": 2146375, "reporting_person_name": "B&R Technology Sponsor LLC (Cayman)", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 13145833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13145833.0, "aggregate_amount_owned": 13145833.0, "percent_of_class": 28.8, "type_of_reporting_person": "CO", "comment_content": "(1) Includes 687,500 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 12,458,333 (up to 1,625,000 of which are subject to forfeiture depending on the extent to which the underwriter's over-allotment option is exercised) of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297256). The 687,500 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between B&R Technology Sponsor LLC (Cayman) and the Issuer. B&R Technology Sponsor LLC (Cayman) is the record holder of the securities reported herein. David York, Alex Vieux and Steven Fletcher are managing members of Sponsor. Alex Vieux and Steven Fletcher are managing members of Authentic Founders, LLC, which is the managing member of Authentic Holdings, LLC, which is a member of Sponsor. By virtue of these relationships, each of these entities and individuals may be deemed to share beneficial ownership of the securities held of record by Sponsor. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein." }, { "accession_no": "0001193125-26-324204", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Authentic Founders, LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 13145833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13145833.0, "aggregate_amount_owned": 13145833.0, "percent_of_class": 28.8, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 687,500 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 12,458,333 (up to 1,625,000 of which are subject to forfeiture depending on the extent to which the underwriter's over-allotment option is exercised) of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297256). The 687,500 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between B&R Technology Sponsor LLC (Cayman) and the Issuer. B&R Technology Sponsor LLC (Cayman) is the record holder of the securities reported herein. David York, Alex Vieux and Steven Fletcher are managing members of Sponsor. Alex Vieux and Steven Fletcher are managing members of Authentic Founders, LLC, which is the managing member of Authentic Holdings, LLC, which is a member of Sponsor. By virtue of these relationships, each of these entities and individuals may be deemed to share beneficial ownership of the securities held of record by Sponsor. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein." }, { "accession_no": "0001193125-26-324204", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Authentic Holdings, LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 13145833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13145833.0, "aggregate_amount_owned": 13145833.0, "percent_of_class": 28.8, "type_of_reporting_person": "OO", "comment_content": "(1 Includes 687,500 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 12,458,333 (up to 1,625,000 of which are subject to forfeiture depending on the extent to which the underwriter's over-allotment option is exercised) of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297256). The 687,500 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between B&R Technology Sponsor LLC (Cayman) and the Issuer. B&R Technology Sponsor LLC (Cayman) is the record holder of the securities reported herein. David York, Alex Vieux and Steven Fletcher are managing members of Sponsor. Alex Vieux and Steven Fletcher are managing members of Authentic Founders, LLC, which is the managing member of Authentic Holdings, LLC, which is a member of Sponsor. By virtue of these relationships, each of these entities and individuals may be deemed to share beneficial ownership of the securities held of record by Sponsor. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein." }, { "accession_no": "0001193125-26-324204", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Steven Fletcher", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 13145833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13145833.0, "aggregate_amount_owned": 13145833.0, "percent_of_class": 28.8, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 687,500 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 12,458,333 (up to 1,625,000 of which are subject to forfeiture depending on the extent to which the underwriter's over-allotment option is exercised) of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297256). The 687,500 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between B&R Technology Sponsor LLC (Cayman) and the Issuer. B&R Technology Sponsor LLC (Cayman) is the record holder of the securities reported herein. David York, Alex Vieux and Steven Fletcher are managing members of Sponsor. Alex Vieux and Steven Fletcher are managing members of Authentic Founders, LLC, which is the managing member of Authentic Holdings, LLC, which is a member of Sponsor. By virtue of these relationships, each of these entities and individuals may be deemed to share beneficial ownership of the securities held of record by Sponsor. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein." }, { "accession_no": "0001193125-26-324204", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Alex Vieux", "fund_type": "OO", "citizenship_or_org": "I0", "sole_voting_power": 0.0, "shared_voting_power": 13145833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13145833.0, "aggregate_amount_owned": 13145833.0, "percent_of_class": 28.8, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 687,500 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 12,458,333 (up to 1,625,000 of which are subject to forfeiture depending on the extent to which the underwriter's over-allotment option is exercised) of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297256). The 687,500 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between B&R Technology Sponsor LLC (Cayman) and the Issuer. B&R Technology Sponsor LLC (Cayman) is the record holder of the securities reported herein. David York, Alex Vieux and Steven Fletcher are managing members of Sponsor. Alex Vieux and Steven Fletcher are managing members of Authentic Founders, LLC, which is the managing member of Authentic Holdings, LLC, which is a member of Sponsor. By virtue of these relationships, each of these entities and individuals may be deemed to share beneficial ownership of the securities held of record by Sponsor. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein." }, { "accession_no": "0001193125-26-325428", "person_seq": 0, "reporting_person_cik": 2108347, "reporting_person_name": "Vista VCSL Feeder Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 5601139.53, "shared_voting_power": null, "sole_dispositive_power": 5601139.53, "shared_dispositive_power": null, "aggregate_amount_owned": 5601139.53, "percent_of_class": 10.93, "type_of_reporting_person": "PN", "comment_content": "Based on information provided by the Issuer, the percent of class was calculated based on 51,238,054.309 shares of Common Stock outstanding as of July 29, 2026." }, { "accession_no": "0001193125-26-325428", "person_seq": 1, "reporting_person_cik": 1216495, "reporting_person_name": "VEP Group, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 7071412.87, "shared_voting_power": null, "sole_dispositive_power": 7071412.87, "shared_dispositive_power": null, "aggregate_amount_owned": 7071412.87, "percent_of_class": 13.8, "type_of_reporting_person": "OO", "comment_content": "Based on information provided by the Issuer, the percent of class was calculated based on 51,238,054.309 shares of Common Stock outstanding as of July 29, 2026." }, { "accession_no": "0001193125-26-325428", "person_seq": 2, "reporting_person_cik": 1216497, "reporting_person_name": "Robert F. Smith", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 7071412.87, "shared_voting_power": null, "sole_dispositive_power": 7071412.87, "shared_dispositive_power": null, "aggregate_amount_owned": 7071412.87, "percent_of_class": 13.8, "type_of_reporting_person": "IN", "comment_content": "Based on information provided by the Issuer, the percent of class was calculated based on 51,238,054.309 shares of Common Stock outstanding as of July 29, 2026." }, { "accession_no": "0001193125-26-326325", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Nebula Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-326325", "person_seq": 1, "reporting_person_cik": 1645139, "reporting_person_name": "True Wind Capital, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-326325", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "True Wind Capital GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-326325", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "James H. Greene, Jr.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-326325", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Adam H. Clammer", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-326369", "person_seq": 0, "reporting_person_cik": 1814733, "reporting_person_name": "Bregal Sagemount I, L.P.", "fund_type": "WC", "citizenship_or_org": "Y9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-326369", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Bregal North America General Partner Jersey Ltd", "fund_type": "AF", "citizenship_or_org": "Y9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-326369", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Bregal Investments, Inc.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-326369", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Bregal Sagemount Management LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-326369", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Gene Yoon", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-326369", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Blair Greenberg", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-326456", "person_seq": 0, "reporting_person_cik": 1876581, "reporting_person_name": "Imperial Petroleum Inc.", "fund_type": "OO", "citizenship_or_org": "1T", "sole_voting_power": 28846153.0, "shared_voting_power": 0.0, "sole_dispositive_power": 28846153.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 28846153.0, "percent_of_class": 68.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-327564", "person_seq": 0, "reporting_person_cik": 1483503, "reporting_person_name": "TB Alternative Assets Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 38474611.0, "shared_voting_power": 0.0, "sole_dispositive_power": 38474611.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.89, "type_of_reporting_person": "IA", "comment_content": "Row 7, 9, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. The decrease in outstanding Class A ordinary shares from the Schedule 13D/A filed on May 13, 2026 reflects the Issuer's recording of 18,082,772 Class A ordinary shares underlying previously repurchased ADSs as treasury shares. The same applies below. (ii) Also represents 11.87% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.93% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 1, "reporting_person_cik": 1618396, "reporting_person_name": "Trustbridge Partners V, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 38474611.0, "shared_voting_power": 0.0, "sole_dispositive_power": 38474611.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.89, "type_of_reporting_person": "PN", "comment_content": "Row 7, 9, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.87% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.93% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 2, "reporting_person_cik": 1833327, "reporting_person_name": "Trustbridge Partners VII, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 38474611.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38474611.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.89, "type_of_reporting_person": "PN", "comment_content": "Row 8, 10, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.87% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.93% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "TB Partners GP5 Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 38474611.0, "shared_voting_power": 0.0, "sole_dispositive_power": 38474611.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.89, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.87% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.93% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "TB Partners GP7 Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 38474611.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38474611.0, "aggregate_amount_owned": 38474611.0, "percent_of_class": 12.89, "type_of_reporting_person": "CO", "comment_content": "Row 8, 10, 11. Represents 38,474,611 Class A ordinary shares, including 1,921,164 ADSs, held by Trustbridge Partners V, L.P.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 11.87% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 6.93% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 5, "reporting_person_cik": 1907822, "reporting_person_name": "Changxun Sun", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 27649839.0, "shared_voting_power": 0.0, "sole_dispositive_power": 27649839.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 27649839.0, "percent_of_class": 8.53, "type_of_reporting_person": "IN", "comment_content": "Row 7, 9, 11. Represents (i) 25,649,839 Class B ordinary shares held by Cloopen Co., Ltd., a company wholly-owned by Mr. Changxun Sun, and (ii) 2,000,000 Class A ordinary shares held by Flawless Success Limited, a nominee of an employee incentive trust that holds such shares for and on behalf of the grantees under the Issuer's share incentive plans issued due to exercise of options under the 2016 Share Incentive Plan.\n\nRow 13. Percentage calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage of ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of the Issuer's Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 46.58% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Cloopen Co., Ltd.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 25649839.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25649839.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 25649839.0, "percent_of_class": 7.91, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 25,649,839 Class B ordinary shares held by Cloopen Co., Ltd., a company wholly-owned by Mr. Changxun Sun.\n\nRow 13. Percentage calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage of ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share and each holder of our Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 46.22% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Flawless Success Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 6410746.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6410746.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6410746.0, "percent_of_class": 2.15, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 6,410,746 Class A ordinary shares (the number of Class A ordinary shares beneficially owned by Flawless Success Limited has been corrected from 6,410,750 shares reported in the Schedule 13D/A filed on May 13, 2026 to 6,410,746 shares; this correction does not reflect any acquisition or disposition of securities), including 720,829 ADSs, held by Flawless Success Limited, a nominee of an employee incentive trust that holds such shares for and on behalf of the grantees under the Issuer's share incentive plans issued due to exercise of options under the 2016 Share Incentive Plan.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 1.98% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 1.16% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 8, "reporting_person_cik": 1293451, "reporting_person_name": "Tencent Holdings Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 13049682.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13049682.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13049682.0, "percent_of_class": 4.37, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 13,049,682 Class A ordinary shares held by Image Frame Investment (HK) Limited. Image Frame Investment (HK) Limited is a subsidiary of Tencent Holdings Limited. Tencent Holdings Limited transferred all 1,249,998 Class A ordinary shares held by THL H Limited to Image Frame Investment (HK) Limited on May 22, 2026.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 4.03% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.35% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 9, "reporting_person_cik": 1970144, "reporting_person_name": "Image Frame Investment (HK) Limited", "fund_type": "AF", "citizenship_or_org": "K3", "sole_voting_power": 13049682.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13049682.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13049682.0, "percent_of_class": 4.37, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 13,049,682 Class A ordinary shares, held by Image Frame Investment (HK) Limited. Tencent Holdings Limited transferred all 1,249,998 Class A ordinary shares held by THL H Limited to Image Frame Investment (HK) Limited on May 22, 2026.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 4.03% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.35% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Parantoux Vintage PE Ltd.", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 3123444.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3123444.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3123444.0, "percent_of_class": 1.05, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 3,123,444 Class A ordinary shares, held by Parantoux Vintage PE Ltd (the number of Class A ordinary shares beneficially owned by Parantoux Vintage PE Ltd has been corrected from 3,123,446 shares reported in the Schedule 13D/A filed on May 13, 2026 to 3,123,444 shares; this correction does not reflect any acquisition or disposition of securities).\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 0.96% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 0.56% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Yang Diao", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 3123444.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3123444.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3123444.0, "percent_of_class": 1.05, "type_of_reporting_person": "IN", "comment_content": "Row 7, 9, 11. Represents 3,123,444 Class A ordinary shares, held by Parantoux Vintage PE Ltd.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 0.96% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 0.56% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Novo Investment HK Limited", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 11799685.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11799685.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11799685.0, "percent_of_class": 3.95, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 11,799,685 Class A ordinary shares held by Novo Investment HK Limited.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 3.64% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.13% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Shenzhen Nuohe Investment Partnership Enterprise (Limited Partnership)", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 11799685.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11799685.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11799685.0, "percent_of_class": 3.95, "type_of_reporting_person": "PN", "comment_content": "Row 7, 9, 11. Represents 11,799,685 Class A ordinary shares held by Novo Investment HK Limited.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 3.64% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.13% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "China Reform Venture Capital Investment Management (Shenzhen) Ltd.", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 11799685.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11799685.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11799685.0, "percent_of_class": 3.95, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 11,799,685 Class A ordinary shares held by Novo Investment HK Limited.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 3.64% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 2.13% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "Mirae Asset New Economy Fund L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 5205738.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5205738.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5205738.0, "percent_of_class": 1.74, "type_of_reporting_person": "PN", "comment_content": "Row 7, 9, 11. Represents 5,205,738 Class A ordinary shares, including 867,623 ADSs, held by Mirae Asset New Economy Fund L.P.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 1.61% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 0.94% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 16, "reporting_person_cik": null, "reporting_person_name": "Mirae Asset Growth 1 Investment Company Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 694098.0, "shared_voting_power": 0.0, "sole_dispositive_power": 694098.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 694098.0, "percent_of_class": 0.23, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 694,098 Class A ordinary shares, including 115,683 ADSs, held by Mirae Asset Growth 1 Investment Company Limited.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 0.21% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 0.13% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 17, "reporting_person_cik": null, "reporting_person_name": "Mirae Asset General Partners", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 5205738.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5205738.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5205738.0, "percent_of_class": 1.74, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 5,205,738 Class A ordinary shares, including 867,623 ADSs, held by Mirae Asset New Economy Fund L.P.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 1.61% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 0.94% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 18, "reporting_person_cik": null, "reporting_person_name": "Mirae Asset Growth Investment Company Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 694098.0, "shared_voting_power": 0.0, "sole_dispositive_power": 694098.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 694098.0, "percent_of_class": 0.23, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 694,098 Class A ordinary shares, including 115,683 ADSs, held by Mirae Asset Growth 1 Investment Company Limited.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 0.21% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 0.13% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-327564", "person_seq": 19, "reporting_person_cik": 1423255, "reporting_person_name": "Mirae Asset Global Investments (Hong Kong) Limited", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 5899836.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5899836.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5899836.0, "percent_of_class": 1.98, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9, 11. Represents 5,899,836 Class A ordinary shares, including 983,306 ADSs, held by Mirae Asset New Economy Fund L.P. and Mirae Asset Growth 1 Investment Company Limited.\n\nRow 13. (i) Percentage calculated based on 298,471,562 Class A ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. (ii) Also represents 1.82% of the outstanding ordinary shares of the Issuer, calculated based on 324,121,401 ordinary shares, comprising 298,471,562 Class A ordinary shares and 25,649,839 Class B ordinary shares of the Issuer outstanding as of July 30, 2026 based on information provided by the Issuer. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the Reporting Person's percentage ownership of the Issuer's ordinary shares. Does not include certain ordinary shares that the Reporting Person may be deemed to beneficially own pursuant to its membership in a Rule 13d-5 group. Each holder of Class A ordinary shares is entitled to one vote per share, and each holder of Class B ordinary shares is entitled to ten votes per share. Accordingly, based on the foregoing, the ordinary shares beneficially owned by the Reporting Person represent approximately 1.06% of the aggregate voting power of the Issuer." }, { "accession_no": "0001193125-26-328063", "person_seq": 0, "reporting_person_cik": 2073844, "reporting_person_name": "AMG New York Holdings Corp.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1541762.06, "shared_voting_power": 0.0, "sole_dispositive_power": 1541762.06, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1541762.06, "percent_of_class": 59.9, "type_of_reporting_person": "CO", "comment_content": "Comment: Cover pages are limited to one class of security. The cover page of this Schedule 13D filing relates to the Class S Units of Beneficial Interest outstanding as of the date of this filing. This Schedule 13D relates to the following classes of securities of AMG BBH Asset-Backed Credit Fund, LLC a Delaware limited liability company registered under the Investment Company Act of 1940, as amended, as a closed-end, non-diversified, management investment company (the \"Issuer\"): Class I Units of Beneficial Interest (the \"Class I Units\") with CUSIP 03116N203, Class M Units of Beneficial Interest (the \"Class M Units\") with CUSIP 03116N302, and Class S Units of Beneficial Interest (the \"Class S Units\") with CUSIP 03116N104. As of the date hereof, AMG New York Holdings Corp. directly owns 10,000 Class I Units representing 100% of the Class I Units outstanding; 10,000 Class M Units representing 100% of the Class M Units outstanding; and 1,541,762.062 Class S Units representing 59.87% of the Class S Units outstanding. This comment shall serve as full disclosure of the beneficial ownership of the securities of the Issuer. See item 5." }, { "accession_no": "0001193125-26-328603", "person_seq": 0, "reporting_person_cik": 1871714, "reporting_person_name": "Christopher Thomas Giordano", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1690606.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1690606.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1690606.0, "percent_of_class": 4.32, "type_of_reporting_person": "IN", "comment_content": "The percentage reported above is based on 37,423,917 shares of Common Stock outstanding as of July 28, 2026, as reported in the Issuer's Form 10-Q filed with the SEC on July 31, 2026 and is calculated on a beneficial ownership basis." }, { "accession_no": "0001193125-26-328646", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Apollo Principal Holdings B, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1130055.55, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1130055.55, "aggregate_amount_owned": 1130055.55, "percent_of_class": 10.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-328646", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Apollo S3 Holdings (ASPM AIV), L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2043303.79, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2043303.79, "aggregate_amount_owned": 2043303.79, "percent_of_class": 19.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-328646", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Apollo S3 Advisors, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2043303.79, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2043303.79, "aggregate_amount_owned": 2043303.79, "percent_of_class": 19.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-328646", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Sliders Advisors GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2043303.79, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2043303.79, "aggregate_amount_owned": 2043303.79, "percent_of_class": 19.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-328646", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "APH Holdings (DC), L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2043303.79, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2043303.79, "aggregate_amount_owned": 2043303.79, "percent_of_class": 19.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-328646", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Apollo Principal Holdings B GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3173359.34, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3173359.34, "aggregate_amount_owned": 3173359.34, "percent_of_class": 29.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-328646", "person_seq": 6, "reporting_person_cik": 2012136, "reporting_person_name": "APO Corp.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3173359.34, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3173359.34, "aggregate_amount_owned": 3173359.34, "percent_of_class": 29.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-328687", "person_seq": 0, "reporting_person_cik": 1422849, "reporting_person_name": "Capital World Investors", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 11844145.0, "shared_voting_power": null, "sole_dispositive_power": 11844145.0, "shared_dispositive_power": null, "aggregate_amount_owned": 11844145.0, "percent_of_class": 34.9, "type_of_reporting_person": "IA", "comment_content": "The calculation of the percentage of the class beneficially owned by the reporting person is based on 33,946,588 Common Shares (as defined in Item 1 below) outstanding as of July 21, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q, filed with the SEC on July 29, 2026." }, { "accession_no": "0001193125-26-330596", "person_seq": 0, "reporting_person_cik": 1409751, "reporting_person_name": "Coliseum Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 18070762.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18070762.0, "aggregate_amount_owned": 18070762.0, "percent_of_class": 15.3, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001193125-26-330596", "person_seq": 1, "reporting_person_cik": 1409585, "reporting_person_name": "Coliseum Capital, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15043618.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15043618.0, "aggregate_amount_owned": 15043618.0, "percent_of_class": 12.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-330596", "person_seq": 2, "reporting_person_cik": 1356974, "reporting_person_name": "Coliseum Capital Partners, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12923136.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12923136.0, "aggregate_amount_owned": 12923136.0, "percent_of_class": 10.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-330596", "person_seq": 3, "reporting_person_cik": 2015842, "reporting_person_name": "Coliseum Capital Co-Invest IV, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2120482.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2120482.0, "aggregate_amount_owned": 2120482.0, "percent_of_class": 1.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-330596", "person_seq": 4, "reporting_person_cik": 1454123, "reporting_person_name": "Adam Gray", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 18070762.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18070762.0, "aggregate_amount_owned": 18070762.0, "percent_of_class": 15.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-330596", "person_seq": 5, "reporting_person_cik": 1430708, "reporting_person_name": "Christopher Shackelton", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 18070762.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18070762.0, "aggregate_amount_owned": 18070762.0, "percent_of_class": 15.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 0, "reporting_person_cik": 1407029, "reporting_person_name": "Dennis J. Wilson", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 3852.0, "shared_voting_power": 9572712.0, "sole_dispositive_power": 3852.0, "shared_dispositive_power": 9572712.0, "aggregate_amount_owned": 9576564.0, "percent_of_class": 8.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Anamered Investments Inc.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 4755217.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4755217.0, "aggregate_amount_owned": 4755217.0, "percent_of_class": 4.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 2, "reporting_person_cik": 2003936, "reporting_person_name": "LIPO Investments (USA), Inc.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 3401596.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3401596.0, "aggregate_amount_owned": 3401596.0, "percent_of_class": 3.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Wilson 5 Foundation", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 829325.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 829325.0, "aggregate_amount_owned": 829325.0, "percent_of_class": 0.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Wilson 5 Foundation Management Ltd.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 829325.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 829325.0, "aggregate_amount_owned": 829325.0, "percent_of_class": 0.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Five Boys Investments ULC", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 91760.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 91760.0, "aggregate_amount_owned": 91760.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Shannon Wilson", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 1098309.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1098309.0, "aggregate_amount_owned": 1098309.0, "percent_of_class": 1.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 7, "reporting_person_cik": 1972360, "reporting_person_name": "Low Tide Properties Ltd.", "fund_type": "OO", "citizenship_or_org": "A1", "sole_voting_power": 0.0, "shared_voting_power": 225830.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 225830.0, "aggregate_amount_owned": 225830.0, "percent_of_class": 0.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-330833", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "House of Wilson Ltd.", "fund_type": null, "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-333438", "person_seq": 0, "reporting_person_cik": 2027139, "reporting_person_name": "REH Advisors Inc.", "fund_type": "OO", "citizenship_or_org": "WY", "sole_voting_power": 0.0, "shared_voting_power": 8881662.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8881662.0, "aggregate_amount_owned": 8881662.0, "percent_of_class": 5.1, "type_of_reporting_person": "CO", "comment_content": "* Calculation of percentage based on a total of 177,783,849 shares of Common Stock (as defined below) outstanding as of July 24, 2026, as reported by the Issuer (as defined below) in its Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission (the \"SEC\") on July 30, 2026, less the Common Stock acquired by the Issuer pursuant to the Twenty-Third Repurchase Transaction (as defined below).\n(1) The Reporting Person is the primary and direct beneficial owner of the 8,881,662 shares indicated above, and the board of directors of the Reporting Person has all voting and investment power with respect to such shares." }, { "accession_no": "0001193125-26-333495", "person_seq": 0, "reporting_person_cik": 1473963, "reporting_person_name": "Baralonco Limited", "fund_type": null, "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 10000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10000000.0, "aggregate_amount_owned": 10000000.0, "percent_of_class": 9.44, "type_of_reporting_person": "CO", "comment_content": "* Based on 105,960,383 shares of Common Stock outstanding as of July 15, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2026 filed with the Securities and Exchange Commission on July 22, 2026." }, { "accession_no": "0001193125-26-333495", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Estate of the late Khalid bin Abdullah bin Abdulrahman", "fund_type": null, "citizenship_or_org": "T0", "sole_voting_power": 0.0, "shared_voting_power": 10000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10000000.0, "aggregate_amount_owned": 10000000.0, "percent_of_class": 9.44, "type_of_reporting_person": "OO", "comment_content": "* Based on 105,960,383 shares of Common Stock outstanding as of July 15, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2026 filed with the Securities and Exchange Commission on July 22, 2026." }, { "accession_no": "0001193125-26-333495", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Fahd bin Khalid bin Abdullah bin Abdulrahman, as legal representative of the Estate of the late Khalid bin Abdullah bin Abdulrahman", "fund_type": null, "citizenship_or_org": "T0", "sole_voting_power": 0.0, "shared_voting_power": 10000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10000000.0, "aggregate_amount_owned": 10000000.0, "percent_of_class": 9.44, "type_of_reporting_person": "IN", "comment_content": "*Based on 105,960,383 shares of Common Stock outstanding as of July 15, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2026 filed with the Securities and Exchange Commission on July 22, 2026." }, { "accession_no": "0001193125-26-335146", "person_seq": 0, "reporting_person_cik": 1960107, "reporting_person_name": "Harland Group LLC", "fund_type": "WC", "citizenship_or_org": "WA", "sole_voting_power": 0.0, "shared_voting_power": 10007735.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10007735.0, "aggregate_amount_owned": 10007735.0, "percent_of_class": 11.1, "type_of_reporting_person": "HC", "comment_content": "Harland Group LLC (\"Harland Group\") directly owns 10,007,735 shares of Common Stock of the Issuer, representing approximately 11.1% of the 90,477,798 shares of Common Stock of the Issuer outstanding as of May 1, 2026, as reported on the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the Securities and Exchange Commission (\"SEC\") on May 14, 2026. Prior to September 28, 2023, FinTech HQ Inc. (\"FinTech HQ\"), a corporation of which Harland Group was the sole stockholder, directly owned 7,166,032 shares of Common Stock of the Issuer. On September 28, 2023, FinTech HQ dissolved and transferred all of its shares of Common Stock of the Issuer to Harland Group. Michael H. Giles is the sole member and sole manager of Harland Group, exercises voting and dispositive power over the shares of Common Stock of the Issuer owned by Harland Group and may be deemed to beneficially own the 10,007,735 shares of Common Stock owned directly by Harland Group, or 11.1% of the shares of Common Stock deemed issued and outstanding as of the filing date of this report (the \"Report Date\")." }, { "accession_no": "0001193125-26-335146", "person_seq": 1, "reporting_person_cik": 1960108, "reporting_person_name": "Michael H. Giles", "fund_type": "AF", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 10007735.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10007735.0, "aggregate_amount_owned": 10007735.0, "percent_of_class": 11.1, "type_of_reporting_person": "IN", "comment_content": "Harland Group directly owns 10,007,735 shares of Common Stock of the Issuer, representing approximately 11.1% of the 90,477,798 shares of Common Stock of the Issuer outstanding as of May 1, 2026, as reported on the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 14, 2026. Michael H. Giles is the sole member and sole manager of Harland Group, exercises voting and dispositive power over the shares of Common Stock of the Issuer owned by Harland Group and may be deemed to beneficially own the 10,007,735 shares of Common Stock owned directly by Harland Group, or 11.1% of the shares of Common Stock deemed issued and outstanding as of the Report Date." }, { "accession_no": "0001193125-26-335699", "person_seq": 0, "reporting_person_cik": 1803068, "reporting_person_name": "Moshe Mizrahy", "fund_type": "PF", "citizenship_or_org": "L3", "sole_voting_power": 4299226.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4299226.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4299226.0, "percent_of_class": 7.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-337970", "person_seq": 0, "reporting_person_cik": 1508226, "reporting_person_name": "Access Industries Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 18653451.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18653451.0, "aggregate_amount_owned": 18653451.0, "percent_of_class": 15.86, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 117,579,550 shares of Common Stock issued and outstanding as of July 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on August 4, 2026." }, { "accession_no": "0001193125-26-337970", "person_seq": 1, "reporting_person_cik": 1391297, "reporting_person_name": "Access Industries Holdings LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 155665.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 155665.0, "aggregate_amount_owned": 155665.0, "percent_of_class": 0.13, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 117,579,550 shares of Common Stock issued and outstanding as of July 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on August 4, 2026." }, { "accession_no": "0001193125-26-337970", "person_seq": 2, "reporting_person_cik": 1849909, "reporting_person_name": "AI Droplet Holdings LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 18378199.0, "shared_voting_power": 119587.0, "sole_dispositive_power": 18378199.0, "shared_dispositive_power": 119587.0, "aggregate_amount_owned": 18497786.0, "percent_of_class": 15.73, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 117,579,550 shares of Common Stock issued and outstanding as of July 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on August 4, 2026." }, { "accession_no": "0001193125-26-337970", "person_seq": 3, "reporting_person_cik": 1849905, "reporting_person_name": "AI Droplet Sharing LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 155665.0, "shared_voting_power": 0.0, "sole_dispositive_power": 155665.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 155665.0, "percent_of_class": 0.13, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 117,579,550 shares of Common Stock issued and outstanding as of July 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on August 4, 2026." }, { "accession_no": "0001193125-26-337970", "person_seq": 4, "reporting_person_cik": 1854071, "reporting_person_name": "AI Droplet Subsidiary LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 119587.0, "shared_voting_power": 0.0, "sole_dispositive_power": 119587.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 119587.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 117,579,550 shares of Common Stock issued and outstanding as of July 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on August 4, 2026." }, { "accession_no": "0001193125-26-337970", "person_seq": 5, "reporting_person_cik": 1326628, "reporting_person_name": "Len Blavatnik", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 18653451.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18653451.0, "aggregate_amount_owned": 18653451.0, "percent_of_class": 15.86, "type_of_reporting_person": "IN", "comment_content": "Row 13: All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement are based on an aggregate of 117,579,550 shares of Common Stock issued and outstanding as of July 30, 2026, as disclosed in the Issuer's Form 10-Q filed with the SEC on August 4, 2026." }, { "accession_no": "0001193125-26-338311", "person_seq": 0, "reporting_person_cik": 1283718, "reporting_person_name": "Canada Pension Plan Investment Board", "fund_type": "WC", "citizenship_or_org": "Z4", "sole_voting_power": 88846844.0, "shared_voting_power": 0.0, "sole_dispositive_power": 88846844.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 88846844.0, "percent_of_class": 34.4, "type_of_reporting_person": "CO", "comment_content": "Item 13 is calculated based on (i) 246,038,922 Class A ordinary shares (excluding treasury shares), nominal value of $0.0001 (the \"Shares\"), of ReNew Energy Global plc, a public limited company incorporated in England and Wales (the \"Issuer\"), outstanding as of March 31, 2026, as reported by the Issuer in its Form 20-F filed with the U.S. Securities and Exchange Commission (the \"SEC\") on July 30, 2026 plus (ii) an additional 12,345,678 Shares assuming conversion of the India Shares (as defined below).\n\nWith respect to items 7, 9, 11 and 13, the Reporting Person currently holds 76,501,166 Shares of the Issuer. In addition, the Business Combination Agreement grants the Reporting Person the right to, at its discretion, transfer the ordinary shares of Renew Power Private Limited, a company with limited liability incorporated under the laws of India and subsidiary of the Issuer (\"ReNew India\"), held by the Reporting Person (the \"India Shares\") to the Issuer in exchange for an aggregate of 12,345,678 Shares. The Reporting Person also holds one Class D ordinary share of the Issuer, nominal value of $0.0001 (the \"Class D Share\"). The Class D Share effectively gives the Reporting Person the right to exercise its voting rights as if the Reporting Person had already converted the India Shares into Shares. The Reporting Person is considered to beneficially own an aggregate of 88,846,844 Shares, or 34.4% of the voting rights associated with the outstanding Shares (including 12,345,678 voting rights exercisable by the Reporting Person by virtue of the Class D Share held by the Reporting Person)." }, { "accession_no": "0001193125-26-338366", "person_seq": 0, "reporting_person_cik": 1111726, "reporting_person_name": "Board of Directors of MetLife, Inc., as an entity", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 102098469.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 102098469.0, "percent_of_class": 16.1, "type_of_reporting_person": "IC", "comment_content": "Unless otherwise indicated, all information relating to beneficial ownership of Shares by the Reporting Persons is as of July 31, 2026." }, { "accession_no": "0001193125-26-338651", "person_seq": 0, "reporting_person_cik": 1629222, "reporting_person_name": "Cambridge Equities, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 261705814.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 261705814.0, "aggregate_amount_owned": 261705814.0, "percent_of_class": 24.7, "type_of_reporting_person": "PN", "comment_content": "The percentage shown in (13) is calculated based upon (x) 261,705,814 shares of the Issuer's Common Stock held by Cambridge Equities, LP (\"Cambridge\"), divided by (y) 1,059,836,273 shares of the Issuer's Common Stock issued and outstanding, as of July 31, 2026 as provided by the Issuer." }, { "accession_no": "0001193125-26-338651", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "MP 13 Ventures, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 261705814.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 261705814.0, "aggregate_amount_owned": 261705814.0, "percent_of_class": 24.7, "type_of_reporting_person": "OO", "comment_content": "The percentage shown in (13) is calculated based upon (x) 261,705,814 shares of the Issuer's Common Stock held by Cambridge, divided by (y) 1,059,836,273 shares of the Issuer's Common Stock issued and outstanding, as of July 31, 2026, as provided by the Issuer. MP 13 Ventures, LLC (\"MP 13 Ventures\") may be deemed to beneficially own, and share voting power and investment power with Cambridge over, all shares of the Issuer's Common Stock beneficially owned by Cambridge." }, { "accession_no": "0001193125-26-338651", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "NantWorks, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 98535253.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 98535253.0, "aggregate_amount_owned": 98535253.0, "percent_of_class": 9.3, "type_of_reporting_person": "OO", "comment_content": "The percentage shown in (13) is calculated based upon (x) the sum of (i) 9,986,920 shares of the Issuer's Common Stock held by NantWorks, LLC (\"NantWorks\"); (ii) 8,383,414 shares of the Issuer's Common Stock held by NantBio, Inc. (\"NantBio\"); (iii) 47,557,934 shares of the Issuer's Common Stock held by NantMobile, LLC (\"NantMobile\"); and (iv) 32,606,985 shares of the Issuer's Common Stock held by NantCancerStemCell, LLC (\"NCSC\") divided by (y) 1,059,836,273 shares of the Issuer's Common Stock issued and outstanding, as of July 31, 2026, as provided by the Issuer. NantBio, NantMobile and NCSC are majority-owned subsidiaries of NantWorks, and NantWorks shares voting and dispositive power over the shares beneficially owned by NantBio, NantMobile, and NCSC. NantWorks disclaims beneficial ownership of the shares of the Issuer's Common Stock beneficially owned by NantBio, NantMobile and NCSC, except to the extent of their pecuniary interest." }, { "accession_no": "0001193125-26-338651", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Nant Capital, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 339465528.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 339465528.0, "aggregate_amount_owned": 339465528.0, "percent_of_class": 29.6, "type_of_reporting_person": "OO", "comment_content": "The percentage shown in (13) is calculated based upon (x) the sum of (i) 251,018,873 shares of the Issuer's Common Stock held by Nant Capital, LLC (\"Nant Capital\"); and (ii) 88,446,655 shares of the Issuer's Common Stock that Nant Capital has the right to acquire from the Issuer within 60 days of July 31, 2026 pursuant to the conversion of a promissory note divided by (y) the sum of (i) 1,059,836,273 shares of the Issuer's Common Stock issued and outstanding, as of July 31, 2026, as provided by the Issuer; and (ii) 88,446,655 shares of the Issuer's Common Stock that Nant Capital has the right to acquire from the Issuer within 60 days of July 31, 2026 pursuant to the conversion of a promissory note." }, { "accession_no": "0001193125-26-338651", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "California Capital Equity, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 106511412.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 106511412.0, "aggregate_amount_owned": 106511412.0, "percent_of_class": 10.0, "type_of_reporting_person": "OO", "comment_content": "The percentage shown in (13) is calculated based upon (x) the sum of (i) 7,976,159 shares of the Issuer's Common Stock held by California Capital Equity, LLC (\"California Capital\"); (ii) 9,986,920 shares of the Issuer's Common Stock held by NantWorks; (iii) 8,383,414 shares of the Issuer's Common Stock held by NantBio; (iv) 47,557,934 shares of the Issuer's Common Stock held by NantMobile; and (v) 32,606,985 shares of the Issuer's Common Stock held by NCSC divided by (y) 1,059,836,273 shares of the Issuer's Common Stock issued and outstanding, as of July 31, 2026, as provided by the Issuer. NantWorks is a wholly-owned subsidiary of California Capital. NantBio, NantMobile and NCSC are majority-owned subsidiaries of NantWorks. California Capital shares voting and dispositive power over the shares beneficially owned by NantWorks, NantBio, NantMobile, and NCSC. California Capital disclaims beneficial ownership of the shares of the Issuer's Common Stock beneficially owned by NantWorks, NantBio, NantMobile and NCSC, except to the extent of their pecuniary interest." }, { "accession_no": "0001193125-26-338651", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Patrick Soon-Shiong", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 32217205.0, "shared_voting_power": 713301080.0, "sole_dispositive_power": 32217205.0, "shared_dispositive_power": 713301080.0, "aggregate_amount_owned": 745518285.0, "percent_of_class": 64.8, "type_of_reporting_person": "IN", "comment_content": "The percentage in (13) is calculated based upon (x) the sum of (i) 29,757,911 shares of the Issuer's Common Stock held by Dr. Patrick Soon-Shiong; (ii) 2,459,294 shares of the Issuer's Common Stock that Dr. Soon-Shiong has the right to acquire from the Issuer within 60 days of July 31, 2026 pursuant to the exercise of stock options that were exercisable as of July 31, 2026; (iii) 261,705,814 shares of the Issuer's Common Stock held by Cambridge; (iv) 7,976,159 shares of the Issuer's Common Stock held by California Capital; (v) 9,986,920 shares of the Issuer's Common Stock held by NantWorks; (vi) 251,018,873 shares of the Issuer's Common Stock held by Nant Capital; (vii) 88,446,655 shares of the Issuer's Common Stock that Nant Capital has the right to acquire from the Issuer within 60 days of July 31, 2026 pursuant to the conversion of a promissory note; (viii) 8,383,414 shares of the Issuer's Common Stock held by NantBio; (ix) 47,557,934 shares of the Issuer's Common Stock held by NantMobile; (x) 32,606,985 shares of the Issuer's Common Stock held by NCSC; and (xi) 5,618,326 shares of the Issuer's Common Stock held by the Chan Soon-Shiong Family Foundation divided by (y) the sum of (i) 1,059,836,273 shares of the Issuer's Common Stock issued and outstanding, as of July 31, 2026, as provided by the Issuer; (ii) 2,459,294 shares of the Issuer's Common Stock that Dr. Soon-Shiong has the right to acquire from the Issuer within 60 days of July 31, 2026 pursuant to the exercise of stock options that were exercisable as of July 31, 2026; and (iii) 88,446,655 shares of the Issuer's Common Stock that Nant Capital has the right to acquire from the Issuer within 60 days of July 31, 2026, pursuant to the conversion of a promissory note. Dr. Soon-Shiong may be deemed to beneficially own, and share voting power and investment power over, all shares of the Issuer's Common Stock beneficially owned by Cambridge, California Capital, NantWorks, NantBio, NantMobile, NCSC, Nant Capital, and the Chan Soon-Shiong Family Foundation. Dr. Soon-Shiong disclaims beneficial ownership of the shares of the Issuer's Common Stock beneficially owned by Cambridge, California Capital, NantWorks, NantBio, NantMobile, NCSC, Nant Capital, and the Chan Soon-Shiong Family Foundation, except to the extent of his pecuniary interest." }, { "accession_no": "0001193125-26-338826", "person_seq": 0, "reporting_person_cik": 1881188, "reporting_person_name": "Sumant Sinha", "fund_type": "AF", "citizenship_or_org": "K7", "sole_voting_power": 49102776.0, "shared_voting_power": 11437641.0, "sole_dispositive_power": 49102776.0, "shared_dispositive_power": 11437641.0, "aggregate_amount_owned": 60540417.0, "percent_of_class": 19.76, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193125-26-338826", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Cognisa Investment", "fund_type": "AF", "citizenship_or_org": "K7", "sole_voting_power": 0.0, "shared_voting_power": 6498328.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6498328.0, "aggregate_amount_owned": 6498328.0, "percent_of_class": 2.64, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193125-26-338826", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Wisemore Advisory Private Limited", "fund_type": "AF", "citizenship_or_org": "K7", "sole_voting_power": 0.0, "shared_voting_power": 4939313.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4939313.0, "aggregate_amount_owned": 4939313.0, "percent_of_class": 2.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193125-26-340229", "person_seq": 0, "reporting_person_cik": 905591, "reporting_person_name": "Nippon Life Insurance Company", "fund_type": "WC", "citizenship_or_org": "M0", "sole_voting_power": 121989527.0, "shared_voting_power": 0.0, "sole_dispositive_power": 121989527.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 121989527.0, "percent_of_class": 27.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-340465", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Index Ventures Growth III (Jersey), L.P.", "fund_type": "WC", "citizenship_or_org": "Y9", "sole_voting_power": 37658409.0, "shared_voting_power": 0.0, "sole_dispositive_power": 37658409.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 37658409.0, "percent_of_class": 2.2, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 315,415 shares of Class A common stock, par value $0.0001 per share (\"Class A Common Stock\") and (ii) 37,342,994 shares of Class B common stock, par value $0.0001 per share (\"Class B Common Stock\") of the Issuer. The rights of the holders of Class A Common Stock and Class B Common Stock are generally identical, except with respect to voting and conversion. Each share of Class A Common Stock is entitled to one vote per share. Each share of Class B Common Stock is entitled to ten votes per share and is convertible at the election of the holder into one share of Class A Common Stock. In addition, each share of Class B Common Stock will be automatically converted into one share of Class A Common Stock upon the occurrence of certain events as set forth in the Issuer's certificate of incorporation. Pursuant to Rule 13d-3 of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\"), the percent of class was calculated based on (i) 1,708,146,085 shares of Class A Common Stock outstanding as of July 22, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on July 29, 2026, and (ii) the shares of Class B Common Stock of the Issuer beneficially owned by the Reporting Person (with such shares treated as converted into shares of Class A Common Stock only for purposes of computing the percentage ownership of the Reporting Person pursuant to the Exchange Act)." }, { "accession_no": "0001193125-26-340465", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Yucca (Jersey) SLP", "fund_type": "WC", "citizenship_or_org": "Y9", "sole_voting_power": 573457.0, "shared_voting_power": 0.0, "sole_dispositive_power": 573457.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 573457.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 4,803 shares of Class A Common Stock and (ii) 568,654 shares of Class B Common Stock of the Issuer. The rights of the holders of Class A Common Stock and Class B Common Stock are generally identical, except with respect to voting and conversion. Each share of Class A Common Stock is entitled to one vote per share. Each share of Class B Common Stock is entitled to ten votes per share and is convertible at the election of the holder into one share of Class A Common Stock. In addition, each share of Class B Common Stock will be automatically converted into one share of Class A Common Stock upon the occurrence of certain events as set forth in the Issuer's certificate of incorporation. Pursuant to Rule 13d-3 of the Exchange Act, the percent of class was calculated based on (i) 1,708,146,085 shares of Class A Common Stock outstanding as of July 22, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on July 29, 2026, and (ii) the shares of Class B Common Stock of the Issuer beneficially owned by the Reporting Person (with such shares treated as converted into shares of Class A Common Stock only for purposes of computing the percentage ownership of the Reporting Person pursuant to the Exchange Act)." }, { "accession_no": "0001193125-26-340465", "person_seq": 2, "reporting_person_cik": 1785453, "reporting_person_name": "Index Venture Growth Associates III Limited", "fund_type": "AF", "citizenship_or_org": "Y9", "sole_voting_power": 38231866.0, "shared_voting_power": 0.0, "sole_dispositive_power": 38231866.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 38231866.0, "percent_of_class": 2.2, "type_of_reporting_person": "PN", "comment_content": "Consists of (i) 320,218 shares of Class A Common Stock and (ii) 37,911,648 shares of Class B Common Stock of the Issuer. The rights of the holders of Class A Common Stock and Class B Common Stock are generally identical, except with respect to voting and conversion. Each share of Class A Common Stock is entitled to one vote per share. Each share of Class B Common Stock is entitled to ten votes per share and is convertible at the election of the holder into one share of Class A Common Stock. In addition, each share of Class B Common Stock will be automatically converted into one share of Class A Common Stock upon the occurrence of certain events as set forth in the Issuer's certificate of incorporation. Pursuant to Rule 13d-3 of the Exchange Act, the percent of class was calculated based on (i) 1,708,146,085 shares of Class A Common Stock outstanding as of July 22, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on July 29, 2026, and (ii) the shares of Class B Common Stock of the Issuer beneficially owned by the Reporting Person (with such shares treated as converted into shares of Class A Common Stock only for purposes of computing the percentage ownership of the Reporting Person pursuant to the Exchange Act)." }, { "accession_no": "0001193125-26-340485", "person_seq": 0, "reporting_person_cik": 1420106, "reporting_person_name": "Gilde Healthcare Holding B.V.", "fund_type": "WC", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 2212207.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2212207.0, "aggregate_amount_owned": 2212207.0, "percent_of_class": 10.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-340485", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Gilde Healthcare V Management B.V.", "fund_type": "AF", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 2212207.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2212207.0, "aggregate_amount_owned": 2212207.0, "percent_of_class": 10.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-340485", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Cooperatieve Gilde Healthcare V U.A.", "fund_type": "AF", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 2212207.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2212207.0, "aggregate_amount_owned": 2212207.0, "percent_of_class": 10.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-340485", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Manapouri B.V.", "fund_type": "AF", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 2212207.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2212207.0, "aggregate_amount_owned": 2212207.0, "percent_of_class": 10.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193125-26-340485", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Martemanshurk B.V.", "fund_type": "AF", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 2212207.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2212207.0, "aggregate_amount_owned": 2212207.0, "percent_of_class": 10.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-000655", "person_seq": 0, "reporting_person_cik": 1785342, "reporting_person_name": "National Philanthropic Trust", "fund_type": "OO", "citizenship_or_org": "PA", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "This statement on Schedule 13D relates to the Series A common stock, par value $0.0001 per share (\"Class A Common Stock\"), of dMY Squared Technology Group, Inc. (the \"Issuer\"). The statement on Schedule 13D originally filed with the Securities and Exchange Commission (the \"SEC\") by the Reporting Person on September 15, 2025 (the \"Schedule 13D\") is hereby amended and supplemented to include the information set forth herein. This amended statement on Schedule 13D (the \"Schedule 13 Amendment\") constitutes Amendment No. 1 to the original Schedule 13D filing and constitutes an exit filing of the Reporting Person in respect of shares of Class A Common Stock. Following the transaction (the \"Transaction\") described in Item 4 below, the Issuer filed a Form 15 with the SEC to effect the deregistration of the Class A Common Stock. Except as set forth herein, the Schedule 13D is unmodified." }, { "accession_no": "0001193805-26-000674", "person_seq": 0, "reporting_person_cik": 1734770, "reporting_person_name": "Ault & Company, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 493762908.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 493762908.0, "aggregate_amount_owned": 493762908.0, "percent_of_class": 51.8, "type_of_reporting_person": "CO", "comment_content": "Represents (i) 2,600,005 shares of class A common stock (\"Class A Shares\"), (ii) 14,679,698 shares of Class A Shares issuable upon conversion of 14,679,698 shares of class B common stock (\"Class B Shares\"), (iii) 432,900,430 Class A Shares issuable upon conversion of 50,000 shares of Series C Convertible Preferred Stock, (iv) 8,311,688 Class A Shares issuable upon conversion of 960 shares of Series G Convertible Preferred Stock, (v) 34,632,035 Class A Shares issuable upon conversion of 4,000 shares of Series H Convertible Preferred Stock and (vi) 639,052 Class A Shares issuable upon exercise of outstanding warrants. Each share of Series C Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $183.58 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. Each share of Series G Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $6.74 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. Each share of Series H Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $0.79645 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. For purposes of this Schedule 13D filing, the calculations for the number of Class A Shares issuable upon conversion of the Series C Preferred Stock, Series G Preferred Stock and Series H Preferred Stock are based upon a conversion price of $0.1155." }, { "accession_no": "0001193805-26-000674", "person_seq": 1, "reporting_person_cik": 1212502, "reporting_person_name": "AULT MILTON C III", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 1793021.0, "shared_voting_power": 493762908.0, "sole_dispositive_power": 1793021.0, "shared_dispositive_power": 493762908.0, "aggregate_amount_owned": 495555929.0, "percent_of_class": 52.0, "type_of_reporting_person": "IN", "comment_content": "(1) Sole voting power represents (i) 1,125,000 Class A Shares issuable upon exercise of stock options that are currently exercisable or exercisable within 60 days, (ii) 666,300 Class A Shares and (iii) 1,721 Class A Share issuable upon conversion of 1,721 Class B Shares.\n\n(2) Shared voting power represents (i) 2,600,005 Class A Shares held by Ault & Company, Inc. (\"Ault & Company\"), (ii) 14,679,698 shares of Class A Shares issuable upon conversion of 14,679,698 Class B Shares held by Ault & Company, (iii) 432,900,430 Class A Shares issuable upon conversion of 50,000 shares of Series C Convertible Preferred Stock held by Ault & Company, (iv) 8,311,688 Class A Shares issuable upon conversion of 960 shares of Series G Convertible Preferred Stock held by Ault & Company, (v) 34,632,035 Class A Shares issuable upon conversion of 4,000 shares of Series H Convertible Preferred Stock held by Ault & Company and (vi) 639,052 Class A Shares issuable upon exercise of outstanding warrants held by Ault & Company. Each share of Series C Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $183.58 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. Each share of Series G Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $6.74 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. Each share of Series H Convertible Preferred Stock has a stated value of $1,000.00 and is convertible into shares of Class A Common Stock at a conversion price equal to the greater of (i) $0.10 per share and (ii) the lesser of (A) $0.79645 or (B) 105% of the volume weighted average price of the Class A Common Stock during the ten trading days immediately prior to the date of conversion. For purposes of this Schedule 13D filing, the calculations for the number of Class A Shares issuable upon conversion of the Series C Preferred Stock, Series G Preferred Stock and Series H Preferred Stock are based upon a conversion price of $0.1155." }, { "accession_no": "0001193805-26-000674", "person_seq": 2, "reporting_person_cik": 1333268, "reporting_person_name": "HORNE WILLIAM B", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1250001.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1250001.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1250001.0, "percent_of_class": 0.2, "type_of_reporting_person": "IN", "comment_content": "Represents (i) 1,250,000 Class A Shares issuable upon exercise of stock options that are currently exercisable or exercisable within 60 days and (ii) one Class A Share issuable upon conversion of one Class B Share." }, { "accession_no": "0001193805-26-000674", "person_seq": 3, "reporting_person_cik": 1775938, "reporting_person_name": "NISSER HENRY CARL", "fund_type": "AF", "citizenship_or_org": "V7", "sole_voting_power": 843753.0, "shared_voting_power": 0.0, "sole_dispositive_power": 843753.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 843753.0, "percent_of_class": 0.2, "type_of_reporting_person": "IN", "comment_content": "Represents (i) 843,750 Class A Shares issuable upon exercise of stock options that are currently exercisable or exercisable within 60 days, (ii) two Class A Shares and (iii) one Class A Share issuable upon conversion of one Class B Share." }, { "accession_no": "0001193805-26-000674", "person_seq": 4, "reporting_person_cik": 1327261, "reporting_person_name": "CRAGUN KENNETH S", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 562500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 562500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 562500.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Represents 562,500 Class A Shares issuable upon exercise of stock options that are currently exercisable or exercisable within 60 days." }, { "accession_no": "0001193805-26-000712", "person_seq": 0, "reporting_person_cik": 1815437, "reporting_person_name": "Deerfield Private Design Fund V, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 444703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 444703.0, "aggregate_amount_owned": 444703.0, "percent_of_class": 4.08, "type_of_reporting_person": "PN", "comment_content": "The number of shares of Common Stock beneficially owned by the Reporting Person consists of (i) 334,719 shares of Common Stock and (ii) an aggregate of 109,984 shares of Common Stock underlying warrants that are currently exercisable (subject to the Beneficial Ownership Limitation (as defined below)). The provisions of the warrants restrict the exercise of such warrants to the extent that, upon such exercise, the number of shares of Common Stock then beneficially owned by the holder and its affiliates and any other person or entities with which such holder would constitute a Section 13(d) \"group\" would exceed 9.99% of the total number of shares of Common Stock then outstanding (the \"Beneficial Ownership Limitation\"). Accordingly, notwithstanding the number of shares reported, the reporting person disclaims beneficial ownership of the shares of Common Stock issuable upon the exercise of such warrants to the extent that upon such exercise the number of shares beneficially owned by all reporting persons hereunder, in the aggregate, would exceed the Beneficial Ownership Limitation." }, { "accession_no": "0001193805-26-000712", "person_seq": 1, "reporting_person_cik": 1876688, "reporting_person_name": "Deerfield Mgmt V, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 444703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 444703.0, "aggregate_amount_owned": 444703.0, "percent_of_class": 4.08, "type_of_reporting_person": "PN", "comment_content": "Comprised of shares of Common Stock held by, and shares of Common Stock issuable upon exercise of warrants held by, Deerfield Private Design Fund V, L.P. See Comment to Type of Reporting Person for Deerfield Private Design Fund V, L.P." }, { "accession_no": "0001193805-26-000712", "person_seq": 2, "reporting_person_cik": 1780064, "reporting_person_name": "Deerfield Healthcare Innovations Fund II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 444703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 444703.0, "aggregate_amount_owned": 444703.0, "percent_of_class": 4.08, "type_of_reporting_person": "PN", "comment_content": "The number of shares of Common Stock beneficially owned by the Reporting Person consists of (i) 334,719 shares of Common Stock and (ii) an aggregate of 109,984 shares of Common Stock underlying warrants that are currently exercisable (subject to the Beneficial Ownership Limitation (as defined below)). The provisions of the warrants restrict the exercise of such warrants to the extent that, upon such exercise, the number of shares of Common Stock then beneficially owned by the holder and its affiliates and any other person or entities with which such holder would constitute a Section 13(d) \"group\" would exceed 9.99% of the total number of shares of Common Stock then outstanding (the \"Beneficial Ownership Limitation\"). Accordingly, notwithstanding the number of shares reported, the reporting person disclaims beneficial ownership of the shares of Common Stock issuable upon the exercise of such warrants to the extent that upon such exercise the number of shares beneficially owned by all reporting persons hereunder, in the aggregate, would exceed the Beneficial Ownership Limitation." }, { "accession_no": "0001193805-26-000712", "person_seq": 3, "reporting_person_cik": 1665736, "reporting_person_name": "Deerfield Mgmt HIF II, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 444703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 444703.0, "aggregate_amount_owned": 444703.0, "percent_of_class": 4.08, "type_of_reporting_person": "PN", "comment_content": "Comprised of shares of Common Stock held by, and shares of Common Stock issuable upon exercise of warrants held by, Deerfield Healthcare Innovations Fund II, L.P. See Comment for Type of Reporting Person 3 for Deerfield Healthcare Innovations Fund II, L.P." }, { "accession_no": "0001193805-26-000712", "person_seq": 4, "reporting_person_cik": 1009258, "reporting_person_name": "Deerfield Management Company, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 889928.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 889928.0, "aggregate_amount_owned": 889928.0, "percent_of_class": 8.09, "type_of_reporting_person": "PN", "comment_content": "Comprised of (i) shares of Common Stock held by, and shares of Common Stock issuable upon exercise of warrants held by, Deerfield Private Design Fund V, L.P. and Deerfield Healthcare Innovations Fund II, L.P (see Comment for Type of Reporting Person for each of Deerfield Private Design Fund V, L.P. and Deerfield Healthcare Innovations Fund II, L.P.); and (ii) 522 shares of Common Stock issuable upon exercise of options held by Jonathan Leff for the benefit, and at the direction, of Deerfield Management Company, L.P." }, { "accession_no": "0001193805-26-000712", "person_seq": 5, "reporting_person_cik": 1352546, "reporting_person_name": "James E. Flynn", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 889928.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 889928.0, "aggregate_amount_owned": 889928.0, "percent_of_class": 8.09, "type_of_reporting_person": "IN", "comment_content": "Comprised of (i) shares of Common Stock held by, and shares of Common Stock issuable upon exercise of warrants held by, Deerfield Private Design Fund V, L.P. and Deerfield Healthcare Innovations Fund II, L.P. (see Comment for Type of Reporting Person for each of Deerfield Private Design Fund V, L.P. and Deerfield Healthcare Innovations Fund II, L.P.); and (ii) 522 shares of Common Stock issuable upon exercise of options held by Jonathan Leff for the benefit, and at the direction, of Deerfield Management Company, L.P." }, { "accession_no": "0001193805-26-000738", "person_seq": 0, "reporting_person_cik": 1517137, "reporting_person_name": "Starboard Value LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 5611526.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5611526.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5611526.0, "percent_of_class": 6.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 1, "reporting_person_cik": 1373638, "reporting_person_name": "STARBOARD VALUE & OPPORTUNITY MASTER FUND LTD", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 2424637.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2424637.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2424637.0, "percent_of_class": 2.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 2, "reporting_person_cik": 1519812, "reporting_person_name": "STARBOARD VALUE & OPPORTUNITY S LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 388431.0, "shared_voting_power": 0.0, "sole_dispositive_power": 388431.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 388431.0, "percent_of_class": 0.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 3, "reporting_person_cik": 1767736, "reporting_person_name": "Starboard Value & Opportunity Master Fund L LP", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 187790.0, "shared_voting_power": 0.0, "sole_dispositive_power": 187790.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 187790.0, "percent_of_class": 0.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 4, "reporting_person_cik": 1767773, "reporting_person_name": "Starboard Value L LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 187790.0, "shared_voting_power": 0.0, "sole_dispositive_power": 187790.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 187790.0, "percent_of_class": 0.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 5, "reporting_person_cik": 1575979, "reporting_person_name": "Starboard Value R GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 187790.0, "shared_voting_power": 0.0, "sole_dispositive_power": 187790.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 187790.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 6, "reporting_person_cik": 1833016, "reporting_person_name": "Starboard X Master Fund Ltd", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 601136.0, "shared_voting_power": 0.0, "sole_dispositive_power": 601136.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 601136.0, "percent_of_class": 0.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Starboard G Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1191067.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1191067.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1191067.0, "percent_of_class": 1.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Starboard Value G GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 1191067.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1191067.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1191067.0, "percent_of_class": 1.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 9, "reporting_person_cik": 1575998, "reporting_person_name": "Starboard Value A LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 1191067.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1191067.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1191067.0, "percent_of_class": 1.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 10, "reporting_person_cik": 1575974, "reporting_person_name": "Starboard Value A GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 1191067.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1191067.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1191067.0, "percent_of_class": 1.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 11, "reporting_person_cik": 1517138, "reporting_person_name": "Starboard Value GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 5611526.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5611526.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5611526.0, "percent_of_class": 6.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 12, "reporting_person_cik": 1517139, "reporting_person_name": "Starboard Principal Co LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 5611526.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5611526.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5611526.0, "percent_of_class": 6.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 13, "reporting_person_cik": 1517140, "reporting_person_name": "Starboard Principal Co GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 5611526.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5611526.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5611526.0, "percent_of_class": 6.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 14, "reporting_person_cik": 1362697, "reporting_person_name": "Smith Jeffrey C", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 5611526.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5611526.0, "aggregate_amount_owned": 5611526.0, "percent_of_class": 6.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193805-26-000738", "person_seq": 15, "reporting_person_cik": 1410600, "reporting_person_name": "Feld Peter A", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2496.0, "shared_voting_power": 5611526.0, "sole_dispositive_power": 2496.0, "shared_dispositive_power": 5611526.0, "aggregate_amount_owned": 5614022.0, "percent_of_class": 6.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193805-26-000833", "person_seq": 0, "reporting_person_cik": 1815437, "reporting_person_name": "Deerfield Private Design Fund V, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 266424.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 266424.0, "aggregate_amount_owned": 266424.0, "percent_of_class": 2.37, "type_of_reporting_person": "PN", "comment_content": "The number of shares of Common Stock beneficially owned by the Reporting Person consists of (i) 177,789 shares of Common Stock and (ii) an aggregate of 88,635 shares of Common Stock underlying warrants that are currently exercisable (subject to the Beneficial Ownership Limitation (as defined below)). The provisions of the warrants restrict the exercise of such warrants to the extent that, upon such exercise, the number of shares of Common Stock then beneficially owned by the holder and its affiliates and any other person or entities with which such holder would constitute a Section 13(d) \"group\" would exceed 9.99% of the total number of shares of Common Stock then outstanding (the \"Beneficial Ownership Limitation\"). Accordingly, notwithstanding the number of shares reported, the reporting person disclaims beneficial ownership of the shares of Common Stock issuable upon the exercise of such warrants to the extent that upon such exercise the number of shares beneficially owned by all reporting persons hereunder, in the aggregate, would exceed the Beneficial Ownership Limitation." }, { "accession_no": "0001193805-26-000833", "person_seq": 1, "reporting_person_cik": 1876688, "reporting_person_name": "Deerfield Mgmt V, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 266424.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 266424.0, "aggregate_amount_owned": 266424.0, "percent_of_class": 2.37, "type_of_reporting_person": "PN", "comment_content": "Comprised of shares of Common Stock held by, and shares of Common Stock issuable upon exercise of warrants held by, Deerfield Private Design Fund V, L.P. See Comment to Type of Reporting Person for Deerfield Private Design Fund V, L.P." }, { "accession_no": "0001193805-26-000833", "person_seq": 2, "reporting_person_cik": 1780064, "reporting_person_name": "Deerfield Healthcare Innovations Fund II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 266424.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 266424.0, "aggregate_amount_owned": 266424.0, "percent_of_class": 2.37, "type_of_reporting_person": "PN", "comment_content": "The number of shares of Common Stock beneficially owned by the Reporting Person consists of (i) 177,789 shares of Common Stock and (ii) an aggregate of 88,635 shares of Common Stock underlying warrants that are currently exercisable (subject to the Beneficial Ownership Limitation (as defined below)). The provisions of the warrants restrict the exercise of such warrants to the extent that, upon such exercise, the number of shares of Common Stock then beneficially owned by the holder and its affiliates and any other person or entities with which such holder would constitute a Section 13(d) \"group\" would exceed 9.99% of the total number of shares of Common Stock then outstanding (the \"Beneficial Ownership Limitation\"). Accordingly, notwithstanding the number of shares reported, the reporting person disclaims beneficial ownership of the shares of Common Stock issuable upon the exercise of such warrants to the extent that upon such exercise the number of shares beneficially owned by all reporting persons hereunder, in the aggregate, would exceed the Beneficial Ownership Limitation." }, { "accession_no": "0001193805-26-000833", "person_seq": 3, "reporting_person_cik": 1665736, "reporting_person_name": "Deerfield Mgmt HIF II, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 266424.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 266424.0, "aggregate_amount_owned": 266424.0, "percent_of_class": 2.37, "type_of_reporting_person": "PN", "comment_content": "Comprised of shares of Common Stock held by, and shares of Common Stock issuable upon exercise of warrants held by, Deerfield Healthcare Innovations Fund II, L.P. See Comment for Type of Reporting Person 3 for Deerfield Healthcare Innovations Fund II, L.P." }, { "accession_no": "0001193805-26-000833", "person_seq": 4, "reporting_person_cik": 1009258, "reporting_person_name": "Deerfield Management Company, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 533370.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 533370.0, "aggregate_amount_owned": 533370.0, "percent_of_class": 4.7, "type_of_reporting_person": "PN", "comment_content": "Comprised of (i) shares of Common Stock held by, and shares of Common Stock issuable upon exercise of warrants held by, Deerfield Private Design Fund V, L.P. and Deerfield Healthcare Innovations Fund II, L.P (see Comment for Type of Reporting Person for each of Deerfield Private Design Fund V, L.P. and Deerfield Healthcare Innovations Fund II, L.P.); and (ii) 522 shares of Common Stock issuable upon exercise of options held by Jonathan Leff for the benefit, and at the direction, of Deerfield Management Company, L.P." }, { "accession_no": "0001193805-26-000833", "person_seq": 5, "reporting_person_cik": 1352546, "reporting_person_name": "James E. Flynn", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 533370.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 533370.0, "aggregate_amount_owned": 533370.0, "percent_of_class": 4.7, "type_of_reporting_person": "IN", "comment_content": "Comprised of (i) shares of Common Stock held by, and shares of Common Stock issuable upon exercise of warrants held by, Deerfield Private Design Fund V, L.P. and Deerfield Healthcare Innovations Fund II, L.P. (see Comment for Type of Reporting Person for each of Deerfield Private Design Fund V, L.P. and Deerfield Healthcare Innovations Fund II, L.P.); and (ii) 522 shares of Common Stock issuable upon exercise of options held by Jonathan Leff for the benefit, and at the direction, of Deerfield Management Company, L.P." }, { "accession_no": "0001193805-26-001013", "person_seq": 0, "reporting_person_cik": 896493, "reporting_person_name": "Hyperscale Data, Inc.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1045252.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1045252.0, "aggregate_amount_owned": 1045252.0, "percent_of_class": 34.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193805-26-001013", "person_seq": 1, "reporting_person_cik": 1734770, "reporting_person_name": "Ault & Company, Inc.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6200.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6200.0, "aggregate_amount_owned": 6200.0, "percent_of_class": 0.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193805-26-001013", "person_seq": 2, "reporting_person_cik": 2062284, "reporting_person_name": "Alpha Structured Finance LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000.0, "aggregate_amount_owned": 20000.0, "percent_of_class": 0.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001193805-26-001013", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Alpha Structured Finance GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000.0, "aggregate_amount_owned": 20000.0, "percent_of_class": 0.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-001013", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "ACG Alpha Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000.0, "aggregate_amount_owned": 20000.0, "percent_of_class": 0.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-001013", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Ault Lending, LLC", "fund_type": "WC", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 1025252.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1025252.0, "aggregate_amount_owned": 1025252.0, "percent_of_class": 33.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-001013", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Ault Capital Group, Inc.", "fund_type": "AF", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 1045252.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1045252.0, "aggregate_amount_owned": 1045252.0, "percent_of_class": 34.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193805-26-001013", "person_seq": 7, "reporting_person_cik": 1212502, "reporting_person_name": "AULT MILTON C III", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 52600.0, "shared_voting_power": 1051452.0, "sole_dispositive_power": 52600.0, "shared_dispositive_power": 1051452.0, "aggregate_amount_owned": 1104052.0, "percent_of_class": 35.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193805-26-001013", "person_seq": 8, "reporting_person_cik": 1775938, "reporting_person_name": "NISSER HENRY CARL", "fund_type": "AF", "citizenship_or_org": "V7", "sole_voting_power": 25000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 25000.0, "percent_of_class": 0.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193805-26-001017", "person_seq": 0, "reporting_person_cik": 2042077, "reporting_person_name": "Chernett Jorey", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 10588988.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10588988.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10588988.0, "percent_of_class": 15.22, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001193805-26-001025", "person_seq": 0, "reporting_person_cik": 1472520, "reporting_person_name": "DGB Investment, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1050000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1050000.0, "aggregate_amount_owned": 1050000.0, "percent_of_class": 4.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001193805-26-001025", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Douglas Bergeron Qualified Personal Residence Trust", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 90000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 90000.0, "aggregate_amount_owned": 90000.0, "percent_of_class": 0.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-001025", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Bergeron Nieces and Nephews Trust", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 135000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 135000.0, "aggregate_amount_owned": 135000.0, "percent_of_class": 0.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001193805-26-001025", "person_seq": 3, "reporting_person_cik": 1298718, "reporting_person_name": "Douglas G. Bergeron", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1275000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1275000.0, "aggregate_amount_owned": 1275000.0, "percent_of_class": 5.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-054460", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Kylin Investment Holdings Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 2243949380.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2243949380.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2243949380.0, "percent_of_class": 66.55, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7, 9, 11: Represents 243,949,380 Class A ordinary shares and 2,000,000,000 Class B ordinary shares directly held by Kylin Investment Holdings Ltd.\n\nNote to Row 13: The percentage calculation is based on 3,371,643,240 ordinary shares, including 1,371,643,240 Class A ordinary shares and 2,000,000,000 Class B ordinary shares, of the Issuer outstanding as of May 6, 2026." }, { "accession_no": "0001213900-26-054460", "person_seq": 1, "reporting_person_cik": 1767822, "reporting_person_name": "Bin Zhai", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 40000000.0, "shared_voting_power": 2243949380.0, "sole_dispositive_power": 40000000.0, "shared_dispositive_power": 2243949380.0, "aggregate_amount_owned": 2283949380.0, "percent_of_class": 66.95, "type_of_reporting_person": "IN", "comment_content": "Note to Row 11: Includes (i) 40,000,000 Class A ordinary shares which may be acquired by Mr. Bin Zhai within 60 days of May 6, 2026 upon exercise of outstanding options granted by the Issuer and (ii) 243,949,380 Class A ordinary shares and 2,000,000,000 Class B ordinary shares directly held by Kylin Investment Holdings Limited. Mr. Bin Zhai holds 50% of the total outstanding shares of Kylin Investment Holdings Limited and serves as its sole director. As a result, Mr. Zhai may be deemed to have the power to direct voting and disposition of the 2,243,949,380 ordinary shares held by Kylin Investment Holdings Limited.\n\nNote to Row 13: The ownership percentage above is calculated based on 3,371,643,240 ordinary shares, including 1,371,643,240 Class A ordinary shares and 2,000,000,000 Class B ordinary shares, of the Issuer outstanding as of May 6, 2026, and 40,000,000 Class A ordinary shares which may be acquired by Mr. Bin Zhai within 60 days of May 6, 2026 upon exercise of outstanding options granted by the Issuer." }, { "accession_no": "0001213900-26-055056", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Lane Bess", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 185234.0, "shared_voting_power": 12836751.0, "sole_dispositive_power": 185234.0, "shared_dispositive_power": 12836751.0, "aggregate_amount_owned": 13021985.0, "percent_of_class": 9.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-055056", "person_seq": 1, "reporting_person_cik": 2068418, "reporting_person_name": "Bess Ventures & Advisory, LLC", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 0.0, "shared_voting_power": 12446783.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12446783.0, "aggregate_amount_owned": 12446783.0, "percent_of_class": 8.7, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001213900-26-055056", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Destin Huang Irrevocable Trust Dated October 19, 2021", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 0.0, "shared_voting_power": 389968.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 389968.0, "aggregate_amount_owned": 389968.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "Trust" }, { "accession_no": "0001213900-26-055287", "person_seq": 0, "reporting_person_cik": 2110120, "reporting_person_name": "XJ Harbour HK Ltd", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 10162575.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10162575.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10162575.0, "percent_of_class": 19.2, "type_of_reporting_person": "CO", "comment_content": "Rows 7, 9 and 11: Represents 10,162,575 Class A Ordinary Shares of the Issuer. Each Class A Ordinary Share is entitled to one vote per share.\n\nRow 13: Based on an aggregate of 52,800,864 Class A Ordinary Shares of the Issuer (excluding 5,000,000 earn-out shares without voting rights subject to cancellation and 21,000,000 total outstanding warrants issued to other shareholders of the Issuer). The percentage does not reflect the potential conversion of a EUR 2.5 million drawn under a financing facility with Black Forest Special Situations I signed in December 2025 and does also not reflect the potential conversion of a USD 18 million convertible bond and warrants announced by the Issuer on January 20, 2026." }, { "accession_no": "0001213900-26-055287", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Xinjin Global Industrial Fund LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 10162575.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10162575.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10162575.0, "percent_of_class": 19.2, "type_of_reporting_person": "PN", "comment_content": "Rows 7, 9 and 11: Represents 10,162,575 Class A Ordinary Shares of the Issuer. Each Class A Ordinary Share is entitled to one vote per share.\n\nRow 13: Based on an aggregate of 52,800,864 Class A Ordinary Shares of the Issuer (excluding 5,000,000 earn-out shares without voting rights subject to cancellation and 21,000,000 total outstanding warrants issued to other shareholders of the Issuer). The percentage does not reflect the potential conversion of a EUR 2.5 million drawn under a financing facility with Black Forest Special Situations I signed in December 2025 and does also not reflect the potential conversion of a USD 18 million convertible bond and warrants announced by the Issuer on January 20, 2026." }, { "accession_no": "0001213900-26-055287", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Xinjin Global Industrial Fund GP Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 10162575.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10162575.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10162575.0, "percent_of_class": 19.2, "type_of_reporting_person": "CO", "comment_content": "Rows 7, 9 and 11: Represents 10,162,575 Class A Ordinary Shares of the Issuer. Each Class A Ordinary Share is entitled to one vote per share.\n\nRow 13: Based on an aggregate of 52,800,864 Class A Ordinary Shares of the Issuer (excluding 5,000,000 earn-out shares without voting rights subject to cancellation and 21,000,000 total outstanding warrants issued to other shareholders of the Issuer). The percentage does not reflect the potential conversion of a EUR 2.5 million drawn under a financing facility with Black Forest Special Situations I signed in December 2025 and does also not reflect the potential conversion of a USD 18 million convertible bond and warrants announced by the Issuer on January 20, 2026." }, { "accession_no": "0001213900-26-055287", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Xinjin Investment Holding Limited", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 10162575.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10162575.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10162575.0, "percent_of_class": 19.2, "type_of_reporting_person": "CO", "comment_content": "Rows 7, 9 and 11: Represents 10,162,575 Class A Ordinary Shares of the Issuer. Each Class A Ordinary Share is entitled to one vote per share.\n\nRow 13: Based on an aggregate of 52,800,864 Class A Ordinary Shares of the Issuer (excluding 5,000,000 earn-out shares without voting rights subject to cancellation and 21,000,000 total outstanding warrants issued to other shareholders of the Issuer). The percentage does not reflect the potential conversion of a EUR 2.5 million drawn under a financing facility with Black Forest Special Situations I signed in December 2025 and does also not reflect the potential conversion of a USD 18 million convertible bond and warrants announced by the Issuer on January 20, 2026." }, { "accession_no": "0001213900-26-055750", "person_seq": 0, "reporting_person_cik": 2095418, "reporting_person_name": "Weichai Power Hong Kong International Development Co., Limited", "fund_type": "BK", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 39252826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39252826.0, "aggregate_amount_owned": 39252826.0, "percent_of_class": 13.02, "type_of_reporting_person": "CO", "comment_content": "The percentage of class of securities is calculated by dividing the number of Common Shares (as defined below) beneficially owned by the Reporting Persons (as defined below) by a total of 301,475,849 issued and outstanding Common Shares of the Issuer (as defined below), as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the Securities and Exchange Commission (\"SEC\") on May 5, 2026." }, { "accession_no": "0001213900-26-055750", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Weichai Power Co., Ltd.", "fund_type": "BK", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 39252826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39252826.0, "aggregate_amount_owned": 39252826.0, "percent_of_class": 13.02, "type_of_reporting_person": "CO", "comment_content": "The percentage of class of securities is calculated by dividing the number of Common Shares beneficially owned by the Reporting Persons by a total of 301,475,849 issued and outstanding Common Shares of the Issuer, as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the SEC on May 5, 2026." }, { "accession_no": "0001213900-26-055750", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Shandong Heavy Industry Group Co., Ltd.", "fund_type": "BK", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 39252826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39252826.0, "aggregate_amount_owned": 39252826.0, "percent_of_class": 13.02, "type_of_reporting_person": "CO", "comment_content": "The percentage of class of securities is calculated by dividing the number of Common Shares beneficially owned by the Reporting Persons by a total of 301,475,849 issued and outstanding Common Shares of the Issuer, as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the SEC on May 5, 2026." }, { "accession_no": "0001213900-26-055771", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Cantor Fitzgerald, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7862352.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7862352.0, "aggregate_amount_owned": 7862352.0, "percent_of_class": 5.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-055771", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "CF Group Management, Inc.", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 7862352.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7862352.0, "aggregate_amount_owned": 7862352.0, "percent_of_class": 5.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-055771", "person_seq": 2, "reporting_person_cik": 1828762, "reporting_person_name": "CFAC Holdings V, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7048281.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7048281.0, "aggregate_amount_owned": 7048281.0, "percent_of_class": 5.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-055771", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Cantor Fitzgerald Securities", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 814071.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 814071.0, "aggregate_amount_owned": 814071.0, "percent_of_class": 0.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-055771", "person_seq": 4, "reporting_person_cik": 2048880, "reporting_person_name": "Brandon G. Lutnick", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 7862352.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7862352.0, "aggregate_amount_owned": 7862352.0, "percent_of_class": 5.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-056117", "person_seq": 0, "reporting_person_cik": 2134559, "reporting_person_name": "Eduardo Sanchez Navarro", "fund_type": "SC", "citizenship_or_org": "O5", "sole_voting_power": 35838774.0, "shared_voting_power": 0.0, "sole_dispositive_power": 35838774.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 35838774.0, "percent_of_class": 6.7, "type_of_reporting_person": "IN", "comment_content": "The Series B shares reported herein include 12,631,937 Series BB shares convertible into Series B shares. The calculation of the percentage set forth in row 13 above is based on an aggregate of 519,226,576 Series B shares outstanding as of May 7, 2026 as disclosed by the Issuer on Form 6-K filed with the Securities and Exchange Commission (\"SEC\") on May 7, 2026, and assumes the conversion of the Series BB shares held by the Trust, which Mr. Navarro may be deemed to control and retains sole voting and dispositive power." }, { "accession_no": "0001213900-26-056133", "person_seq": 0, "reporting_person_cik": 2119901, "reporting_person_name": "Laura Diez-Barroso Azcarraga", "fund_type": "SC", "citizenship_or_org": "O5", "sole_voting_power": 59495869.0, "shared_voting_power": 0.0, "sole_dispositive_power": 59495869.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 59495869.0, "percent_of_class": 10.9, "type_of_reporting_person": "IN", "comment_content": "The Series B shares reported herein includes 25,263,873 Series BB shares convertible into Series B shares. The calculation of the percentage set forth in row 13 above is based on an aggregate 519,226,576 Series B shares outstanding as of May 7, 2026 as disclosed by the Issuer on Form 6-K filed with the Securities and Exchange Commission (\"SEC\") on May 7, 2026, and assumes the conversion of the Series BB shares held by the Reporting Person (as defined below)." }, { "accession_no": "0001213900-26-056155", "person_seq": 0, "reporting_person_cik": 1491419, "reporting_person_name": "LiveOne, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 20430126.0, "shared_voting_power": 0.0, "sole_dispositive_power": 20430126.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 20430126.0, "percent_of_class": 71.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-056748", "person_seq": 0, "reporting_person_cik": 1346609, "reporting_person_name": "MONEX GROUP, INC.", "fund_type": "OO", "citizenship_or_org": "M0", "sole_voting_power": 136247594.0, "shared_voting_power": 0.0, "sole_dispositive_power": 136247594.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 136247594.0, "percent_of_class": 83.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-056837", "person_seq": 0, "reporting_person_cik": 1176309, "reporting_person_name": "Oramed Pharmaceuticals Inc.", "fund_type": "SC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1528221.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1528221.0, "aggregate_amount_owned": 1528221.0, "percent_of_class": 49.9, "type_of_reporting_person": "CO", "comment_content": "(1) This figure includes 277,858 ordinary shares, no par value (\"Ordinary Shares\"), of Lifeward Ltd. (the \"Issuer\") which may be acquired by the Reporting Person within 60 days upon the exercise of the Pre-Funded Warrants or Share Purchase Warrants (each as defined in Item 4) held by the Reporting Person. Pursuant to the terms of the Share Purchase Warrants and the Pre-Funded Warrants the Issuer may not effect any exercise of either the Share Purchase Warrants or the Pre-Funded Warrants, and a holder may not exercise either the Share Purchase Warrants or the Pre-Funded Warrants, to the extent that after giving effect to such issuance after exercise, the Reporting Person would beneficially own more than 49.99% of the outstanding Ordinary Shares (the \"49.99% Beneficial Ownership Limitation\").\n\n(2) The percentage reported is based upon (i) 277,858 Ordinary Shares that may be acquired by the Reporting Person within 60 days upon the exercise of the Pre-Funded Warrants or the Share Purchase Warrants up to the 49.99% Beneficial Ownership Limitation, and (ii) 2,778,585 Ordinary Shares outstanding as of April 24, 2026, according to the Registration Statement on Form S-3 filed by the Issuer with the U.S. Securities and Exchange Commission (the \"SEC\") on April 27, 2026." }, { "accession_no": "0001213900-26-056879", "person_seq": 0, "reporting_person_cik": 1358538, "reporting_person_name": "David A. Lorber", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 245198.0, "shared_voting_power": 3378.0, "sole_dispositive_power": 245198.0, "shared_dispositive_power": 3378.0, "aggregate_amount_owned": 248576.0, "percent_of_class": 12.9, "type_of_reporting_person": "IN", "comment_content": "Based on 1,932,600 shares of common stock outstanding as of May 5, 2026 as reported by the issuer in the Form 10-Q filed with the Securities and Exchange Commission on May 5, 2026." }, { "accession_no": "0001213900-26-056968", "person_seq": 0, "reporting_person_cik": 1979907, "reporting_person_name": "Bingzhong Wang", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 3530430.0, "shared_voting_power": 3049912.0, "sole_dispositive_power": 3530430.0, "shared_dispositive_power": 3049912.0, "aggregate_amount_owned": 6580342.0, "percent_of_class": 13.6, "type_of_reporting_person": "IN", "comment_content": "Note to Rows (7) and (9): Represents (i) 2,330,430 Ordinary Shares held directly by Mr. Wang, and (ii) 1,200,000 Ordinary Shares issuable upon exercise of the PIPE Warrants held by Mr. Wang.\n\nNote to Rows (8) and (10): Represents 3,049,912 Ordinary Shares held by MetaSphere Limited, an entity wholly owned by Ms. Xisha Hu, spouse of Mr. Wang. Mr. Wang disclaims beneficial ownership of any Ordinary Shares directly or indirectly owned by MetaSphere Limited or Ms. Xisha Hu.\n\nNote to Row (13): Percentage of class is calculated based on a total of 48,313,236 Ordinary Shares, which consists of (i) 47,113,236 Ordinary Shares outstanding as of March 9, 2026, which is provided by the Issuer and (ii) 1,200,000 Ordinary Shares issuable to Mr. Wang upon the exercise of the PIPE Warrants." }, { "accession_no": "0001213900-26-056968", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Xisha Hu", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 3049912.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3049912.0, "aggregate_amount_owned": 3049912.0, "percent_of_class": 6.5, "type_of_reporting_person": "IN", "comment_content": "Note to Rows (8), (10) and (11): Represents 3,049,912 Ordinary Shares held of record by MetaSphere Limited, a company incorporated in Samoa and wholly owned by Ms. Xisha Hu.\n\nNote to Row (13): Percentage of class is calculated based on 47,113,236 Ordinary Shares outstanding as of March 9, 2026, which information was provided by the Issuer." }, { "accession_no": "0001213900-26-057118", "person_seq": 0, "reporting_person_cik": 1965761, "reporting_person_name": "Sardes Ahishay", "fund_type": "SC", "citizenship_or_org": "L3", "sole_voting_power": 1906416.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1906416.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1906416.0, "percent_of_class": 6.14, "type_of_reporting_person": "IN", "comment_content": "(1) Aggregate amount includes (i) 1,390,287 Class A Ordinary Shares issuable upon the exercise of options held by Mr. Sardes that are fully vested and (ii) 516,129 Class A Ordinary Shares issued or issuable upon the vesting of restricted shares units within 60 days of May 15, 2026. The Issuer's ordinary shares are divided into two classes. The Class A Ordinary Shares each have one vote per share. The Class B Ordinary Shares each have 10 votes per share. In addition to Class A Ordinary Shares, the Reporting Person holds 1,390,287 Class B Ordinary Shares, which represent 50% of the outstanding Class B Ordinary Shares of the Issuer. Taking into account both of the Reporting Person's Class A Ordinary Shares and Class B Ordinary Shares, the holdings of the Reporting Person represent approximately 26.9% of the Issuer's outstanding voting power, as of May 5, 2026." }, { "accession_no": "0001213900-26-057120", "person_seq": 0, "reporting_person_cik": 1965272, "reporting_person_name": "Barel Daniel", "fund_type": "SC", "citizenship_or_org": "L3", "sole_voting_power": 2251335.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2251335.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2251335.0, "percent_of_class": 7.2, "type_of_reporting_person": "IN", "comment_content": "(1) Aggregate amount includes (i) 1,390,287 Class A Ordinary Shares issuable upon the exercise of options held by Mr. Barel that are fully vested, (ii) 860,215 ordinary shares issued or issuable upon the vesting of restricted shares units within 60 days of May 1, 2026, and (iii) 833 Class A Ordinary Shares. The Issuer's ordinary shares are divided into two classes. The Class A Ordinary Shares each have one vote per share. The Class B Ordinary Shares each have 10 votes per share. In addition to Class A Ordinary Shares, the Reporting Person holds 1,390,287 Class B Ordinary Shares, which represent 50% of the outstanding Class B Ordinary Shares of the Issuer. Taking into account both of the Reporting Person's Class A Ordinary Shares and Class B Ordinary Shares, the holdings of the Reporting Person represent approximately 27.3% of the Issuer's outstanding voting power, as of May 5, 2026." }, { "accession_no": "0001213900-26-057369", "person_seq": 0, "reporting_person_cik": 2095418, "reporting_person_name": "Weichai Power Hong Kong International Development Co., Limited", "fund_type": "BK", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 34999826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34999826.0, "aggregate_amount_owned": 34999826.0, "percent_of_class": 11.61, "type_of_reporting_person": "CO", "comment_content": "The percentage of class of securities is calculated by dividing the number of Common Shares (as defined below) beneficially owned by the Reporting Persons (as defined below) by a total of 301,475,849 issued and outstanding Common Shares of the Issuer (as defined below), as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the Securities and Exchange Commission (\"SEC\") on May 5, 2026." }, { "accession_no": "0001213900-26-057369", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Weichai Power Co., Ltd.", "fund_type": "BK", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 34999826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34999826.0, "aggregate_amount_owned": 34999826.0, "percent_of_class": 11.61, "type_of_reporting_person": "CO", "comment_content": "The percentage of class of securities is calculated by dividing the number of Common Shares beneficially owned by the Reporting Persons by a total of 301,475,849 issued and outstanding Common Shares of the Issuer, as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the SEC on May 5, 2026." }, { "accession_no": "0001213900-26-057369", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Shandong Heavy Industry Group Co., Ltd.", "fund_type": "BK", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 34999826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 34999826.0, "aggregate_amount_owned": 34999826.0, "percent_of_class": 11.61, "type_of_reporting_person": "CO", "comment_content": "The percentage of class of securities is calculated by dividing the number of Common Shares beneficially owned by the Reporting Persons by a total of 301,475,849 issued and outstanding Common Shares of the Issuer, as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the SEC on May 5, 2026." }, { "accession_no": "0001213900-26-057832", "person_seq": 0, "reporting_person_cik": 1718621, "reporting_person_name": "M33 Growth I L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5002656.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5002656.0, "aggregate_amount_owned": 5002656.0, "percent_of_class": 4.94, "type_of_reporting_person": "PN", "comment_content": "(1) This Schedule 13D is filed by M33 Growth I LP (\"M33 LP\"), M33 Growth I GP LLC (\"M33 LLC\") and TOI M, LLC (\"TOI M\" and, with M33 LP, collectively, the \"Reporting Persons\"). The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D. (2) Consists of (i) 3,644,207 shares held by M33 LP and (ii) 1,358,449 shares issuable upon exercise of warrants to purchase shares of Common Stock (as defined herein) for an exercise price of $1.1980 per share (\"Warrants\") held by M33 LP. M33 LLC serves as the sole general partner of M33 LP and, as such, M33 LLC possesses voting and dispositive power over the shares held by M33 LP, and may be deemed to have indirect beneficial ownership of the shares held by M33 LP. (3) This percentage is calculated based upon 99,982,933 shares of the Issuer's (as defined herein) common stock outstanding as of April 30, 2026, as disclosed in the Quarterly Report on Form 10-Q for the quarter ended March 31, 2026 filed by the Issuer with the Securities and Exchange Commission (the \"SEC\") on May 7, 2026 and the 1,358,449 shares issuable upon exercise of the Warrants." }, { "accession_no": "0001213900-26-057832", "person_seq": 1, "reporting_person_cik": 1894303, "reporting_person_name": "M33 Growth I GP LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5002656.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5002656.0, "aggregate_amount_owned": 5002656.0, "percent_of_class": 4.94, "type_of_reporting_person": "OO", "comment_content": "(1) This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D. (2) Consists of (i) 3,644,207 shares held by M33 LP and (ii) 1,358,449 shares issuable upon exercise of Warrants held by M33 LP. M33 LLC serves as the sole general partner of M33 LP and, as such, M33 LLC possesses voting and dispositive power over the shares held by M33 LP, and may be deemed to have indirect beneficial ownership of the shares held by M33 LP. (3) This percentage is calculated based upon 99,982,933 shares of the Issuer's (as defined herein) common stock outstanding as of April 30, 2026, as disclosed in the Quarterly Report on Form 10-Q for the quarter ended March 31, 2026 filed by the Issuer with the Securities and Exchange Commission (the \"SEC\") on May 7, 2026 and the 1,358,449 shares issuable upon exercise of the Warrants." }, { "accession_no": "0001213900-26-057832", "person_seq": 2, "reporting_person_cik": 1892968, "reporting_person_name": "TOI M, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "(1) This Schedule 13D is filed by the Reporting Persons, including TOI M, LLC. Following the distribution of shares of Common Stock previously reported, TOI M, LLC no longer beneficially owns any shares of the Issuer's Common Stock." }, { "accession_no": "0001213900-26-057897", "person_seq": 0, "reporting_person_cik": 2026210, "reporting_person_name": "SIM Sponsor 1 LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 7646669.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7646669.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7646669.0, "percent_of_class": 93.2, "type_of_reporting_person": "OO", "comment_content": "1. Includes (i) 4,646,669 of the Issuer's Class B ordinary shares, par value $0.0001 per share (\"Class B Ordinary Shares\"), held by SIM Sponsor 1, LLC (the \"Sponsor\"), which is convertible into 4,646,669 of the Issuer's Class A ordinary shares, par value $0.0001 per share (\"Class A Ordinary Shares\"), and (ii) 3,000,000 Class A Ordinary Shares, which the Sponsor elected to convert from Class B Ordinary Shares previously held by the Sponsor on a one-for-one basis on May 11, 2026.\n\n2. This percentage set forth herein is calculated based on the sum of (i) 3,552,768 Class A Ordinary Shares outstanding as of May 13, 2026, as reported in the Issuer's Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission on May 13, 2026, and (ii) 4,646,669 Class A Ordinary Shares that the Reporting Persons currently have the right to acquire upon conversion of 4,646,669 Class B Ordinary Shares on a one-for-one basis, which have been added to the Class A Ordinary Shares outstanding in accordance with Rule 13d-3(d)(1)(i) under the Securities Exchange Act of 1934, as amended." }, { "accession_no": "0001213900-26-057897", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Conroy Partners LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7646669.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7646669.0, "aggregate_amount_owned": 7646669.0, "percent_of_class": 93.2, "type_of_reporting_person": "OO", "comment_content": "1. Includes (i) 4,646,669 of the Issuer's Class B ordinary shares, par value $0.0001 per share (\"Class B Ordinary Shares\"), held by SIM Sponsor 1, LLC (the \"Sponsor\"), which is convertible into 4,646,669 of the Issuer's Class A ordinary shares, par value $0.0001 per share (\"Class A Ordinary Shares\"), and (ii) 3,000,000 Class A Ordinary Shares, which the Sponsor elected to convert from Class B Ordinary Shares previously held by the Sponsor on a one-for-one basis on May 11, 2026. Conroy Partners LLC is the managing member of SIM Sponsor 1 LLC and has voting and investment discretion with respect to the securities held of record by SIM Sponsor 1 LLC.\n\n2. This percentage set forth herein is calculated based on the sum of (i) 3,552,768 Class A Ordinary Shares outstanding as of May 13, 2026, as reported in the Issuer's Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission on May 13, 2026, and (ii) 4,646,669 Class A Ordinary Shares that the Reporting Persons currently have the right to acquire upon conversion of 4,646,669 Class B Ordinary Shares on a one-for-one basis, which have been added to the Class A Ordinary Shares outstanding in accordance with Rule 13d-3(d)(1)(i) under the Securities Exchange Act of 1934, as amended." }, { "accession_no": "0001213900-26-057897", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Eric Newman", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 7646669.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7646669.0, "aggregate_amount_owned": 7646669.0, "percent_of_class": 93.2, "type_of_reporting_person": "IN", "comment_content": "1. Includes (i) 4,646,669 of the Issuer's Class B ordinary shares, par value $0.0001 per share (\"Class B Ordinary Shares\"), held by SIM Sponsor 1, LLC (the \"Sponsor\"), which is convertible into 4,646,669 of the Issuer's Class A ordinary shares, par value $0.0001 per share (\"Class A Ordinary Shares\"), and (ii) 3,000,000 Class A Ordinary Shares, which the Sponsor elected to convert from Class B Ordinary Shares previously held by the Sponsor on a one-for-one basis on May 11, 2026. Eric Newman is the managing member of Conroy Partners LLC, the managing member of SIM Sponsor 1 LLC, and has voting and investment discretion with respect to the securities held of record by SIM Sponsor 1 LLC.\n\n2. This percentage set forth herein is calculated based on the sum of (i) 3,552,768 Class A Ordinary Shares outstanding as of May 13, 2026, as reported in the Issuer's Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission on May 13, 2026, and (ii) 4,646,669 Class A Ordinary Shares that the Reporting Persons currently have the right to acquire upon conversion of 4,646,669 Class B Ordinary Shares on a one-for-one basis, which have been added to the Class A Ordinary Shares outstanding in accordance with Rule 13d-3(d)(1)(i) under the Securities Exchange Act of 1934, as amended." }, { "accession_no": "0001213900-26-057989", "person_seq": 0, "reporting_person_cik": 1297880, "reporting_person_name": "Pomeroy Scott", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2407199.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2407199.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2407199.0, "percent_of_class": 6.26, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-058455", "person_seq": 0, "reporting_person_cik": 2091853, "reporting_person_name": "Vernal One Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 2657312.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2657312.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2657312.0, "percent_of_class": 20.09, "type_of_reporting_person": "OO", "comment_content": "(1) Consists of 2,657,312 ordinary shares held by Vernal One Limited as of the date hereof, including 213,562 ordinary shares underlying 213,562 units, with each unit consisting of one ordinary share and one right to receive one-fourth (1/4) of one ordinary share upon consummation of the Issuer's initial business combination.\n\n(2) Percentage is calculated based on 13,226,250 ordinary shares issued and outstanding, including 10,000,000 shares underlying 10,000,000 outstanding units, each unit consisting of one ordinary share and one right to receive one-fourth (1/4) of one ordinary share upon consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-058455", "person_seq": 1, "reporting_person_cik": 2093446, "reporting_person_name": "Jun Du", "fund_type": "AF", "citizenship_or_org": "F4", "sole_voting_power": 2657312.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2657312.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2657312.0, "percent_of_class": 20.09, "type_of_reporting_person": "IN", "comment_content": "(1) Consists of 2,657,312 ordinary shares held by Vernal One Limited as of the date hereof, including 213,562 ordinary shares underlying 213,562 units, with each unit consisting of one ordinary share and one right to receive one-fourth (1/4) of one ordinary share upon consummation of the Issuer's initial business combination. Vernal One Limited is 100% owned by Jun Du.\n\n(2) Percentage is calculated based on 13,226,250 ordinary shares issued and outstanding, including 10,000,000 shares underlying 10,000,000 outstanding units, each unit consisting of one ordinary share and one right to receive one-fourth (1/4) of one ordinary share upon consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-058524", "person_seq": 0, "reporting_person_cik": 1869509, "reporting_person_name": "Fang Zheng", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 10614800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10614800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10614800.0, "percent_of_class": 6.5, "type_of_reporting_person": "IN", "comment_content": "(1) Represents (i) 150,000 ordinary shares, par value NIS 0.00025 per share (\"Ordinary Shares\"), of ZOOZ Strategy Ltd, an Israeli company (\"the \"Issuer\"), held by Fang Zheng, (ii) 2,219,550 Ordinary Shares held by Keyarch Global Sponsor Limited (the \"Sponsor\"), (iii) 8,000,000 Ordinary Shares held by Keywise Discovery Master Fund (\"Keywise\") and (iv) 245,250 Ordinary Shares issuable upon the exercise of private warrants of the Issuer (the \"Warrants\") held by the Sponsor. The Warrants are exercisable until May 4, 2029, and each Warrant is exercisable for one Ordinary Share at an exercise price of $11.50 per share. Mr. Zheng is the majority shareholder of the Sponsor and has sole voting and dispositive power over the shares held by Keywise, and as such, he may be deemed to be the beneficial owner of all of the securities of the Issuer held of record by the Sponsor and Keywise. Mr. Zheng disclaims any beneficial ownership of the reported securities held by the Sponsor and Keywise other than to the extent of any pecuniary interest he may have therein, directly or indirectly.\n\n(2) Percentage based on 162,022,482 outstanding Ordinary Shares as of April 10, 2026, as disclosed in the Issuer's proxy statement dated April 13, 2026, filed as Exhibit 99.2 to the Issuer's Report on Form 6-K filed with the U.S. Securities and Exchange Commission (the \"SEC\") on April 13, 2026." }, { "accession_no": "0001213900-26-058524", "person_seq": 1, "reporting_person_cik": 1865707, "reporting_person_name": "Keyarch Global Sponsor Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 2464800.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2464800.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2464800.0, "percent_of_class": 1.5, "type_of_reporting_person": "CO", "comment_content": "(1) Represents (i) 2,219,550 Ordinary Shares held by the Sponsor and (ii) 245,250 Ordinary Shares issuable upon the exercise of private Warrants held by the Sponsor. The Warrants are exercisable until May 4, 2029, and each Warrant is exercisable for one Ordinary Share at an exercise price of $11.50 per share. Mr. Zheng is the majority shareholder of the Sponsor, and as such, he could be deemed to be the beneficial owner of all of the securities of the Issuer held of record by the Sponsor. Mr. Zheng disclaims any beneficial ownership of the reported securities held by the Sponsor other than to the extent of any pecuniary interest he may have therein, directly or indirectly.\n\n(2) Percentage based on 162,022,482 outstanding Ordinary Shares as of April 10, 2026, as disclosed in the Issuer's proxy statement dated April 13, 2026, filed as Exhibit 99.2 to the Issuer's Report on Form 6-K filed with the SEC on April 13, 2026." }, { "accession_no": "0001213900-26-058524", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Keywise Discovery Master Fund", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 8000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8000000.0, "percent_of_class": 4.9, "type_of_reporting_person": "CO", "comment_content": "(1) Consists of 8,000,000 Ordinary Shares held by Keywise. Mr. Zheng has sole voting and dispositive power over the shares held by Keywise, and as such, he could be deemed to be the beneficial owner of all of the shares held of record by Keywise. Mr. Zheng disclaims any beneficial ownership of the reported securities held by the Sponsor and Keywise other than to the extent of any pecuniary interest he may have therein, directly or indirectly.\n\n(2) Percentage based on 162,022,482 outstanding Ordinary Shares as of April 10, 2026, as disclosed in the Issuer's proxy statement dated April 13, 2026, filed as Exhibit 99.2 to the Issuer's Report on Form 6-K filed with the SEC on April 13, 2026." }, { "accession_no": "0001213900-26-058684", "person_seq": 0, "reporting_person_cik": 2107195, "reporting_person_name": "Good Earth 1000, LLC", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 63421535.0, "shared_voting_power": 0.0, "sole_dispositive_power": 63421535.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 63421535.0, "percent_of_class": 10.69, "type_of_reporting_person": "OO", "comment_content": "As to Item 4 above, the shares of Common Stock held by the Reporting Person were issued as merger consideration in connection with the business combination previously disclosed in the Issuer's Current Report on Form 8-K/A filed with the Securities and Exchange Commission on January 9, 2026. As to Items 7, 9 and 11 above, the shares beneficially owned represent 63,421,535 shares of Common Stock directly beneficially owned by Good Earth 1000, LLC, including 15,840,000 shares of Common Stock pledged to Axos Bank as collateral pursuant to the Pledge Agreement described in Item 6 below. As to Item 13 above, the percentage is based on 593,349,852 shares of Common Stock outstanding, as disclosed in the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2025. As to Item 14 above, the type of reporting person is a limited liability company organized under the laws of the State of Nevada." }, { "accession_no": "0001213900-26-058684", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Nicole Garcia", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 63421535.0, "shared_voting_power": 0.0, "sole_dispositive_power": 63421535.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 63421535.0, "percent_of_class": 10.69, "type_of_reporting_person": "IN", "comment_content": "As to Item 4 above, the shares of Common Stock referenced herein were issued as merger consideration in connection with the business combination previously disclosed in the Issuer's Current Report on Form 8-K/A filed with the Securities and Exchange Commission on January 9, 2026. As to Items 7, 9 and 11 above, the shares beneficially owned represent 63,421,535 shares of Common Stock directly beneficially owned by Good Earth 1000, LLC, including 15,840,000 shares of Common Stock pledged to Axos Bank as collateral pursuant to the Pledge Agreement described in Item 6 below. Nicole Garcia may be deemed to beneficially own the shares held by Good Earth 1000, LLC because she is the Manager of Good Earth 1000, LLC and has sole voting and dispositive power over such shares, subject to the pledge arrangement described in Item 6 below. As to Item 13 above, the percentage is based on 593,349,852 shares of Common Stock outstanding, as disclosed in the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2025." }, { "accession_no": "0001213900-26-058833", "person_seq": 0, "reporting_person_cik": 2095418, "reporting_person_name": "Weichai Power Hong Kong International Development Co., Limited", "fund_type": "BK", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 31102826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 31102826.0, "aggregate_amount_owned": 31102826.0, "percent_of_class": 10.32, "type_of_reporting_person": "CO", "comment_content": "1. The percentage of class of securities is calculated by dividing the number of Common Shares (as defined below) beneficially owned by the Reporting Persons (as defined below) by a total of 301,475,849 issued and outstanding Common Shares of the Issuer (as defined below), as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the Securities and Exchange Commission (\"SEC\") on May 5, 2026." }, { "accession_no": "0001213900-26-058833", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Weichai Power Co., Ltd.", "fund_type": "BK", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 31102826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 31102826.0, "aggregate_amount_owned": 31102826.0, "percent_of_class": 10.32, "type_of_reporting_person": "CO", "comment_content": "1. The percentage of class of securities is calculated by dividing the number of Common Shares beneficially owned by the Reporting Persons by a total of 301,475,849 issued and outstanding Common Shares of the Issuer, as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the SEC on May 5, 2026." }, { "accession_no": "0001213900-26-058833", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Shandong Heavy Industry Group Co., Ltd.", "fund_type": "BK", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 31102826.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 31102826.0, "aggregate_amount_owned": 31102826.0, "percent_of_class": 10.32, "type_of_reporting_person": "CO", "comment_content": "1. The percentage of class of securities is calculated by dividing the number of Common Shares beneficially owned by the Reporting Persons by a total of 301,475,849 issued and outstanding Common Shares of the Issuer, as reported on the Issuer's First Quarter 2026 Interim Financial Statements, attached as Exhibit 99.1 to the Form 6-K filed by the Issuer with the SEC on May 5, 2026." }, { "accession_no": "0001213900-26-058986", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Cantor Fitzgerald, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6443736.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6443736.0, "aggregate_amount_owned": 6443736.0, "percent_of_class": 4.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-058986", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "CF Group Management, Inc.", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 6443736.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6443736.0, "aggregate_amount_owned": 6443736.0, "percent_of_class": 4.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-058986", "person_seq": 2, "reporting_person_cik": 1828762, "reporting_person_name": "CFAC Holdings V, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6443736.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6443736.0, "aggregate_amount_owned": 6443736.0, "percent_of_class": 4.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-058986", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Cantor Fitzgerald Securities", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-058986", "person_seq": 4, "reporting_person_cik": 2048880, "reporting_person_name": "Brandon G. Lutnick", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6443736.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6443736.0, "aggregate_amount_owned": 6443736.0, "percent_of_class": 4.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-059202", "person_seq": 0, "reporting_person_cik": 2034272, "reporting_person_name": "Cantor EP Holdings III, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "(1) Reference is made to the Business Combination Agreement (as defined below). Immediately prior to the transactions described in Item 4 of this Amendment No. 2, the Sponsor (as defined below) was the record holder of 6,900,000 Class B Ordinary Shares and 580,000 Class A Ordinary Shares (as such terms are defined below)." }, { "accession_no": "0001213900-26-059202", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Cantor Fitzgerald, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "(1) Reference is made to the Business Combination Agreement. Immediately prior to the transactions described in Item 4 of this Amendment No. 2, the Sponsor was the record holder of 6,900,000 Class B Ordinary Shares and 580,000 Class A Ordinary Shares." }, { "accession_no": "0001213900-26-059202", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "CF Group Management, Inc.", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "(1) Reference is made to the Business Combination Agreement. Immediately prior to the transactions described in Item 4 of this Amendment No. 2, the Sponsor was the record holder of 6,900,000 Class B Ordinary Shares and 580,000 Class A Ordinary Shares." }, { "accession_no": "0001213900-26-059202", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Brandon G. Lutnick", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "(1) Reference is made to the Business Combination Agreement. Immediately prior to the transactions described in Item 4 of this Amendment No. 2, the Sponsor was the record holder of 6,900,000 Class B Ordinary Shares and 580,000 Class A Ordinary Shares." }, { "accession_no": "0001213900-26-059706", "person_seq": 0, "reporting_person_cik": 2095446, "reporting_person_name": "Breeze Sponsor II, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5248919.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5248919.0, "aggregate_amount_owned": 5248919.0, "percent_of_class": 26.6, "type_of_reporting_person": "OO", "comment_content": "(1) Consists of ordinary shares of the Issuer, $0.0001 par value (\"Ordinary Shares\"). These securities are held directly by Breeze Sponsor II, LLC (the \"Sponsor\") and indirectly by J. Douglas Ramsey, who is the managing member of the Sponsor. Mr. Ramsey disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein." }, { "accession_no": "0001213900-26-059706", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "J. Douglas Ramsey", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 5248919.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5248919.0, "aggregate_amount_owned": 5248919.0, "percent_of_class": 26.6, "type_of_reporting_person": "IN", "comment_content": "(1) Consists of ordinary shares of the Issuer, $0.0001 par value (\"Ordinary Shares\"). These securities are held directly by Breeze Sponsor II, LLC (the \"Sponsor\") and indirectly by J. Douglas Ramsey, who is the managing member of the Sponsor. Mr. Ramsey disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein." }, { "accession_no": "0001213900-26-059809", "person_seq": 0, "reporting_person_cik": 2106398, "reporting_person_name": "Power Partner Capital Limited", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 10625237.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10625237.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10625237.0, "percent_of_class": 77.27, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7, 9, 11: Represents (i) 10,000,000 ordinary shares of Mega Fortune Company Limited (the \"Issuer\") directly held by Mericorn Company Limited, which is 100% owned by Power Partner Capital Limited, and (ii) 625,237 ordinary shares of the Issuer directly held by Power Partner Capital Limited; WANG Zixi is the sole shareholder of Power Partner Capital Limited.\nNote to Row 13: The percentage calculation is based on 13,750,000 ordinary shares of the Issuer outstanding as of September 30, 2025." }, { "accession_no": "0001213900-26-059809", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Mericorn Company Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 10000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10000000.0, "percent_of_class": 72.73, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7, 9, 11: Represents 10,000,000 ordinary shares of the Issuer directly held by Mericorn Company Limited, which is 100% owned by Power Partner Capital Limited; WANG Zixi is the sole shareholder of Power Partner Capital Limited.\nNote to Row 13: The percentage calculation is based on 13,750,000 ordinary shares of the Issuer outstanding as of September 30, 2025." }, { "accession_no": "0001213900-26-059809", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "WANG Zixi", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 10625237.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10625237.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10625237.0, "percent_of_class": 77.27, "type_of_reporting_person": "IN", "comment_content": "Note to Row 7, 9, 11: Represents (i) 10,000,000 ordinary shares of Mega Fortune Company Limited (the \"Issuer\") directly held by Mericorn Company Limited, which is 100% owned by Power Partner Capital Limited, and (ii) 625,237 ordinary shares of the Issuer directly held by Power Partner Capital Limited; WANG Zixi is the sole shareholder of Power Partner Capital Limited.\nNote to Row 13: The percentage calculation is based on 13,750,000 ordinary shares of the Issuer outstanding as of September 30, 2025." }, { "accession_no": "0001213900-26-059910", "person_seq": 0, "reporting_person_cik": 2094922, "reporting_person_name": "True Sage International Limited (\"True Sage\")", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 35962110.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35962110.0, "aggregate_amount_owned": 35962110.0, "percent_of_class": 45.78, "type_of_reporting_person": "CO", "comment_content": "Numbers in Rows (8), (10) & (11) represent the voting power of nil class A ordinary shares, par value of US$0.0125 per share (the \"Class A Ordinary Shares\") and 1,198,737 class B ordinary shares, par value of US$0.0125 per share (the \"Class B Ordinary Shares\"), directly held by True Sage, which is an entity controlled by Hao Feng Ng, the chairman of the board of directors of Republic Power Group Ltd (\"Republic Power\" or the \"Issuer\"). The Class B Ordinary Shares are convertible to Class A Ordinary Shares at any time on a one for one basis. Each Class A Ordinary Share is entitled to one (1) vote and each Class B Ordinary Share is entitled to thirty (30) votes.\n\nThe beneficial ownership percentage in Row (13) is calculated based on 42,595,614 Class A Ordinary Shares and 1,198,737 Class B Ordinary Shares of the Issuer issued and outstanding as of May 18, 2026." }, { "accession_no": "0001213900-26-059910", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Hao Feng Ng", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 35962110.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 35962110.0, "aggregate_amount_owned": 35962110.0, "percent_of_class": 45.78, "type_of_reporting_person": "IN", "comment_content": "Numbers in Rows (8), (10) & (11) represent the voting power of nil Class A Ordinary Shares and 1,198,737 Class B Ordinary Shares, directly held by True Sage, which is an entity controlled by Hao Feng Ng, the chairman of the board of directors of the Issuer. The Class B Ordinary Shares are convertible to Class A Ordinary Shares at any time on a one for one basis. Each Class A Ordinary Share is entitled to one (1) vote and each Class B Ordinary Share is entitled to thirty (30) votes.\n\nThe beneficial ownership percentage in Row (13) is calculated based on 42,595,614 Class A Ordinary Shares and 1,198,737 Class B Ordinary Shares of the Issuer issued and outstanding as of May 18, 2026." }, { "accession_no": "0001213900-26-060059", "person_seq": 0, "reporting_person_cik": 1905619, "reporting_person_name": "Sununion Holding Group Ltd", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 3467.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3467.0, "aggregate_amount_owned": 3467.0, "percent_of_class": 0.55, "type_of_reporting_person": "CO", "comment_content": "The amount in rows 8, 10 and 11 represents 3,467 Class A ordinary shares issuable upon the conversion of 3,467 Class B ordinary shares beneficially owned by Mr. Gang Lai through Sununion Holding Group Limited, a business company incorporated in the British Virgin Islands, which is controlled by Mr. Gang Lai.\n\nThe beneficial ownership percentage set forth in row 13 is calculated based on 631,761 Class A ordinary shares of the Issuer issued and outstanding as of the date of this filing, plus 3,467 Class A ordinary shares issuable upon the conversion of 3,467 Class B ordinary shares beneficially owned by Mr. Gang Lai through Sununion Holding Group Limited." }, { "accession_no": "0001213900-26-060059", "person_seq": 1, "reporting_person_cik": 2112995, "reporting_person_name": "Gang Lai", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 84500.0, "shared_voting_power": 3467.0, "sole_dispositive_power": 84500.0, "shared_dispositive_power": 3467.0, "aggregate_amount_owned": 87967.0, "percent_of_class": 13.58, "type_of_reporting_person": "IN", "comment_content": "The amount in rows 7 and 9 represents 71,890 Class A ordinary shares directly owned by Mr. Gang Lai and 12,610 Class A ordinary shares issuable upon the conversion of 12,610 Class B ordinary shares directly owned by Mr. Gang Lai.\n\nThe amount in rows 8 and 10 represents 3,467 Class A ordinary shares issuable upon the conversion of 3,467 Class B ordinary shares beneficially owned by Mr. Gang Lai through Sununion Holding Group Limited, a business company incorporated in the British Virgin Islands, which is controlled by Mr. Gang Lai.\n\nThe amount in row 11 represents 71,890 Class A ordinary shares directly owned by Mr. Gang Lai, 12,610 Class A ordinary shares issuable upon the conversion of 12,610 Class B ordinary shares directly owned by Mr. Gang Lai, and 3,467 Class A ordinary shares issuable upon the conversion of 3,467 Class B ordinary shares beneficially owned by Mr. Gang Lai through Sununion Holding Group Limited, a business company incorporated in the British Virgin Islands, which is controlled by Mr. Gang Lai.\n\nThe beneficial ownership percentage set forth in row 13 is calculated based on 631,761 Class A ordinary shares of the Issuer issued and outstanding as of the date of this filing, plus 16,077 Class A ordinary shares issuable upon the conversion of 16,077 Class B ordinary shares directly owned by Mr. Gang Lai and beneficially owned by Mr. Gang Lai through Sununion Holding Group Limited." }, { "accession_no": "0001213900-26-060297", "person_seq": 0, "reporting_person_cik": 2105450, "reporting_person_name": "Hong Kong Maysunshine Investment Management Co., Limited", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 450225.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 450225.0, "aggregate_amount_owned": 450225.0, "percent_of_class": 21.1, "type_of_reporting_person": "CO", "comment_content": "(1) Representing 375,225 Class A ordinary shares and 75,000 Class B ordinary shares directly held by VL Prime Capital Limited, a limited liability company incorporated in British Virgin Islands, which is owned by Spring Cow Capital Limited, a limited liability company incorporated in British Virgin Islands, as to 99% and Hong Kong Maysunshine Investment Management Co., Limited as to 1%, respectively. Spring Cow Capital Limited is owned by Ms. Wai Lau as to 99% and Hong Kong Maysunshine Investment Management Co., Limited as to 1%, respectively.\n\n(2) Calculated based on 2,137,498 ordinary shares, being the sum of 1,462,498 Class A ordinary shares and 675,000 Class B ordinary shares as a single class issued and outstanding as of April 29, 2026, according to the Issuer's report on Form 6-K filed with the Securities and Exchange Commission on April 30, 2026. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the percentage ownership." }, { "accession_no": "0001213900-26-060297", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "New Bay Development (Intel) Holding Co., Limited", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 600000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 600000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 600000.0, "percent_of_class": 28.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "New Bayarea Development Holding Co., Ltd", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 600000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 600000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 600000.0, "percent_of_class": 28.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "XJ International Holdings Co., Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 600000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 600000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 600000.0, "percent_of_class": 28.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Hope Education Investment Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 278582.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 278582.0, "percent_of_class": 13.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Maysunshine Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 278582.0, "aggregate_amount_owned": 278582.0, "percent_of_class": 13.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Maysunshine Holdings Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6715.0, "shared_dispositive_power": 278582.0, "aggregate_amount_owned": 285297.0, "percent_of_class": 13.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Cantrust Far East Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6715.0, "shared_dispositive_power": 278582.0, "aggregate_amount_owned": 285297.0, "percent_of_class": 13.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Huiwu Wang", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 1050225.0, "sole_dispositive_power": 12329.0, "shared_dispositive_power": 728807.0, "aggregate_amount_owned": 1050225.0, "percent_of_class": 49.1, "type_of_reporting_person": "IN", "comment_content": "(1) Representing (i) 375,225 Class A ordinary shares and 75,000 Class B ordinary shares directly held by VL Prime Capital Limited, a limited liability company incorporated in British Virgin Islands, which is owned by Spring Cow Capital Limited, a limited liability company incorporated in British Virgin Islands, as to 99% and Hong Kong Maysunshine Investment Management Co., Limited as to 1%, respectively. Spring Cow Capital Limited is owned by Ms. Wai Lau as to 99% and Hong Kong Maysunshine Investment Management Co., Limited as to 1%, respectively. Hong Kong Maysunshine Investment Management Co., Limited is wholly owned by Mr. Huiwu Wang, and (ii) 600,000 Class B ordinary shares directly held by New Bay Development (Intel) Holding Co., Limited. New Bay Development (Intel) Holding Co., Limited is wholly owned by New Bayarea Development Holding Co., Ltd, which is in turn wholly owned by XJ International. By virtue of Mr. Huiwu Wang's deemed interest in 4,205,588,794 ordinary shares of XJ International, representing approximately 48.49% of the issued share capital of XJ International, his positions as an executive director, chief executive officer and president of XJ International, and his ability to influence the management, policies and voting decisions of XJ International and its wholly-owned subsidiaries, Mr. Wang may be deemed to share voting power with respect to the 600,000 Class B ordinary shares of the Issuer held of record by New Bay Development (Intel) Holding Co., Limited.\n\n(2) Calculated based on 2,137,498 ordinary shares, being the sum of 1,462,498 Class A ordinary shares and 675,000 Class B ordinary shares as a single class issued and outstanding as of April 29, 2026, according to the Issuer's report on Form 6-K filed with the Securities and Exchange Commission on April 30, 2026. The Class B ordinary shares are treated as converted into Class A ordinary shares only for the purpose of calculating the percentage ownership." }, { "accession_no": "0001213900-26-060297", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Tequ Group A Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 278582.0, "aggregate_amount_owned": 278582.0, "percent_of_class": 13.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Tequ Group (Hong Kong) Company Limited", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3165.0, "shared_dispositive_power": 278582.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Shanghai Yi Zeng Enterprise Management Co., Ltd.", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3165.0, "shared_dispositive_power": 278582.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Sichuan Tequ Investment Group Limited", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3165.0, "shared_dispositive_power": 278582.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Chengdu West Hope Group Limited", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 281747.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "Sichuan Puhua Agricultural Technology Development Limited", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 281747.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "Qiang Zhang", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 281747.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 16, "reporting_person_cik": null, "reporting_person_name": "Degen Wang", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 281747.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 17, "reporting_person_cik": null, "reporting_person_name": "Yuxin Chen", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 281747.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-060297", "person_seq": 18, "reporting_person_cik": null, "reporting_person_name": "Guiqin Zhao", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 281747.0, "aggregate_amount_owned": 281747.0, "percent_of_class": 13.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-060680", "person_seq": 0, "reporting_person_cik": 1838395, "reporting_person_name": "Ocean Capital LLC", "fund_type": "WC", "citizenship_or_org": "PR", "sole_voting_power": 0.0, "shared_voting_power": 1794528.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1794528.0, "aggregate_amount_owned": 1794528.0, "percent_of_class": 6.2, "type_of_reporting_person": "OO", "comment_content": "Box 13 - The percentages used herein are based upon 28,772,928 shares of common stock outstanding, which represents the shares of common stock outstanding as of December 31, 2025, according to the Issuer's semi-annual certified shareholder report, filed with the Securities and Exchange Commission (the \"SEC\") on March 6, 2026 (the \"Shareholder Report\")." }, { "accession_no": "0001213900-26-060680", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "William Heath Hawk", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 9906.0, "shared_voting_power": 1794528.0, "sole_dispositive_power": 9906.0, "shared_dispositive_power": 1794528.0, "aggregate_amount_owned": 1804434.0, "percent_of_class": 6.2, "type_of_reporting_person": "IN", "comment_content": "Box 13 - The percentages used herein are based upon 28,772,928 shares of common stock outstanding, as disclosed in the Shareholder Report." }, { "accession_no": "0001213900-26-060681", "person_seq": 0, "reporting_person_cik": 1838395, "reporting_person_name": "Ocean Capital LLC", "fund_type": "WC", "citizenship_or_org": "PR", "sole_voting_power": 0.0, "shared_voting_power": 2016841.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2016841.0, "aggregate_amount_owned": 2016841.0, "percent_of_class": 7.4, "type_of_reporting_person": "OO", "comment_content": "Box 13 - The percentages used herein are based upon 27,070,104 shares of common stock outstanding, which represents the shares of common stock outstanding as of December 31, 2025, according to the Issuer's semi-annual certified shareholder report, filed with the Securities and Exchange Commission (the \"SEC\") on March 6, 2026 (the \"Shareholder Report\")." }, { "accession_no": "0001213900-26-060681", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "William Heath Hawk", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2016841.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2016841.0, "aggregate_amount_owned": 2016841.0, "percent_of_class": 7.4, "type_of_reporting_person": "IN", "comment_content": "Box 13 - The percentages used herein are based upon 27,070,104 shares of common stock outstanding, as disclosed in the Shareholder Report." }, { "accession_no": "0001213900-26-060707", "person_seq": 0, "reporting_person_cik": 1201333, "reporting_person_name": "SUBIN NEIL S", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 180523.0, "shared_voting_power": 3266805.0, "sole_dispositive_power": 180523.0, "shared_dispositive_power": 3266805.0, "aggregate_amount_owned": 3447328.0, "percent_of_class": 2.5, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7, 9 and 11: Includes 11,631 shares of common stock, par value $0.0001 per share (\"Common Stock\"), of NextNav Inc. (the \"Issuer\") held by Sufam Advisors Corp. (\"SAC\"), which is 100% owned by SF Nevis Investco LLC (\"Nevis\"). Mr. Subin manages Nevis. Mr. Subin disclaims any beneficial ownership of the securities owned by SAC other than to the extent of any pecuniary interest he may have therein, directly or indirectly.\n\nNote to Rows 8, 10 and 11: Represents 2,515,213 shares of Common Stock held by MILFAM Investments LLC (\"Milfam Investments\") and 250,000 warrants held by Milfam Investments that are exercisable for 250,000 shares of Common Stock (the \"Warrant Shares\"). Mr. Subin is the President and Manager of MILFAM LLC, which serves as manager of Milfam Investments, consequently, he may be deemed to share beneficial ownership of the shares of Common Stock held by Milfam Investments. Also, represents 501,592 shares of Common Stock (the \"Note Shares\"), which are convertible from 5.00% Senior Secured Convertible Notes due 2028, held by Persian Road I, LP (\"Persian Road\"). Mr. Subin manages Persian Road. Mr. Subin disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.\n\nNote to Row 13: The percentages reported in this Amendment No. 1 to Schedule 13D (this \"Amendment\") are based upon the deemed to be outstanding shares of Common Stock pursuant to Rule 13d-3(d)(1) of the Securities Exchange Act of 1934, as amended (\"Rule 13d-3(d)(1)\"), which includes (i) 136,436,939 shares of Common Stock outstanding as of May 11, 2026 (according to the Issuer's Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 14, 2026 (the \"Form 10-Q\") plus (ii) the Warrant Shares, plus (iii) the Note Shares, although the Warrant Shares and Note Shares are not deemed to be outstanding for the purpose of computing the percentage of the class owned by any other person besides Mr. Subin. Mr. Subin has ceased to be the beneficial owner of more than five percent of Common Stock and, as such, this Amendment constitutes an exit filing for Mr. Subin." }, { "accession_no": "0001213900-26-060707", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Milfam CI LLC Spartacus", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5488884.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5488884.0, "aggregate_amount_owned": 5488884.0, "percent_of_class": 3.9, "type_of_reporting_person": "OO", "comment_content": "Note to Rows 8, 10 and 11: Represents 1,948,907 shares of Common Stock held by MILFAM CI LLC SPARTACUS (\"CI Spartacus\") and 3,539,977 warrants held by CI Spartacus that are exercisable for 3,539,977 shares of Common Stock (\"CI Spartacus Warrant Shares\").\n\nNote to Row 13: The percentages reported in this Amendment are based upon the deemed to be outstanding shares of Common Stock pursuant to Rule 13d-3(d)(1), which includes (i) 136,436,939 shares of Common Stock outstanding as of May 11, 2026 (according to the Form 10-Q) plus (ii) the CI Spartacus Warrant Shares, although the CI Spartacus Warrant Shares are not deemed to be outstanding for the purpose of computing the percentage of the class owned by any other person besides CI Spartacus. CI Spartacus has ceased to be the beneficial owner of more than five percent of Common Stock and, as such, this Amendment constitutes an exit filing for CI Spartacus." }, { "accession_no": "0001213900-26-060707", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "MILFAM CI Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: MILFAM CI Management LLC (\"CI Management\") has ceased to be the beneficial owner of more than five percent of Common Stock and, as such, this Amendment constitutes an exit filing for CI Management." }, { "accession_no": "0001213900-26-061030", "person_seq": 0, "reporting_person_cik": 2079712, "reporting_person_name": "Daniel W. Morehead", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 10000.0, "shared_voting_power": 4987319.0, "sole_dispositive_power": 10000.0, "shared_dispositive_power": 4987319.0, "aggregate_amount_owned": 4997319.0, "percent_of_class": 8.4, "type_of_reporting_person": "IN", "comment_content": "Based upon 58,386,675 shares of Common Stock issued and outstanding as of May 12, 2026 as reported by the Company, adjusted to include the exercise of 1,100,000 warrants and related issuance of 1,100,000 shares." }, { "accession_no": "0001213900-26-061030", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Pantera Capital Partners LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 4987319.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4987319.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4987319.0, "percent_of_class": 8.4, "type_of_reporting_person": "IA", "comment_content": "Based upon 58,386,675 shares of Common Stock issued and outstanding as of May 12, 2026 as reported by the Company, adjusted to include the exercise of 1,100,000 warrants and related issuance of 1,100,000 shares." }, { "accession_no": "0001213900-26-061030", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Pantera Blockchain Fund LP", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4260680.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4260680.0, "aggregate_amount_owned": 4260680.0, "percent_of_class": 7.16, "type_of_reporting_person": "IC", "comment_content": "Based upon 58,386,675 shares of Common Stock issued and outstanding as of May 12, 2026 as reported by the Company, adjusted to include the exercise of 1,100,000 warrants and related issuance of 1,100,000 shares." }, { "accession_no": "0001213900-26-061030", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Pantera DAT Opportunities Master Fund SP", "fund_type": "PF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 581311.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 581311.0, "aggregate_amount_owned": 581311.0, "percent_of_class": 0.98, "type_of_reporting_person": "IC", "comment_content": "Based upon 58,386,675 shares of Common Stock issued and outstanding as of May 12, 2026 as reported by the Company, adjusted to include the exercise of 1,100,000 warrants and related issuance of 1,100,000 shares." }, { "accession_no": "0001213900-26-061030", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Pantera Liquid Token Fund LP", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 145328.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 145328.0, "aggregate_amount_owned": 145328.0, "percent_of_class": 0.24, "type_of_reporting_person": "IC", "comment_content": "Based upon 58,386,675 shares of Common Stock issued and outstanding as of May 12, 2026 as reported by the Company, adjusted to include the exercise of 1,100,000 warrants and related issuance of 1,100,000 shares." }, { "accession_no": "0001213900-26-061115", "person_seq": 0, "reporting_person_cik": 2098563, "reporting_person_name": "Burtech Sponsor II LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3789857.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3789857.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3789857.0, "percent_of_class": 30.87, "type_of_reporting_person": "OO", "comment_content": "(1) Consists of (i) 222,000 Class A ordinary shares underlying the private placement units held directly by Burtech Sponsor II LLC, a Delaware limited liability company and the sponsor of the Issuer (\"Sponsor\"), and (ii) 3,567,857 Class B ordinary shares held directly by the Sponsor, of which 514,286 Class B ordinary shares are subject to forfeiture if the underwriter does not exercise its over-allotment option in full. Shahal Khan and Roman Livson are the managing members of the Sponsor. Therefore, Mr. Khan and Mr. Livson have voting and investment power over the ordinary shares held by the Sponsor.\n\n(2) Based on 12,274,857 ordinary shares deemed to be outstanding, including (i) 8,000,000 Class A ordinary shares issued in the public offering, (ii) 3,567,857 Class B ordinary shares held the Sponsor, of which 514,286 Class B ordinary shares are subject to forfeiture if the underwriter does not exercise its over-allotment option in full, (iii) 375,000 Class B ordinary shares held by an institutional investor, (iv) 222,000 Class A ordinary shares underlying the private placement units held by the Sponsor, (v) 80,000 Class A ordinary shares held by the underwriter, and (vi) 30,000 Class A ordinary shares underlying the units held by an institutional investor, as set forth in the Issuer's final prospectus filed with the SEC on May 26, 2026 pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended." }, { "accession_no": "0001213900-26-061115", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Shahal M. Khan", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 3789857.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3789857.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3789857.0, "percent_of_class": 30.87, "type_of_reporting_person": "IN", "comment_content": "(3) Consists of (i) 222,000 Class A ordinary shares underlying the private placement units held directly by Burtech Sponsor II LLC, a Delaware limited liability company and the sponsor of the Issuer (\"Sponsor\"), and (ii) 3,567,857 Class B ordinary shares held directly by the Sponsor, of which 514,286 Class B ordinary shares are subject to forfeiture if the underwriter does not exercise its over-allotment option in full. Shahal Khan and Roman Livson are the managing members of the Sponsor. Therefore, Mr. Khan and Mr. Livson have voting and investment power over the ordinary shares held by the Sponsor.\n\n(4) Based on 12,274,857 ordinary shares deemed to be outstanding, including (i) 8,000,000 Class A ordinary shares issued in the public offering, (ii) 3,567,857 Class B ordinary shares held the Sponsor, of which 514,286 Class B ordinary shares are subject to forfeiture if the underwriter does not exercise its over-allotment option in full, (iii) 375,000 Class B ordinary shares held by an institutional investor, (iv) 222,000 Class A ordinary shares underlying the private placement units held by the Sponsor, (v) 80,000 Class A ordinary shares held by the underwriter, and (vi) 30,000 Class A ordinary shares underlying the units held by an institutional investor, as set forth in the Issuer's final prospectus filed with the SEC on May 26, 2026 pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended." }, { "accession_no": "0001213900-26-061115", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Roman Livson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 3789857.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3789857.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3789857.0, "percent_of_class": 30.87, "type_of_reporting_person": "IN", "comment_content": "(5) Consists of (i) 222,000 Class A ordinary shares underlying the private placement units held directly by Burtech Sponsor II LLC, a Delaware limited liability company and the sponsor of the Issuer (\"Sponsor\"), and (ii) 3,567,857 Class B ordinary shares held directly by the Sponsor, of which 514,286 Class B ordinary shares are subject to forfeiture if the underwriter does not exercise its over-allotment option in full. Shahal Khan and Roman Livson are the managing members of the Sponsor. Therefore, Mr. Khan and Mr. Livson have voting and investment power over the ordinary shares held by the Sponsor.\n\n(6) Based on 12,274,857 ordinary shares deemed to be outstanding, including (i) 8,000,000 Class A ordinary shares issued in the public offering, (ii) 3,567,857 Class B ordinary shares held the Sponsor, of which 514,286 Class B ordinary shares are subject to forfeiture if the underwriter does not exercise its over-allotment option in full, (iii) 375,000 Class B ordinary shares held by an institutional investor, (iv) 222,000 Class A ordinary shares underlying the private placement units held by the Sponsor, (v) 80,000 Class A ordinary shares held by the underwriter, and (vi) 30,000 Class A ordinary shares underlying the units held by an institutional investor, as set forth in the Issuer's final prospectus filed with the SEC on May 26, 2026 pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended." }, { "accession_no": "0001213900-26-061168", "person_seq": 0, "reporting_person_cik": 2106000, "reporting_person_name": "Climate Transition Special Opportunities SPAC I LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 4925000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4925000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4925000.0, "percent_of_class": 24.63, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 4,925,000 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B ordinary shares\"), which are automatically convertible into Class A ordinary shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1, as amended (File No. 333- 290458).\n\n(2) Excludes 3,500,000 Class A ordinary shares, $0.0001 par value (\"Class A ordinary shares\" and, together with the Class B ordinary shares, the \"ordinary shares\") which will be issued upon the exercise of 3,500,000 warrants included in the private placement warrants (the \"Placement Warrants\"), acquired pursuant to a Private Warrants Purchase Agreement (as defined herein)." }, { "accession_no": "0001213900-26-061168", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Robert Zulkoski", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4925000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4925000.0, "aggregate_amount_owned": 4925000.0, "percent_of_class": 24.63, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 4,925,000 of the Issuer's Class B ordinary shares, which are automatically convertible into Class A ordinary shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1, as amended (File No. 333- 290458).\n\n(2) Excludes 3,500,000 Class A ordinary shares, which will be issued upon the exercise of 3,500,000 warrants included in the Placement Warrants, acquired pursuant to a Private Warrants Purchase Agreement (as defined herein)." }, { "accession_no": "0001213900-26-061537", "person_seq": 0, "reporting_person_cik": 2069869, "reporting_person_name": "Deep Vision Enterprise Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 180460.0, "shared_voting_power": 0.0, "sole_dispositive_power": 180460.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 180460.0, "percent_of_class": 8.8, "type_of_reporting_person": "CO", "comment_content": "*Deep Vision Enterprise Limited (the \"Reporting Person\") is a business company with limited liability incorporated under the laws of the British Virgin Islands, which is wholly owned by Mr. Hoi Lung Chan, the Chief Executive Officer (\"CEO\") and Chairman of the Board of Mint Incorporation Limited (\"the Issuer\"). Mr. Chan has the sole voting and dispositive power over the 180,460 Class A ordinary shares of no par value (\"Class A Ordinary Shares\") and 474,379 Class B ordinary shares of no par value (\"Class B Ordinary Shares\") of the Issuer held by the Reporting Person. Each of the Class A Ordinary Shares has one vote per share, while each of the Class B Ordinary Shares has twenty (20) votes per share.\n\n**The calculation is based on a total of 2,051,277 Class A Ordinary Shares issued and outstanding as of the date hereof, as reported in the Issuer's shareholder list obtained from the Company's transfer agent." }, { "accession_no": "0001213900-26-061537", "person_seq": 1, "reporting_person_cik": 2124609, "reporting_person_name": "Hoi Lung Chan", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 180460.0, "shared_voting_power": 0.0, "sole_dispositive_power": 180460.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 180460.0, "percent_of_class": 8.8, "type_of_reporting_person": "IN", "comment_content": "*Deep Vision Enterprise Limited is a business company with limited liability incorporated under the laws of the British Virgin Islands, which is wholly owned by Mr. Hoi Lung Chan (the \"Reporting Person\"), the CEO and Chairman of the Board of the Issuer. Mr. Chan has the sole voting and dispositive power over the 180,460 Class A Ordinary Shares and 474,379 Class B Ordinary Shares of the Issuer held by Deep Vision Enterprise Limited. Each of the Class A Ordinary Shares has one vote per share, while each of the Class B Ordinary Shares has twenty (20) votes per share.\n\n**The calculation is based on a total of 2,051,277 Class A Ordinary Shares issued and outstanding as of the date hereof, as reported in the Issuer's shareholder list obtained from the Company's transfer agent." }, { "accession_no": "0001213900-26-061563", "person_seq": 0, "reporting_person_cik": 1464790, "reporting_person_name": "BRC Group Holdings, Inc.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 100010.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 100010.0, "aggregate_amount_owned": 100010.0, "percent_of_class": 0.97, "type_of_reporting_person": "HC", "comment_content": "Percent of class is calculated based on 10,276,279 shares of common stock, par value $0.01 (the \"Common Stock\"), of TransAct Technologies, Inc. (the \"Issuer\") outstanding as of April 30, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") on May 13, 2026 (the \"10-Q\")." }, { "accession_no": "0001213900-26-061563", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "BRF Investments, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Percent of class is calculated based on 10,276,279 shares of Common Stock of the Issuer outstanding as of April 30, 2026, as reported by the Issuer in the 10-Q." }, { "accession_no": "0001213900-26-061563", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "B. Riley Securities, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 100010.0, "shared_voting_power": 0.0, "sole_dispositive_power": 100010.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 100010.0, "percent_of_class": 0.97, "type_of_reporting_person": "BD", "comment_content": "Percent of class is calculated based on 10,276,279 shares of Common Stock of the Issuer outstanding as of April 30, 2026, as reported by the Issuer in the 10-Q." }, { "accession_no": "0001213900-26-061563", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Bryant R. Riley", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 100010.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 100010.0, "aggregate_amount_owned": 100010.0, "percent_of_class": 0.97, "type_of_reporting_person": "IN", "comment_content": "Percent of class is calculated based on 10,276,279 shares of Common Stock of the Issuer outstanding as of April 30, 2026, as reported by the Issuer in the 10-Q." }, { "accession_no": "0001213900-26-061797", "person_seq": 0, "reporting_person_cik": 1321269, "reporting_person_name": "Dustin Shindo", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2656000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2656000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2656000.0, "percent_of_class": 4.1, "type_of_reporting_person": "IN", "comment_content": "(1) The figures in Rows 7, 9, and 11 include 120,000 Class A ordinary shares issuable upon the exercise of private placement warrants to purchase 120,000 Class A ordinary shares at an exercise price of $11.50 per share.\n\n(2) The percentage in Row 13 is calculated based on 64,478,397 Class A ordinary shares issued and outstanding. This figure is derived from (i) 45,263,348 shares disclosed in the Issuer's Form 10-Q filed on April 14, 2026, (ii) 9,254,889 shares issued in a subsequent offering, as disclosed in the Issuer's Form 8-K filed on May 11, 2026, and (iii) 9,960,160 shares (or share equivalents) issued in a subsequent offering, as disclosed in the Issuer's Form 8-K filed on May 27, 2026." }, { "accession_no": "0001213900-26-062253", "person_seq": 0, "reporting_person_cik": 2078938, "reporting_person_name": "American Ventures LLC, Series VII USDAE", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "OO", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062253", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "American Ventures LLC, Series XLVI DTCX", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "OO", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062253", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "American Ventures Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "OO", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062253", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "American Ventures IM LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "OO", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062253", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Dominari Securities LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "BD", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062253", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Dominari Holdings Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "CO", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062253", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Eric Newman", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "IN", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062253", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Kyle Michael Wool", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "IN", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062253", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Anthony Hayes", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 12627674.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12627674.0, "aggregate_amount_owned": 12627674.0, "percent_of_class": 4.99, "type_of_reporting_person": "IN", "comment_content": "American Ventures LLC, Series VII USDAE, directly owns 8,450 Series D Convertible Preferred Stock, convertible into 8,450,000 shares of the Issuer's common stock. American Ventures LLC, Series XLVI DTCX directly owns 4,075,000 pre-funded warrants, exercisable into 4,075,000 shares of the Issuer's common stock. Dominari Securities LLC directly owns 102,674 warrants, exercisable into 102,674 shares of the Issuer's common stock. The Series D Convertible Preferred Stock has no voting rights. Further, the Series D Convertible Preferred Stock, the pre-funded warrants and the warrants each contain provisions that prohibit conversion or exercise to the extent that, after giving effect to such conversion or exercise, that holder and its affiliates would beneficially own more than 4.99% of the Issuer's outstanding common stock as calculated in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the \"Beneficial Ownership Limitation\"). Accordingly, the shares reported in Rows 8, 10, and 11 represent the maximum number of shares that may be beneficially owned without violating such limitation.\n\nThe Reporting Persons currently do not beneficially own any shares of the Issuer's common stock for purposes of Rule 13d-3. Accordingly, each Reporting Person disclaims beneficial ownership of any shares of common stock issuable upon conversion or exercise of the securities described herein to the extent that such conversion or exercise would cause such Reporting Person to exceed the Beneficial Ownership Limitation.\n\nThe percent of class represented by the amount in Row 13 is based on 38,873,626 shares of the Issuer's common stock issued and outstanding as of May 14, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026, plus 12,627,674 shares of common stock, which is the maximum number of shares of common stock that may be acquired by the Reporting Persons upon conversion or exercise of their securities without exceeding the Beneficial Ownership Limitation." }, { "accession_no": "0001213900-26-062378", "person_seq": 0, "reporting_person_cik": 1935476, "reporting_person_name": "Yuping Huang", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 23302068.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23302068.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23302068.0, "percent_of_class": 10.33, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-062386", "person_seq": 0, "reporting_person_cik": 1881259, "reporting_person_name": "Oxus Capital PTE. LTD.", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 13772119.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13772119.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13772119.0, "percent_of_class": 39.09, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 5,302,477 common shares, par value $0.0001 per share (\"Common Shares\"), of Borealis Foods Inc. (the \"Issuer\") and 8,469,642 Common Shares underlying private placement warrants (the \"Private Warrants\") which are each exercisable to purchase a Common Share at $11.50 per share, held directly by Oxus Capital PTE. LTD. (\"Oxus Capital\") and indirectly beneficially owned by Kenges Rakishev, who is the controlling shareholder of Oxus Capital. As a result, Mr. Rakishev may be deemed to have beneficial ownership of the securities directly held by Oxus Capital. Mr. Rakishev disclaims any beneficial ownership of the shares held by Oxus Capital, except to the extent of his pecuniary interest therein.\n\nThe Common Shares issuable to Oxus Capital upon automatic conversion of the Indebtedness pursuant to the Conversion Agreement are not included in the beneficial ownership figures reported herein. As of the date of this Amendment, the actual number of Conversion Shares issuable upon conversion cannot be determined because the conversion price is equal to the volume weighted average closing price of the Common Shares on the Nasdaq Stock Market for the twenty (20) consecutive trading days ending on and including the trading day immediately preceding the Equity Raise Deadline, as reported by Bloomberg L.P., which price has not yet been determined. The Reporting Persons will amend this Schedule 13D as required to reflect the final number of Conversion Shares that will be issued upon conversion following the definitive calculation of the conversion price.\n\n(2) Based on the sum of 21,463,306 Common Shares outstanding, as reported by the Issuer in its Current Report on Form 10-Q filed on November 19, 2025 and 8,469,642 Common Shares underlying the Private Warrants." }, { "accession_no": "0001213900-26-062386", "person_seq": 1, "reporting_person_cik": 1548375, "reporting_person_name": "Kenges Rakishev", "fund_type": "OO", "citizenship_or_org": "1P", "sole_voting_power": 13772119.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13772119.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13772119.0, "percent_of_class": 39.09, "type_of_reporting_person": "IN", "comment_content": "(1) Represents 13,772,119 Common Shares of the Issuer and 8,469,642 Common Shares underlying the Private Warrants held directly by Oxus Capital and indirectly beneficially owned by Kenges Rakishev, who is the controlling shareholder of Oxus Capital. As a result, Mr. Rakishev may be deemed to have beneficial ownership of the securities directly held by Oxus Capital. Mr. Rakishev disclaims any beneficial ownership of the shares held by Oxus Capital, except to the extent of his pecuniary interest therein.\n\nThe Common Shares issuable to Oxus Capital upon automatic conversion of the Indebtedness pursuant to the Conversion Agreement are not included in the beneficial ownership figures reported herein. As of the date of this Amendment, the actual number of Conversion Shares issuable upon conversion cannot be determined because the conversion price is equal to the volume weighted average closing price of the Common Shares on the Nasdaq Stock Market for the twenty (20) consecutive trading days ending on and including the trading day immediately preceding the Equity Raise Deadline, as reported by Bloomberg L.P., which price has not yet been determined. The Reporting Persons will amend this Schedule 13D as required to reflect the final number of Conversion Shares that will be issued upon conversion following the definitive calculation of the conversion price.\n\n(2) Based on the sum of 21,463,306 Common Shares outstanding, as reported by the Issuer in its Current Report on Form 10-Q filed on November 19, 2025 and 8,469,642 Common Shares underlying the Private Warrants." }, { "accession_no": "0001213900-26-062596", "person_seq": 0, "reporting_person_cik": 1916062, "reporting_person_name": "Pallinghurst Graphite International Limited", "fund_type": "WC", "citizenship_or_org": "Y7", "sole_voting_power": 749715.0, "shared_voting_power": 5618907.0, "sole_dispositive_power": 749715.0, "shared_dispositive_power": 5618907.0, "aggregate_amount_owned": 6368622.0, "percent_of_class": 1.94, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001213900-26-062596", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Pallinghurst Bond Limited", "fund_type": "WC", "citizenship_or_org": "Y7", "sole_voting_power": 13026348.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13026348.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13026348.0, "percent_of_class": 3.88, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-062790", "person_seq": 0, "reporting_person_cik": 1849192, "reporting_person_name": "Moringa Sponsor, LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 1382346.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1382346.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1382346.0, "percent_of_class": 32.99, "type_of_reporting_person": "PN", "comment_content": "The number reported in rows 7, 9, and 11 consists of (i) 6,970 ordinary shares, (ii) 372 ordinary shares underlying warrants, (iii) 450,000 ordinary shares that Silexion Therapeutics Corp (the \"Issuer\") reported as issued on September 15, 2025, upon conversion by the Issuer of an aggregate of $1.8 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, and (iv) 925,004 ordinary shares that the Issuer reported as issued on May 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024. The Reporting Person expressly disputes the validity of the issuance of the 450,000 ordinary shares and 925,004 ordinary shares reported herein and does not concede beneficial ownership of such shares. The figures in (i) and (ii) reflect a 1-for-9 reverse share split of the Issuer's issued and outstanding ordinary shares on November 27, 2024, and a 1-for-15 reverse share split of the Issuer's issued and outstanding ordinary shares on July 28, 2025.\n\nThe percentage reported in row 13 has been calculated based on 4,189,954 ordinary shares of the Issuer outstanding, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026 filed by the Issuer with the SEC on May 15, 2026, as adjusted to include the 372 ordinary shares underlying the warrants held by the Reporting Person as outstanding, in accordance with the SEC's beneficial ownership rules." }, { "accession_no": "0001213900-26-062790", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Moringa Partners Ltd", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 1382346.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1382346.0, "aggregate_amount_owned": 1382346.0, "percent_of_class": 32.99, "type_of_reporting_person": "CO", "comment_content": "The number reported in rows 8, 10, and 11 consists of (A) (i) 6,970 ordinary shares, (ii) 372 ordinary shares underlying warrants, (iii) 450,000 ordinary shares that Silexion Therapeutics Corp (the \"Issuer\") reported as issued on September 15, 2025, upon conversion by the Issuer of an aggregate of $1.8 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, all of which are held by Moringa Sponsor, LP, and (iv) 925,004 ordinary shares that the Issuer reported as issued on May 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024 all of which are held by Moringa Sponsor, LP., and (B) 1,482 ordinary shares held by Greenstar, L.P. Moringa Sponsor, LP expressly disputes the validity of the issuance of the 450,000 ordinary shares and 925,004 ordinary shares reported herein and does not concede beneficial ownership of such shares. The figures in (A)(i), (A)(ii) and (B) reflect a 1-for-9 reverse share split of the Issuer's issued and outstanding ordinary shares on November 27, 2024, and a 1-for-15 reverse share split of the Issuer's issued and outstanding ordinary shares on July 28, 2025. The Reporting Person serves as the sole general partner of each of Moringa Sponsor, LP and Greenstar, L.P.\n\nThe percentage reported in row 13 has been calculated based on 4,189,954 ordinary shares of the Issuer outstanding, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026filed by the Issuer with the SEC on May 15, 2026, as adjusted to include the 372 ordinary shares underlying the warrants held by Moringa Sponsor, LP as outstanding, in accordance with the SEC's beneficial ownership rules." }, { "accession_no": "0001213900-26-062790", "person_seq": 2, "reporting_person_cik": 1849189, "reporting_person_name": "Ilan Levin", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 1382346.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1382346.0, "aggregate_amount_owned": 1382346.0, "percent_of_class": 32.99, "type_of_reporting_person": "IN", "comment_content": "The number reported in rows 8, 10, and 11 consists of (A) (i) 6,970 ordinary shares, (ii) 372 ordinary shares underlying warrants, (iii) 450,000 ordinary shares that Silexion Therapeutics Corp (the \"Issuer\") reported as issued on September 15, 2025, upon conversion by the Issuer of an aggregate of $1.8 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, all of which are held by Moringa Sponsor, LP, and (iv) 925,004 ordinary shares that the Issuer reported as issued on May 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024 all of which are held by Moringa Sponsor, LP. and (B) 1,482 ordinary shares held by Greenstar, L.P. Moringa Sponsor, LP expressly disputes the validity of the issuance of the 450,000 ordinary shares and 925,004 ordinary shares reported herein and does not concede beneficial ownership of such shares. The figures in (A)(i), (A)(ii) and (B) reflect a 1-for-9 reverse share split of the Issuer's issued and outstanding ordinary shares on November 27, 2024, and a 1-for-15 reverse share split of the Issuer's issued and outstanding ordinary shares on July 28, 2025.\n\nThe Reporting Person owns all of the equity interests, and serve as the sole director, of Moringa Partners Ltd., the sole general partner of each of Moringa Sponsor, LP and Greenstar, L.P., which hold the ordinary shares reported herein, and therefore possesses shared voting and investment authority with respect to those shares.\n\nThe percentage reported in row 13 has been calculated based on 4,189,954 ordinary shares of the Issuer outstanding, as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2026 filed by the Issuer with the SEC on May 15, 2026, as adjusted to include the 372 ordinary shares underlying the warrants held by Moringa Sponsor, LP as outstanding, in accordance with the SEC's beneficial ownership rules." }, { "accession_no": "0001213900-26-063064", "person_seq": 0, "reporting_person_cik": 2132999, "reporting_person_name": "Keren Maimon", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 1336868.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1336868.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1336868.0, "percent_of_class": 12.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-063065", "person_seq": 0, "reporting_person_cik": 2126416, "reporting_person_name": "Ron Sade", "fund_type": "OO", "citizenship_or_org": "S1", "sole_voting_power": 1340646.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1340646.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1340646.0, "percent_of_class": 12.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-063632", "person_seq": 0, "reporting_person_cik": 2137461, "reporting_person_name": "Melker Schorling AB", "fund_type": "OO", "citizenship_or_org": "V7", "sole_voting_power": 0.0, "shared_voting_power": 58433144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58433144.0, "aggregate_amount_owned": 58433144.0, "percent_of_class": 21.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-063632", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Melker Schorling Tjanste AB", "fund_type": "OO", "citizenship_or_org": "V7", "sole_voting_power": 0.0, "shared_voting_power": 58433144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58433144.0, "aggregate_amount_owned": 58433144.0, "percent_of_class": 21.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-063632", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "MASCH Aktiebolag", "fund_type": "OO", "citizenship_or_org": "V7", "sole_voting_power": 0.0, "shared_voting_power": 58433144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58433144.0, "aggregate_amount_owned": 58433144.0, "percent_of_class": 21.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-063632", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Sohold AB", "fund_type": "OO", "citizenship_or_org": "V7", "sole_voting_power": 0.0, "shared_voting_power": 58433144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58433144.0, "aggregate_amount_owned": 58433144.0, "percent_of_class": 21.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-063632", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Marta Schorling Andreen", "fund_type": "OO", "citizenship_or_org": "V7", "sole_voting_power": 0.0, "shared_voting_power": 58433144.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 58433144.0, "aggregate_amount_owned": 58433144.0, "percent_of_class": 21.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-063632", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Sofia Schorling Hogberg", "fund_type": "OO", "citizenship_or_org": "V7", "sole_voting_power": 1050.0, "shared_voting_power": 58433144.0, "sole_dispositive_power": 1050.0, "shared_dispositive_power": 58433144.0, "aggregate_amount_owned": 58434194.0, "percent_of_class": 21.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-063717", "person_seq": 0, "reporting_person_cik": 2098935, "reporting_person_name": "Aperture Sponsor LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3995603.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3995603.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3995603.0, "percent_of_class": 27.1, "type_of_reporting_person": "OO", "comment_content": "Includes (i) 3,772,603 of the Issuer's (as defined below) Class B ordinary shares, $0.0001 par value, which are automatically convertible into the Issuer's Class A ordinary shares, $0.0001 par value, at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333- 291583) and (ii) 223,000 Class A ordinary shares underlying units (each unit consisting of one Class A ordinary share of the Issuer and one right to receive one-fourth (1/4) of a Class A ordinary share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Purchase Agreement (as defined below) by and between Aperture Sponsor LLC and the Issuer. Excludes 55,750 Class A ordinary shares which will be issued upon the conversion of 223,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-063717", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Calvin Kung", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3995603.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3995603.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3995603.0, "percent_of_class": 27.1, "type_of_reporting_person": "IN", "comment_content": "Includes (i) 3,772,603 of the Issuer's (as defined below) Class B ordinary shares, $0.0001 par value, which are automatically convertible into the Issuer's Class A ordinary shares, $0.0001 par value, at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333- 291583) and (ii) 223,000 Class A ordinary shares underlying units (each unit consisting of one Class A ordinary share of the Issuer and one right to receive one-fourth (1/4) of a Class A ordinary share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Purchase Agreement (as defined below) by and between Aperture Sponsor LLC and the Issuer. Excludes 55,750 Class A ordinary shares which will be issued upon the conversion of 223,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-063741", "person_seq": 0, "reporting_person_cik": 2132957, "reporting_person_name": "Andreas Raptopoulos", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 8062927.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8062927.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8062927.0, "percent_of_class": 16.1, "type_of_reporting_person": "IN", "comment_content": "Comments to Items 7, 9 and 11: Consists of (i) 5,928,335 shares of common stock of the Issuer (the \"Common Stock\"), held directly by Andreas Raptopoulos, and (ii) 2,134,592 shares of Common Stock issuable pursuant to stock options exercisable within 60 days of May 22, 2026 pursuant to the Issuer's pre-Merger 2011 Equity Incentive Plan (the \"2011 Plan\").\n\nComments to Item 13: The calculation is based on dividing (i) the aggregate number of shares of Common Stock beneficially owned by the Reporting Person as set forth in Row 11 by (ii) the sum of (a) 47,968,776 shares of Common Stock reported by the Issuer to be outstanding as of May 22, 2026 and (b) 2,134,592 shares of Common Stock issuable to the Reporting Person pursuant to stock options exercisable within 60 days of May 22, 2026." }, { "accession_no": "0001213900-26-064352", "person_seq": 0, "reporting_person_cik": 1982476, "reporting_person_name": "Braeden Lichti", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "On June 2, 2026, Mr. Lichti sold all of his previously owned shares of the Issuer's common stock and no longer beneficially owns any shares of common stock of the Issuer. Accordingly, this filing is the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Person." }, { "accession_no": "0001213900-26-064352", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Northstrive Fund II LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Braeden Lichti is, as of the date of this Schedule 13D, the Manager of Northstrive Fund II LP (\"Northstrive Fund\"). On June 2, 2026, Northstrive Fund sold all of its previously owned shares of the Issuer's common stock and no longer beneficially owns any shares of common stock of the Issuer. Accordingly, this filing is the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Persons." }, { "accession_no": "0001213900-26-064363", "person_seq": 0, "reporting_person_cik": 2099270, "reporting_person_name": "NorthStrive Fund II LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Braeden Lichti is, as of the date of this Schedule 13D, the Manager of Northstrive Fund II LP (\"Northstrive Fund\"). On June 2, 2026, Northstrive Fund sold all of its previously owned shares of the Issuer's common stock and no longer beneficially owns any shares of common stock of the Issuer. Accordingly, this filing is the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Persons." }, { "accession_no": "0001213900-26-064363", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Braeden Lichti", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "On June 2, 2026, Mr. Lichti sold all of his previously owned shares of the Issuer's common stock and no longer beneficially owns any shares of common stock of the Issuer. Accordingly, this filing is the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Person." }, { "accession_no": "0001213900-26-064472", "person_seq": 0, "reporting_person_cik": 1658783, "reporting_person_name": "Fu Liu", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 100952695.0, "shared_voting_power": 0.0, "sole_dispositive_power": 100952695.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 100952695.0, "percent_of_class": 48.9, "type_of_reporting_person": "IN", "comment_content": "(1) Numbers in Rows (7), (9), and (11) represent voting power of 952,695 Class A ordinary shares, with no par value, of Datasea Intelligent Technology Ltd. (the \"Company\" or the \"Issuer\") (the \"Class A Ordinary Shares\") and 2,000,000 Class B ordinary shares, with no par value, of the Company (the \"Class B Ordinary Shares\")[HL2.1]. The Class B Ordinary Shares are convertible to Class A Ordinary Shares at any time on a one for one basis. Each Class A Ordinary Share is entitled to one (1) vote and each Class B Ordinary Share is entitled to fifty (50) votes.\n(2) The beneficial ownership percentage in Row (13) is calculated based upon an aggregate of 6,447,153 Class A Ordinary Shares and 4,000,000 Class B Ordinary Shares issued and outstanding as of June 1, 2026, as provided by the Issuer. This calculation does not include the exercise or conversion of other outstanding securities of the Company owned by other security holders." }, { "accession_no": "0001213900-26-064473", "person_seq": 0, "reporting_person_cik": 1658786, "reporting_person_name": "Zhixin Liu", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 101283274.0, "shared_voting_power": 0.0, "sole_dispositive_power": 101283274.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 101283274.0, "percent_of_class": 49.06, "type_of_reporting_person": "IN", "comment_content": "(1) Numbers in Rows (7), (9), and (11) represent voting power of 1,283,274 Class A ordinary shares, with no par value, of Datasea Intelligent Technology Ltd. (the \"Company\" or the \"Issuer\") (the \"Class A Ordinary Shares\") and 2,000,000 Class B ordinary shares, with no par value, of the Company (the \"Class B Ordinary Shares\"). The Class B Ordinary Shares are convertible to Class A Ordinary Shares at any time on a one for one basis. Each Class A Ordinary Share is entitled to one (1) vote and each Class B Ordinary Share is entitled to fifty (50) votes.\n\n(2) The beneficial ownership percentage in Row (13) is calculated based upon an aggregate of 6,447,153 Class A Ordinary Shares and 4,000,000 Class B Ordinary Shares issued and outstanding as of June 1, 2026, as provided by the Issuer. This calculation does not include the exercise or conversion of other outstanding securities of the Company owned by other security holders." }, { "accession_no": "0001213900-26-064484", "person_seq": 0, "reporting_person_cik": 2133217, "reporting_person_name": "Psyence Labs Ltd.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 1146159.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1146159.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1146159.0, "percent_of_class": 30.05, "type_of_reporting_person": "CO", "comment_content": "(1) Percentage based on 3,814,328 outstanding Common Shares as of June 1, 2026, as reported by the Issuer directly to the Reporting Person." }, { "accession_no": "0001213900-26-064715", "person_seq": 0, "reporting_person_cik": 2003447, "reporting_person_name": "Graydon Bensler", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 450287.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 450287.0, "aggregate_amount_owned": 450287.0, "percent_of_class": 7.4, "type_of_reporting_person": "IN", "comment_content": "Row 4: GB Capital Ltd. used working capital for consideration of common stock held in the Issuer prior to the filing of this Schedule 13D. The Issuer has undergone multiple reverse stock splits, and the Common Stock beneficially owned and reported in this Schedule 13D reflects amounts on a post-split basis. The options granted to GB Capital Ltd., an entity wholly owned by Mr. Bensler, on June 1, 2026 were partial consideration for consultant services provided to the Issuer through GB Capital Ltd. Such options are reported in Mr. Bensler's Form 4 filed with the SEC on June 3, 2026.\n\nRows 8, 10, and 11: Includes (i) 2 shares of common stock, par value $0.0001 per share (\"Common Stock\") underlying options previously granted to Mr. Bensler, held by GB Capital Ltd., a company wholly owned by Mr. Bensler, (ii) 8 shares of Common Stock held by GB Capital Ltd., and (iii) 450,277 shares of Common Stock underlying options granted to GB Capital Ltd. on June 1, 2026.\n\nRow 13: Calculated based on 5,631,282 shares of Common Stock of the Issuer issued and outstanding on June 1, 2026." }, { "accession_no": "0001213900-26-064715", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "GB Capital Ltd.", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 450287.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 450287.0, "aggregate_amount_owned": 450287.0, "percent_of_class": 7.4, "type_of_reporting_person": "CO", "comment_content": "Graydon Bensler is, as of the date of this Schedule 13D, the Director and sole owner of GB Capital Ltd.\n\nRow 4: GB Capital Ltd. used working capital for consideration of common stock held in the Issuer prior to the filing of this Schedule 13D. The Issuer has undergone multiple reverse stock splits, and the Common Stock beneficially owned and reported in this Schedule 13D reflects amounts on a post-split basis. The options granted to GB Capital Ltd., an entity wholly owned by Mr. Bensler, on June 1, 2026 were partial consideration for consultant services provided to the Issuer through GB Capital Ltd. Such options are reported in Mr. Bensler's Form 4 filed with the SEC on June 3, 2026.\n\nRows 8, 10, and 11: Includes (i) 2 shares of Common Stock underlying options previously granted to Mr. Bensler, held by GB Capital Ltd., a company wholly owned by Mr. Bensler, (ii) 8 shares of Common Stock held by GB Capital Ltd., and (iii) 450,277 shares of Common Stock underlying options granted to GB Capital Ltd. on June 1, 2026.\n\nRow 13: Calculated based on 5,631,282 shares of Common Stock of the Issuer issued and outstanding on June 1, 2026." }, { "accession_no": "0001213900-26-064716", "person_seq": 0, "reporting_person_cik": 1982476, "reporting_person_name": "Braeden Lichti", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 450313.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 450313.0, "aggregate_amount_owned": 450313.0, "percent_of_class": 7.4, "type_of_reporting_person": "IN", "comment_content": "Row 4: Mr. Lichti used personal funds for consideration of common stock previously reported in the Schedule 13D. The Issuer underwent multiple reverse stock splits since the filing of the Schedule 13D, and the beneficially owned amounts of shares reported in this Amendment No. 2 reflect amounts on a post-split basis. The options granted to Northstrive Companies Inc., an entity wholly owned by Mr. Lichti, on June 1, 2026 were partial consideration for consultant services provided to the Issuer through Northstrive Companies Inc. Such options are reported in Mr. Lichti's Form 4 filed with the SEC on June 2, 2026.\n\nRows 8, 10, and 11: Includes (i) 2 shares of common stock, par value $0.0001 per share (\"Common Stock\") underlying options previously granted to Mr. Lichti, held by Northstrive Companies Inc., a company wholly owned by Mr. Lichti, (ii) 2 shares of Common Stock underlying warrants previously issued to Mr. Lichti and held by BWL Investments Ltd, an entity owned by Mr. Lichti, (iii) 32 shares of Common Stock held by Northstrive Companies Inc., and (iv) 450,277 shares of Common Stock underlying options granted to Northstrive Companies Inc. on June 1, 2026.\n\nRow 13: Calculated based on 5,631,282 shares of Common Stock of the Issuer issued and outstanding on June 1, 2026." }, { "accession_no": "0001213900-26-064716", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Northstrive Companies Inc.", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 450311.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 450311.0, "aggregate_amount_owned": 450311.0, "percent_of_class": 7.4, "type_of_reporting_person": "CO", "comment_content": "Braeden Lichti is, as of the date of this Schedule 13D, the Chief Executive Officer and sole owner of Northstrive Companies Inc.\n\nRow 4: Mr. Lichti used personal funds for consideration of Common Stock previously reported in the Schedule 13D, which Common Stock were previously held by other entities of Mr. Lichti, and were later assigned to Northstrive Companies Inc. The Issuer underwent multiple reverse stock splits since the filing of the Schedule 13D, and the beneficially owned amounts of shares reported in this Amendment No. 2 reflect amounts on a post-split basis. The options granted to Northstrive Companies Inc. on June 1, 2026 were partial consideration for consultant services provided to the Issuer through Northstrive Companies Inc. Such options are reported in Mr. Lichti's Form 4 filed with the SEC on June 2, 2026.\n\nRows 8, 10, and 11: Includes (i) 2 shares of Common Stock underlying options previously granted to Mr. Lichti, held by Northstrive Companies Inc., a company wholly owned by Mr. Lichti, (ii) 2 shares of Common Stock underlying warrants previously issued to Mr. Lichti and held by BWL Investments Ltd, an entity owned by Mr. Lichti, (iii) (iii) 32 shares of Common Stock held by Northstrive Companies Inc., and (iv) 450,277 shares of Common Stock underlying options granted to Northstrive Companies Inc. on June 1, 2026.\n\nRow 13: Calculated based on 5,631,282 shares of Common Stock of the Issuer issued and outstanding on June 1, 2026." }, { "accession_no": "0001213900-26-065295", "person_seq": 0, "reporting_person_cik": 2137925, "reporting_person_name": "A.C.N. 664 400 382 Pty Ltd (\"ACN 664\")", "fund_type": "WC", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 1672478.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1672478.0, "aggregate_amount_owned": 1672478.0, "percent_of_class": 8.4, "type_of_reporting_person": "OO", "comment_content": "(1) See Item 3.\n(2) See Items 2 and 5.\n(3) See Item 5." }, { "accession_no": "0001213900-26-065295", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Whitehaven Coal Holdings Pty Ltd", "fund_type": "WC", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 1672478.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1672478.0, "aggregate_amount_owned": 1672478.0, "percent_of_class": 8.4, "type_of_reporting_person": "OO", "comment_content": "(1) See Item 3.\n(2) See Items 2 and 5.\n(3) See Item 5." }, { "accession_no": "0001213900-26-065295", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Whitehaven Coal Limited", "fund_type": "WC", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 1672478.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1672478.0, "aggregate_amount_owned": 1672478.0, "percent_of_class": 8.4, "type_of_reporting_person": "OO", "comment_content": "(1) See Item 3.\n(2) See Items 2 and 5.\n(3) See Item 5." }, { "accession_no": "0001213900-26-065310", "person_seq": 0, "reporting_person_cik": 1506251, "reporting_person_name": "Citius Pharmaceuticals, Inc.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 66049615.0, "shared_voting_power": 0.0, "sole_dispositive_power": 66049615.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 66049615.0, "percent_of_class": 71.0, "type_of_reporting_person": "CO", "comment_content": "CO" }, { "accession_no": "0001213900-26-065438", "person_seq": 0, "reporting_person_cik": 1930869, "reporting_person_name": "BBFIT INVESTMENTS PTE LTD", "fund_type": "WC", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 9175101.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9175101.0, "aggregate_amount_owned": 9175101.0, "percent_of_class": 11.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-065438", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "THE BB FAMILY INTERNATIONAL TRUST", "fund_type": "AF", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 9175201.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9175201.0, "aggregate_amount_owned": 9175201.0, "percent_of_class": 11.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-065438", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BBRC INTERNATIONAL PTE LTD", "fund_type": "AF", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 9175201.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9175201.0, "aggregate_amount_owned": 9175201.0, "percent_of_class": 11.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-065438", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "BRETT BLUNDY", "fund_type": "AF", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 9175201.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9175201.0, "aggregate_amount_owned": 9175201.0, "percent_of_class": 11.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-065887", "person_seq": 0, "reporting_person_cik": 2011948, "reporting_person_name": "Energy Science Artist Holding Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 642043.0, "shared_voting_power": 0.0, "sole_dispositive_power": 642043.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 642043.0, "percent_of_class": 100.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-065887", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Longwin Global Limited", "fund_type": "OO", "citizenship_or_org": "T2", "sole_voting_power": 642043.0, "shared_voting_power": 0.0, "sole_dispositive_power": 642043.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 642043.0, "percent_of_class": 100.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-065887", "person_seq": 2, "reporting_person_cik": 2138840, "reporting_person_name": "To Ma", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 642043.0, "shared_voting_power": 0.0, "sole_dispositive_power": 642043.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 642043.0, "percent_of_class": 100.0, "type_of_reporting_person": "IN", "comment_content": "For box 7, 9 and 11: Represents 642,043 Class B ordinary shares held by Energy Science Artist Holding Limited. For box 13: Represents 100% class B ordinary shares" }, { "accession_no": "0001213900-26-066002", "person_seq": 0, "reporting_person_cik": 2009969, "reporting_person_name": "Wing Fung Alfred Siu", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 113771.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 113771.0, "aggregate_amount_owned": 113771.0, "percent_of_class": 2.8, "type_of_reporting_person": "IN", "comment_content": "(1) Consists of 56,881 Class B ordinary shares held by Wing Fung Alfred Siu and 56,890 Class B ordinary shares held by Mr. Siu's spouse, Hei Yue Tina Fong, as of June 4, 2026. Mr. Siu and Ms. Fong share voting and dispositive power with respect to such shares.\n\n(2) Percentage is calculated based on 3,912,518 Class A ordinary shares and 113,771 Class B ordinary shares issued and outstanding as of June 4, 2026." }, { "accession_no": "0001213900-26-066002", "person_seq": 1, "reporting_person_cik": 2009968, "reporting_person_name": "Hei Yue Tina Fong", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 113771.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 113771.0, "aggregate_amount_owned": 113771.0, "percent_of_class": 2.8, "type_of_reporting_person": "IN", "comment_content": "(1) Consists of 56,881Class B ordinary shares held by Wing Fung Alfred Siu and 56,890 Class B ordinary shares held by Mr. Siu's spouse, Hei Yue Tina Fong, as of June 4, 2026. Mr. Siu and Ms. Fong share voting and dispositive power with respect to such shares.\n\n(2) Percentage is calculated based on 3,912,518 Class A ordinary shares and 113,771 Class B ordinary shares issued and outstanding as of June 4, 2026." }, { "accession_no": "0001213900-26-066438", "person_seq": 0, "reporting_person_cik": 2130785, "reporting_person_name": "Tribeca Strategic Partners Holdco LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4916667.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4916667.0, "aggregate_amount_owned": 4916667.0, "percent_of_class": 25.6, "type_of_reporting_person": "OO", "comment_content": "Includes (i) 4,586,667 of the Issuer's (as defined below) Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\"), which are automatically convertible into the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\"), at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-291431) and (ii) 330,000 Class A Ordinary Shares underlying units (each unit consisting of one Class A Ordinary Share and one right to receive one tenth (1/10) of a Class A Ordinary Share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Purchase Agreement (as defined below) by and between Tribeca Strategic Partners Holdco LLC and the Issuer. Excludes 33,000 Class A Ordinary Shares which would be issued upon the conversion of 330,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-066438", "person_seq": 1, "reporting_person_cik": 2094906, "reporting_person_name": "Tribeca Strategic Partners LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4916667.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4916667.0, "aggregate_amount_owned": 4916667.0, "percent_of_class": 25.6, "type_of_reporting_person": "OO", "comment_content": "Includes (i) 4,586,667 of Class B Ordinary Shares which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities-- Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-291431) and (ii) 330,000 Class A Ordinary Shares underlying units (each unit consisting of one Class A Ordinary Share and one right to receive one tenth (1/10) of a Class A Ordinary Share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Purchase Agreement (as defined below) by and between Tribeca Strategic Partners Holdco LLC and the Issuer. Excludes 33,000 Class A Ordinary Shares which will be issued upon the conversion of 330,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-066438", "person_seq": 2, "reporting_person_cik": 1962363, "reporting_person_name": "Timothy R. Ramdeen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4916667.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4916667.0, "aggregate_amount_owned": 4916667.0, "percent_of_class": 25.6, "type_of_reporting_person": "IN", "comment_content": "Includes (i) 4,586,667 of Class B Ordinary Shares which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-291431) and (ii) 330,000 Class A Ordinary Shares underlying units (each unit consisting of one Class A Ordinary Share and one right to receive one tenth (1/10) of a Class A Ordinary Share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Purchase Agreement by and between Tribeca Strategic Partners Holdco LLC and the Issuer. Excludes 33,000 Class A Ordinary Shares which would be issued upon the conversion of 330,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-066438", "person_seq": 3, "reporting_person_cik": 2094927, "reporting_person_name": "Sukhvinder Gill", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 4916667.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4916667.0, "aggregate_amount_owned": 4916667.0, "percent_of_class": 25.6, "type_of_reporting_person": "IN", "comment_content": "Includes (i) 4,586,667 of Class B Ordinary Shares which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-291431) and (ii) 330,000 Class A Ordinary Shares underlying units (each unit consisting of one Class A Ordinary Share and one right to receive one tenth (1/10) of a Class A Ordinary Share upon the consummation of the Issuer's initial business combination), acquired pursuant to a Unit Purchase Agreement by and between Tribeca Strategic Partners Holdco LLC and the Issuer. Excludes 33,000 Class A Ordinary Shares which would be issued upon the conversion of 330,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-066827", "person_seq": 0, "reporting_person_cik": 2098563, "reporting_person_name": "Burtech Sponsor II LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3275571.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3275571.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3275571.0, "percent_of_class": 27.85, "type_of_reporting_person": "OO", "comment_content": "(1) Consists of (i) 222,000 Class A ordinary shares underlying the private placement units held directly by Burtech Sponsor II LLC, a Delaware limited liability company and the sponsor of the Issuer (\"Sponsor\"), and (ii) 3,053,571 Class B ordinary shares held directly by the Sponsor, after the surrender of 514,286 Class B ordinary because the underwriter did not exercise its over-allotment option. Shahal Khan and Roman Livson are the managing members of the Sponsor. Therefore, Mr. Khan and Mr. Livson have voting and investment power over the ordinary shares held by the Sponsor.\n\n(2) Based on 11,760,571 ordinary shares deemed to be outstanding, including (i) 8,000,000 Class A ordinary shares issued in the public offering, (ii) 3,053,571 Class B ordinary shares held the Sponsor, after the surrender of 514,286 Class B ordinary shares because the underwriter did not exercise its over-allotment option, (iii) 375,000 Class B ordinary shares held by an institutional investor, (iv) 222,000 Class A ordinary shares underlying the private placement units held by the Sponsor, (v) 80,000 Class A ordinary shares held by the underwriter, and (vi) 30,000 Class A ordinary shares underlying the units held by an institutional investor, as set forth in the Issuer's final prospectus filed with the SEC on May 26, 2026 pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended." }, { "accession_no": "0001213900-26-066827", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Shahal M. Khan", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 3275571.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3275571.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3275571.0, "percent_of_class": 27.85, "type_of_reporting_person": "IN", "comment_content": "(3) Consists of (i) 222,000 Class A ordinary shares underlying the private placement units held directly by Burtech Sponsor II LLC, a Delaware limited liability company and the sponsor of the Issuer (\"Sponsor\"), and (ii) 3,053,571 Class B ordinary shares held directly by the Sponsor, after the surrender of 514,286 Class B ordinary shares because the underwriter did not exercise its over-allotment option. Shahal Khan and Roman Livson are the managing members of the Sponsor. Therefore, Mr. Khan and Mr. Livson have voting and investment power over the ordinary shares held by the Sponsor.\n\n(4) Based on 11,760,571 ordinary shares deemed to be outstanding, including (i) 8,000,000 Class A ordinary shares issued in the public offering, (ii) 3,053,571 Class B ordinary shares held the Sponsor, after the surrender of 514,286 Class B ordinary shares because the underwriter did not exercise its over-allotment option in full, (iii) 375,000 Class B ordinary shares held by an institutional investor, (iv) 222,000 Class A ordinary shares underlying the private placement units held by the Sponsor, (v) 80,000 Class A ordinary shares held by the underwriter, and (vi) 30,000 Class A ordinary shares underlying the units held by an institutional investor, as set forth in the Issuer's final prospectus filed with the SEC on May 26, 2026 pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended." }, { "accession_no": "0001213900-26-066827", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Roman Livson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 3275571.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3275571.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3275571.0, "percent_of_class": 27.85, "type_of_reporting_person": "IN", "comment_content": "(5) Consists of (i) 222,000 Class A ordinary shares underlying the private placement units held directly by Burtech Sponsor II LLC, a Delaware limited liability company and the sponsor of the Issuer (\"Sponsor\"), and (ii) 3,053,571 Class B ordinary shares held directly by the Sponsor, after the surrender 514,286 Class B ordinary shares because the underwriter did not exercise its over-allotment option. Shahal Khan and Roman Livson are the managing members of the Sponsor. Therefore, Mr. Khan and Mr. Livson have voting and investment power over the ordinary shares held by the Sponsor.\n\n(6) Based on 11,760,571 ordinary shares deemed to be outstanding, including (i) 8,000,000 Class A ordinary shares issued in the public offering, (ii) 3,053,571 Class B ordinary shares held the Sponsor, after the surrender of 514,286 Class B ordinary shares because the underwriter did not exercise its over-allotment option, (iii) 375,000 Class B ordinary shares held by an institutional investor, (iv) 222,000 Class A ordinary shares underlying the private placement units held by the Sponsor, (v) 80,000 Class A ordinary shares held by the underwriter, and (vi) 30,000 Class A ordinary shares underlying the units held by an institutional investor, as set forth in the Issuer's final prospectus filed with the SEC on May 26, 2026 pursuant to Rule 424(b)(4) of the Securities Act of 1933, as amended." }, { "accession_no": "0001213900-26-066922", "person_seq": 0, "reporting_person_cik": 1432602, "reporting_person_name": "Harry L. You", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 4522347.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4522347.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4522347.0, "percent_of_class": 38.52, "type_of_reporting_person": "IN", "comment_content": "Note to Row 7, 9, and 11:\nIncludes (i) 650,120 shares of Class A common stock, par value $0.0001 per share (\"Class A Common Stock\"), of Rain Enhancement Technologies Holdco, Inc. (the \"Issuer\") held directly by Mr. You, (ii) 237,956 shares of Class A Common Stock held by RHY Irrevocable Trust (the \"Trust\"), (iii) 564,375 shares of Class A Common Stock held by Berto LLC (\"Berto\"), a limited liability company of which Mr. You is the sole member, (iv) 1,612,903 shares of Class A Common Stock held by RHY Management, LLC (\"RHY Management\"), a limited liability company of which Mr. You is the sole member, (v) 23,101 shares of the Issuer's Class B common stock, par value $0.0001 per share (\"Class B Common Stock\") held by the Trust, and (v) 1,433,892 shares of Class A Common Stock issuable upon the cash exercise of vested options held by Mr. You. Mr. You is the settlor and investment officer of the Trust, and his son is the beneficiary of the Trust. Accordingly, Mr. You may be deemed to have a pecuniary interest in the securities held by the Trust. Mr. You disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. The Class B Common Stock is convertible into shares of Class A Common Stock as described in Exhibit 4.5 \"Description of Holdco's Securities\" to the Issuer's Annual Report on Form 10-K filed with the SEC on April 15, 2026, and has no expiration date.\n\nNote to Row 13:\nBased on 10,283,984 shares of Class A Common Stock outstanding as of June 5, 2026 according to the Current Report on Form 8-K filed by the Issuer on June 9, 2026. In computing the number of shares beneficially owned by a person and the percentage ownership of that person, all shares subject to options held by such person were deemed outstanding if such options are currently vested or will vest within 60 days of the date of this report. These shares were not deemed outstanding, however, for the purpose of computing the percentage ownership of any other person." }, { "accession_no": "0001213900-26-067514", "person_seq": 0, "reporting_person_cik": 1930214, "reporting_person_name": "Vivo Opportunity Fund Holdings, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 718444.0, "shared_voting_power": 0.0, "sole_dispositive_power": 718444.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 718444.0, "percent_of_class": 21.7, "type_of_reporting_person": "PN", "comment_content": "The number represents common shares, no par value per share (the \"Common Shares\") of InMed Pharmaceuticals, Inc. (the \"Issuer\"), which are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P.\n\nThe percentage is based on 3,314,063 Common Shares of the Issuer outstanding as of May 4, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the Securities and Exchange Commission (the \"SEC\") on May 6, 2026." }, { "accession_no": "0001213900-26-067514", "person_seq": 1, "reporting_person_cik": 1728970, "reporting_person_name": "Vivo Opportunity, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 718444.0, "shared_voting_power": 0.0, "sole_dispositive_power": 718444.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 718444.0, "percent_of_class": 21.7, "type_of_reporting_person": "OO", "comment_content": "The number represents Common Shares of the Issuer, which are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P.\n\nThe percentage is based on 3,314,063 Common Shares of the Issuer outstanding as of May 4, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 6, 2026." }, { "accession_no": "0001213900-26-067514", "person_seq": 2, "reporting_person_cik": 1875722, "reporting_person_name": "Vivo Opportunity Cayman Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 72535.0, "shared_voting_power": 0.0, "sole_dispositive_power": 72535.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 72535.0, "percent_of_class": 2.2, "type_of_reporting_person": "PN", "comment_content": "The number represents Common Shares of the Issuer, which are held of record by Vivo Opportunity Cayman Fund, L.P. Vivo Opportunity Cayman, LLC is the general partner of Vivo Opportunity Cayman Fund, L.P.\n\nThe percentage is based on 3,314,063 Common Shares of the Issuer outstanding as of May 4, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 6, 2026." }, { "accession_no": "0001213900-26-067514", "person_seq": 3, "reporting_person_cik": 1930113, "reporting_person_name": "Vivo Opportunity Cayman, LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 72535.0, "shared_voting_power": 0.0, "sole_dispositive_power": 72535.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 72535.0, "percent_of_class": 2.2, "type_of_reporting_person": "OO", "comment_content": "The number represents Common Shares of the Issuer, which are held of record by Vivo Opportunity Cayman Fund, L.P. Vivo Opportunity Cayman, LLC is the general partner of Vivo Opportunity Cayman Fund, L.P.\n\nThe percentage is based on 3,314,063 Common Shares of the Issuer outstanding as of May 4, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 6, 2026." }, { "accession_no": "0001213900-26-068354", "person_seq": 0, "reporting_person_cik": 2140170, "reporting_person_name": "JAB Acquisition Sponsor I, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 10442143.0, "shared_voting_power": 0.0, "sole_dispositive_power": 10442143.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10442143.0, "percent_of_class": 36.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-068423", "person_seq": 0, "reporting_person_cik": 1491714, "reporting_person_name": "Sprott Eric", "fund_type": "AF", "citizenship_or_org": "Z4", "sole_voting_power": 193104.0, "shared_voting_power": 47817532.0, "sole_dispositive_power": 193104.0, "shared_dispositive_power": 47817532.0, "aggregate_amount_owned": 48010636.0, "percent_of_class": 14.33, "type_of_reporting_person": "IN", "comment_content": "1 Includes (i)44,864,696 Common Shares of Americas Gold & Silver Corp (the \"Issuer\") held of record by Sprott Mining Inc. (\"Sprott Mining\"), a wholly-owned subsidiary of 2176423 Ontario Ltd. (\"2176423 Ontario\"), (ii) 2,952,836 Common Shares of the Issuer held of record by 2176423 Ontario. Eric Sprott controls 2176423 Ontario and has the power to direct the voting and disposition of Common Shares held by the entity through his ownership interests in 2176423 Ontario. Eric Sprott controls Sprott Mining and has the power to direct the voting and disposition of Common Shares held by the entity through his ownership interests in 2176423 Ontario.\n\n2 The percentage set forth in Row 13 of this Cover Page is calculated based on 334,890,295 Common Shares outstanding (the \"Common Shares Outstanding\"), as communicated by the Issuer to the reporting person on June 10, 2026." }, { "accession_no": "0001213900-26-068423", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "2176423 Ontario Ltd.", "fund_type": "AF", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 47817532.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 47817532.0, "aggregate_amount_owned": 47817532.0, "percent_of_class": 14.28, "type_of_reporting_person": "CO", "comment_content": "3 Includes 44,864,696 Common Shares of the Issuer held of record by Sprott Mining, a wholly-owned subsidiary of 2176423 Ontario.\n\n4 The percentage set forth in Row 13 of this Cover Page is calculated based on the Common Shares Outstanding, as communicated by the Issuer to the reporting person on June 10, 2026." }, { "accession_no": "0001213900-26-068423", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Sprott Mining Inc.", "fund_type": "WC", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 44864696.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 44864696.0, "aggregate_amount_owned": 44864696.0, "percent_of_class": 13.4, "type_of_reporting_person": "CO", "comment_content": "5 The percentage set forth in Row 13 of this Cover Page is calculated based on the Common Shares Outstanding, as communicated by the Issuer to the reporting person on June 10, 2026." }, { "accession_no": "0001213900-26-068497", "person_seq": 0, "reporting_person_cik": 2105175, "reporting_person_name": "InterPrivate Acquisition Management V LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 5396250.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5396250.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5396250.0, "percent_of_class": 21.0, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 365,000 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 5,031,250 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Ordinary Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-295323). The 365,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one redeemable warrant), acquired pursuant to a Private Placement Units Purchase Agreement by and between InterPrivate Acquisition Management V LLC (the \"Sponsor\") and the Issuer.\n\n(2) Excludes 121,667 Class A Ordinary Shares which are issuable upon the exercise of 121,667 warrants included in the private placement units." }, { "accession_no": "0001213900-26-068497", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "IPAM (M) V LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 5396250.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5396250.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5396250.0, "percent_of_class": 21.0, "type_of_reporting_person": "OO", "comment_content": "Comment for Type of Reporting Person:\n\n(1) Includes 365,000 of the Issuer's Class A Ordinary Shares and 5,031,250 of the Issuer's Class B Ordinary Shares, which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Ordinary Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-295323). The 365,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one redeemable warrant), acquired pursuant to a Private Placement Units Purchase Agreement by and between the Sponsor and the Issuer.\n\n(2) The Sponsor is the record holder of the shares reported herein. Mr. Fattouh controls the sole managing member of the Sponsor, IPAM (M) V LLC. Consequently, Mr. Fattouh may be deemed to share voting and dispositive control over the founder shares held by the Sponsor, and thus to share beneficial ownership of such securities. Mr. Fattouh disclaims any beneficial ownership of any securities held by the Sponsor except to the extent of his pecuniary interest therein.\n\n(3) Excludes 121,667 Class A Ordinary Shares which are issuable upon the exercise of 121,667 warrants included in the private placement units." }, { "accession_no": "0001213900-26-068497", "person_seq": 2, "reporting_person_cik": 1801366, "reporting_person_name": "Ahmed Fattouh", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5396250.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5396250.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5396250.0, "percent_of_class": 21.0, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 365,000 of the Issuer's Class A Ordinary Shares and 5,031,250 of the Issuer's Class B Ordinary Shares, which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Ordinary Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-295323). The 365,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-third of one redeemable warrant), acquired pursuant to a Private Placement Units Purchase Agreement by and between the Sponsor and the Issuer.\n\n(2) The Sponsor is the record holder of the shares reported herein. Mr. Fattouh controls the sole managing member of the Sponsor, IPAM (M) V LLC. Consequently, Mr. Fattouh may be deemed to share voting and dispositive control over the founder shares held by the Sponsor, and thus to share beneficial ownership of such securities. Mr. Fattouh disclaims any beneficial ownership of any securities held by the Sponsor except to the extent of his pecuniary interest therein.\n\n(3) Excludes 121,667 Class A Ordinary Shares which are issuable upon the exercise of 121,667 warrants included in the private placement units." }, { "accession_no": "0001213900-26-068526", "person_seq": 0, "reporting_person_cik": 2120815, "reporting_person_name": "Eva Yuk Yin Siu", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "(1) Ms. Eva Yuk Yin Siu, the chairlady of the Board, Chief Executive Officer, and a Director of the Company, owns the entire issued share capital of Asset Empire International Limited. Asset Empire International Limited, a company incorporated in the BVI with limited liability, holds 87.71% of the issued shares of Splendid Vibe Limited. Splendid Vibe Limited, a company incorporated in the BVI with limited liability, owns the entire issued share capital of Ample Excellence Limited and Neo-Concept (BVI) Limited.\n\n(2) Percentage is calculated based on 2,289253 Class A ordinary shares and 75,000 Class B ordinary shares issued and outstanding as of 29 May 2026." }, { "accession_no": "0001213900-26-068526", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Asset Empire International Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "(1) Ms. Eva Yuk Yin Siu, the chairlady of the Board, Chief Executive Officer, and a Director of the Company, owns the entire issued share capital of Asset Empire International Limited. Asset Empire International Limited, a company incorporated in the BVI with limited liability, holds 87.71% of the issued shares of Splendid Vibe Limited. Splendid Vibe Limited, a company incorporated in the BVI with limited liability, owns the entire issued share capital of Ample Excellence Limited and Neo-Concept (BVI) Limited.\n\n(2) Percentage is calculated based on 2,289253 Class A ordinary shares and 75,000 Class B ordinary shares issued and outstanding as of 29 May 2026." }, { "accession_no": "0001213900-26-068526", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Splendid Vibe Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "(1) Ms. Eva Yuk Yin Siu, the chairlady of the Board, Chief Executive Officer, and a Director of the Company, owns the entire issued share capital of Asset Empire International Limited. Asset Empire International Limited, a company incorporated in the BVI with limited liability, holds 87.71% of the issued shares of Splendid Vibe Limited. Splendid Vibe Limited, a company incorporated in the BVI with limited liability, owns the entire issued share capital of Ample Excellence Limited and Neo-Concept (BVI) Limited.\n\n(3) Percentage is calculated based on 2,289253 Class A ordinary shares and 75,000 Class B ordinary shares issued and outstanding as of 29 May 2026" }, { "accession_no": "0001213900-26-068526", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Neo-concept (BVI) Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "(1) Neo-Concept (BVI) Limited, a company incorporated in the BVI with limited liability, ceased to own any share in the Company since 29 May 2026.\n\n(2) Percentage is calculated based on 2,289253 Class A ordinary shares and 75,000 Class B ordinary shares issued and outstanding as of 29 May 2026" }, { "accession_no": "0001213900-26-068526", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Ample Excellence Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "(1) Ample Excellence Limited, a company incorporated in the BVI with limited liability ceased to own any share in the Company since 29 May 2026.\n\n(2) Percentage is calculated based on 2,289253 Class A ordinary shares and 75,000 Class B ordinary shares issued and outstanding as of 29 May 2026" }, { "accession_no": "0001213900-26-069088", "person_seq": 0, "reporting_person_cik": 2140692, "reporting_person_name": "Jakhongir Abidovich Artikkhodjaev", "fund_type": "PF", "citizenship_or_org": "2K", "sole_voting_power": 3000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3000000.0, "percent_of_class": 74.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-069232", "person_seq": 0, "reporting_person_cik": 2126182, "reporting_person_name": "Daniel Masters", "fund_type": "PF", "citizenship_or_org": "X0", "sole_voting_power": 21610244.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21610244.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 21610244.0, "percent_of_class": 16.4, "type_of_reporting_person": "IN", "comment_content": "(1) Reported ownership consists entirely of ordinary shares, no par value, (the \"Ordinary Shares\") of the Issuer, which were acquired in connection with the Business Combination (as defined in the Initial Schedule 13D).\n\n (2) Reported ownership excludes 3,282,660 Ordinary Shares issuable to the Reporting Person upon the exercise of 13 European-style call options held by the Reporting Person pursuant to the Master Securities Loan Agreement described under Item 4 of the Initial Schedule 13D. None of the options are exercisable within 60 days of the date hereof.\n\n (3) Percentage ownership is based on an aggregate of 131,780,209 Ordinary Shares outstanding as of May 14, 2026, as reported by the Issuer on its registration statement on Form F-1 filed with the U.S. Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001213900-26-069446", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "OBS Family, LLC", "fund_type": "OO", "citizenship_or_org": "NC", "sole_voting_power": 3007784.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3007784.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3007784.0, "percent_of_class": 9.5, "type_of_reporting_person": "OO", "comment_content": "Row 7 includes (i) 2,171,250 shares of Sonic Automotive, Inc.'s Class A Common Stock that can be acquired, upon the election of the reporting person, through the conversion of 2,171,250 shares of Sonic Automotive, Inc.'s Class B Common Stock owned directly by the reporting person, and (ii) 836,534 shares of Sonic Automotive, Inc.'s Class A Common Stock owned directly by the reporting person.\n\nThe percentage in Row 13 is calculated based upon (i) 19,574,728 total outstanding shares of Sonic Automotive, Inc.'s Class A Common Stock, par value $0.01 per share, as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026 and (ii) 12,029,375 shares of Sonic Automotive, Inc.'s Class A Common Stock issuable upon conversion of the total outstanding shares of Sonic Automotive, Inc.'s Class B Common Stock as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026." }, { "accession_no": "0001213900-26-069446", "person_seq": 1, "reporting_person_cik": 1049980, "reporting_person_name": "Sonic Financial Corporation", "fund_type": "WC", "citizenship_or_org": "NC", "sole_voting_power": 9858125.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9858125.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9858125.0, "percent_of_class": 31.2, "type_of_reporting_person": "CO", "comment_content": "Row 7 includes 9,858,125 shares of Sonic Automotive, Inc.'s Class A Common Stock that can be acquired, upon the election of the reporting person, through the conversion of 9,858,125 shares of Sonic Automotive, Inc.'s Class B Common Stock owned directly by the reporting person.\n\nThe percentage in Row 13 is calculated based upon (i) 19,574,728 total outstanding shares of Sonic Automotive, Inc.'s Class A Common Stock, par value $0.01 per share, as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026 and (ii) 12,029,375 shares of Sonic Automotive, Inc.'s Class A Common Stock issuable upon conversion of the total outstanding shares of Sonic Automotive, Inc.'s Class B Common Stock as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026." }, { "accession_no": "0001213900-26-069446", "person_seq": 2, "reporting_person_cik": 1049982, "reporting_person_name": "B. Scott Smith", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 349279.0, "shared_voting_power": 12865909.0, "sole_dispositive_power": 349279.0, "shared_dispositive_power": 12865909.0, "aggregate_amount_owned": 13215188.0, "percent_of_class": 41.8, "type_of_reporting_person": "IN", "comment_content": "Row 7 includes 349,279 shares of Sonic Automotive, Inc.'s Class A Common Stock owned directly by the reporting person.\n\nRow 8 includes (i) 9,858,125 shares of Sonic Automotive, Inc.'s Class A Common Stock that can be acquired, upon the election of Sonic Financial Corporation, through the conversion of 9,858,125 shares of Sonic Automotive, Inc.'s Class B Common Stock owned indirectly by the reporting person (and directly by Sonic Financial Corporation), (ii) 836,534 shares of Sonic Automotive, Inc.'s Class A Common Stock owned indirectly by the reporting person (and directly by OBS Family, LLC), and (iii) 2,171,250 shares of Sonic Automotive, Inc.'s Class A Common Stock that can be acquired, upon the election of OBS Family, LLC, through the conversion of 2,171,250 shares of Sonic Automotive, Inc.'s Class B Common Stock owned indirectly by the reporting person (and directly by OBS Family, LLC).\n\nThe percentage in Row 13 is calculated based upon (i) 19,574,728 total outstanding shares of Sonic Automotive, Inc.'s Class A Common Stock, par value $0.01 per share, as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026 and (ii) 12,029,375 shares of Sonic Automotive, Inc.'s Class A Common Stock issuable upon conversion of the total outstanding shares of Sonic Automotive, Inc.'s Class B Common Stock as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026." }, { "accession_no": "0001213900-26-069446", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "David Bruton Smith", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 499994.0, "shared_voting_power": 12865909.0, "sole_dispositive_power": 499994.0, "shared_dispositive_power": 12865909.0, "aggregate_amount_owned": 13365903.0, "percent_of_class": 42.3, "type_of_reporting_person": "IN", "comment_content": "Row 7 includes 499,994 shares of Sonic Automotive, Inc.'s Class A Common Stock owned directly by the reporting person.\n\nRow 8 includes (i) 9,858,125 shares of Sonic Automotive, Inc.'s Class A Common Stock that can be acquired, upon the election of Sonic Financial Corporation, through the conversion of 9,858,125 shares of Sonic Automotive, Inc.'s Class B Common Stock owned indirectly by the reporting person (and directly by Sonic Financial Corporation), (ii) 836,534 shares of Sonic Automotive, Inc.'s Class A Common Stock owned indirectly by the reporting person (and directly by OBS Family, LLC), and (iii) 2,171,250 shares of Sonic Automotive, Inc.'s Class A Common Stock that can be acquired, upon the election of OBS Family, LLC, through the conversion of 2,171,250 shares of Sonic Automotive, Inc.'s Class B Common Stock owned indirectly by the reporting person (and directly by OBS Family, LLC).\n\nThe percentage in Row 13 is calculated based upon (i) 19,574,728 total outstanding shares of Sonic Automotive, Inc.'s Class A Common Stock, par value $0.01 per share, as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026 and (ii) 12,029,375 shares of Sonic Automotive, Inc.'s Class A Common Stock issuable upon conversion of the total outstanding shares of Sonic Automotive, Inc.'s Class B Common Stock as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026." }, { "accession_no": "0001213900-26-069446", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Marcus G. Smith", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 51943.0, "shared_voting_power": 12865909.0, "sole_dispositive_power": 51943.0, "shared_dispositive_power": 12865909.0, "aggregate_amount_owned": 12917852.0, "percent_of_class": 40.9, "type_of_reporting_person": "IN", "comment_content": "Row 7 includes 51,943 shares of Sonic Automotive, Inc.'s Class A Common Stock owned directly by the reporting person.\n\nRow 8 includes (i) 9,858,125 shares of Sonic Automotive, Inc.'s Class A Common Stock that can be acquired, upon the election of Sonic Financial Corporation, through the conversion of 9,858,125 shares of Sonic Automotive, Inc.'s Class B Common Stock owned indirectly by the reporting person (and directly by Sonic Financial Corporation), (ii) 836,534 shares of Sonic Automotive, Inc.'s Class A Common Stock owned indirectly by the reporting person (and directly by OBS Family, LLC), and (iii) 2,171,250 shares of Sonic Automotive, Inc.'s Class A Common Stock that can be acquired, upon the election of OBS Family, LLC, through the conversion of 2,171,250 shares of Sonic Automotive, Inc.'s Class B Common Stock owned indirectly by the reporting person (and directly by OBS Family, LLC).\n\nThe percentage in Row 13 is calculated based upon (i) 19,574,728 total outstanding shares of Sonic Automotive, Inc.'s Class A Common Stock, par value $0.01 per share, as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026 and (ii) 12,029,375 shares of Sonic Automotive, Inc.'s Class A Common Stock issuable upon conversion of the total outstanding shares of Sonic Automotive, Inc.'s Class B Common Stock as of April 28, 2026, as set forth in the Issuer's Form 10-Q (Q1) filed with the SEC on April 30, 2026." }, { "accession_no": "0001213900-26-069783", "person_seq": 0, "reporting_person_cik": 1176309, "reporting_person_name": "Oramed Pharmaceuticals Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 15079708.0, "shared_voting_power": 0.0, "sole_dispositive_power": 15079708.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15079708.0, "percent_of_class": 7.2, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-070190", "person_seq": 0, "reporting_person_cik": 2090260, "reporting_person_name": "Cantor EP Holdings VII, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6850000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6850000.0, "aggregate_amount_owned": 6850000.0, "percent_of_class": 21.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-070190", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Cantor Fitzgerald, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6850000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6850000.0, "aggregate_amount_owned": 6850000.0, "percent_of_class": 21.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-070190", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "CF Group Management, Inc.", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 6850000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6850000.0, "aggregate_amount_owned": 6850000.0, "percent_of_class": 21.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-070190", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Brandon G. Lutnick", "fund_type": "AF", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 6850000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6850000.0, "aggregate_amount_owned": 6850000.0, "percent_of_class": 21.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-070610", "person_seq": 0, "reporting_person_cik": 2115435, "reporting_person_name": "Cosmic Vision Innovations Ltd", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 2847453.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2847453.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2847453.0, "percent_of_class": 4.56, "type_of_reporting_person": "CO", "comment_content": "The calculation of the percentage is based on 62,429,548 Class A ordinary shares, par value $0.001 per share, outstanding as of May 26, 2026, as reported by the Issuer in its Notice and Proxy Statement for 2026 Annual General Meeting filed on June 1, 2026." }, { "accession_no": "0001213900-26-071073", "person_seq": 0, "reporting_person_cik": 1849192, "reporting_person_name": "Moringa Sponsor, LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 199053.0, "shared_voting_power": 0.0, "sole_dispositive_power": 199053.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 199053.0, "percent_of_class": 10.6, "type_of_reporting_person": "PN", "comment_content": "The number reported in rows 7, 9, and 11 consists of (i) 697 ordinary shares, (ii) 37 ordinary shares underlying warrants, (iii) 45,000 ordinary shares that Silexion Therapeutics Corp (the \"Issuer\") reported as issued on September 15, 2025, upon conversion by the Issuer of an aggregate of $1.8 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, (iv) 92,500 ordinary shares that the Issuer reported as issued on May 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, and (v) 60,819 ordinary shares that the Issuer reported as issued on June 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024. The Reporting Person expressly disputes the validity of the issuance of the 45,000 ordinary shares, 92,500 ordinary shares, and 60,819 ordinary share reported herein and does not concede beneficial ownership of such shares. The figures in (i) and (ii) reflect a 1-for-9 reverse share split of the Issuer's issued and outstanding ordinary shares on November 27, 2024, a 1-for-15 reverse share split of the Issuer's issued and outstanding ordinary shares on July 28, 2025 and a 1-for-10 reverse share split of the Issuer's issued and outstanding ordinary shares on May 28, 2026. The percentage reported in row 13 has been calculated based on 1,877,696 ordinary shares of the Issuer outstanding, as reported in the Issuer's Registration Statement on Form S-3 filed by the Issuer with the SEC on June 12, 2026, as adjusted to include the 37 ordinary shares underlying the warrants held by the Reporting Person as outstanding, in accordance with the SEC's beneficial ownership rules." }, { "accession_no": "0001213900-26-071073", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Moringa Partners Ltd", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 199053.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 199053.0, "aggregate_amount_owned": 199053.0, "percent_of_class": 10.6, "type_of_reporting_person": "CO", "comment_content": "The number reported in rows 8, 10, and 11 consists of (A) (i) 697 ordinary shares, (ii) 37 ordinary shares underlying warrants, (iii) 45,000 ordinary shares that Silexion Therapeutics Corp (the \"Issuer\") reported as issued on September 15, 2025, upon conversion by the Issuer of an aggregate of $1.8 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, all of which are held by Moringa Sponsor, LP, (iv) 92,500 ordinary shares that the Issuer reported as issued on May 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, and (v) 60,819 ordinary shares that the Issuer reported as issued on June 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024 all of which are held by Moringa Sponsor, LP., and (B) 1,482 ordinary shares held by Greenstar, L.P. Moringa Sponsor, LP expressly disputes the validity of the issuance of the 45,000 ordinary shares, 92,500 ordinary shares and 60,819 ordinary shares reported herein and does not concede beneficial ownership of such shares. The figures in (A)(i), (A)(ii) and (B) reflect a 1-for-9 reverse share split of the Issuer's issued and outstanding ordinary shares on November 27, 2024, a 1-for-15 reverse share split of the Issuer's issued and outstanding ordinary shares on July 28, 2025 and a 1-for-10 reverse share split of the Issuer's issued and outstanding ordinary shares on May 28, 2026. The Reporting Person serves as the sole general partner of each of Moringa Sponsor, LP and Greenstar, L.P. The percentage reported in row 13 has been calculated based on 1,877,696 ordinary shares of the Issuer outstanding, as reported in the Issuer's Registration Statement on Form S-3 filed by the Issuer with the SEC on June 12, 2026, as adjusted to include the 37 ordinary shares underlying the warrants held by Moringa Sponsor, LP as outstanding, in accordance with the SEC's beneficial ownership rules." }, { "accession_no": "0001213900-26-071073", "person_seq": 2, "reporting_person_cik": 1849189, "reporting_person_name": "Ilan Levin", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 199053.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 199053.0, "aggregate_amount_owned": 199053.0, "percent_of_class": 10.6, "type_of_reporting_person": "IN", "comment_content": "The number reported in rows 8, 10, and 11 consists of (A) (i) 697 ordinary shares, (ii) 37 ordinary shares underlying warrants, (iii) 45,000 ordinary shares that Silexion Therapeutics Corp (the \"Issuer\") reported as issued on September 15, 2025, upon conversion by the Issuer of an aggregate of $1.8 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, all of which are held by Moringa Sponsor, LP, (iv) 92,500 ordinary shares that the Issuer reported as issued on May 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024, and (v) 60,819 ordinary shares that the Issuer reported as issued on June 14, 2026 of an aggregate of $0.4 million of the outstanding amount under the Amended and Restated Promissory Note, dated August 15, 2024 all of which are held by Moringa Sponsor, LP. and (B) 1,482 ordinary shares held by Greenstar, L.P. Moringa Sponsor, LP expressly disputes the validity of the issuance of the 45,000 ordinary shares, 92,500 ordinary shares and 60,819 ordinary shares reported herein and does not concede beneficial ownership of such shares. The figures in (A)(i), (A)(ii) and (B) reflect a 1-for-9 reverse share split of the Issuer's issued and outstanding ordinary shares on November 27, 2024, a 1-for-15 reverse share split of the Issuer's issued and outstanding ordinary shares on July 28, 2025 and a 1-for-10 reverse share split of the Issuer's issued and outstanding ordinary shares on May 28, 2026. The Reporting Person owns all of the equity interests, and serve as the sole director, of Moringa Partners Ltd., the sole general partner of each of Moringa Sponsor, LP and Greenstar, L.P., which hold the ordinary shares reported herein, and therefore possesses shared voting and investment authority with respect to those shares. The percentage reported in row 13 has been calculated based on 1,877,696 ordinary shares of the Issuer outstanding, as reported in the Issuer's Registration Statement on Form S-3 filed by the Issuer with the SEC on June 12, 2026, as adjusted to include the 37 ordinary shares underlying the warrants held by Moringa Sponsor, LP as outstanding, in accordance with the SEC's beneficial ownership rules." }, { "accession_no": "0001213900-26-071268", "person_seq": 0, "reporting_person_cik": 1077495, "reporting_person_name": "WILDER C JOHN", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 62268545.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 62268545.0, "aggregate_amount_owned": 62268545.0, "percent_of_class": 93.03, "type_of_reporting_person": "IN", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A common stock, par value $0.0001 per share, of AleAnna, Inc., a Delaware corporation (f/k/a Swiftmerge Acquisition Corp.) (the \"Issuer\" and such shares, \"Class A Common Stock\"), and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C common stock, par value $0.0001 per share, of the Issuer (Class C Common Stock and, together with the Class A Common Stock, the Common Stock) together with 25,994,400 Class C units of Swiftmerge HoldCo LLC, a Delaware limited liability company and wholly-owned subsidiary of the Issuer (HoldCo and such units, Class C HoldCo Units). The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) The John and Susan Wilder Foundation, to which C. John Wilder, Jr. manages and controls, together with his spouse, Susan Anne Wilder, directly beneficially owns 6,121,205 shares of Class A Common Stock.\n\n(3) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Susan Anne Wilder", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 62268545.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 62268545.0, "aggregate_amount_owned": 62268545.0, "percent_of_class": 93.03, "type_of_reporting_person": "IN", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) The John and Susan Wilder Foundation, to which C. John Wilder, Jr. manages and controls, together with his spouse, Susan Anne Wilder, directly beneficially owns 6,121,205 shares of Class A Common Stock.\n\n (3) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "JSW Interests LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 56147340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56147340.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "OO", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "JSW Energy Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 56147340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56147340.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "OO", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "JSW Energy Interests LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 56147340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56147340.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "PN", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Bluescape Resources Investors LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 56147340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56147340.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "OO", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Bluescape Resources Company LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 56147340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56147340.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "OO", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "BRC Property Holdings LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 56147340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56147340.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "PN", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "BRC-Oxy Marcellus Tax Partnership LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 56147340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56147340.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "OO", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "BRC Exploration Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 56147340.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56147340.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "OO", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Nautilus Resources LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 56147340.0, "shared_voting_power": 0.0, "sole_dispositive_power": 56147340.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 56147340.0, "percent_of_class": 83.88, "type_of_reporting_person": "OO", "comment_content": "(1) Includes (i) 30,152,940 shares of Class A Common Stock and (ii) 25,994,400 shares of Class A Common Stock that the Reporting Persons have the right to acquire within 60 days, in exchange for 25,994,400 shares of Class C Common Stock together with 25,994,400 Class C HoldCo Units. The shares of Class C Common Stock together with the Class C HoldCo Units, and the shares of Class A Common Stock are beneficially owned by Nautilus Resources LLC, which are indirectly beneficially owned by C. John Wilder, Jr. and Susan Anne Wilder, as the managing members of JSW Interests LLC, which is the sole member of JSW Energy Holdings LLC, which is the general partner of JSW Energy Interests LP, which is the sole member of Bluescape Resources Investors LLC, which is the manager of Bluescape Resources Company LLC, which is the general partner of BRC Property Holdings LP, which is the manager of BRC-Oxy Marcellus Tax Partnership LLC, which is the sole member of BRC Exploration Holdings LLC, which is the sole member of Nautilus Resources LLC.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071268", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "John and Susan Wilder Foundation", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 6121205.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6121205.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6121205.0, "percent_of_class": 9.15, "type_of_reporting_person": "OO", "comment_content": "(1) The John and Susan Wilder Foundation, to which C. John Wilder, Jr. manages and controls, together with his spouse, Susan Anne Wilder, directly beneficially owns 6,121,205 shares of Class A Common Stock.\n\n(2) Percentage of Class A Common Stock based on 66,934,400 shares outstanding, including the shares of Class A Common Stock to which the Reporting Persons are entitled to exchange therefor within 60 days upon the exchange of Class C Common Stock together with Class C HoldCo Units, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2026, filed with the Securities and Exchange Commission on May 14, 2026." }, { "accession_no": "0001213900-26-071508", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "BCRED X Holdings LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Blackstone Private Credit Fund", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Blackstone Private Multi-Asset Credit and Income Fund", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 7882144.59, "shared_voting_power": 0.0, "sole_dispositive_power": 7882144.59, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7882144.59, "percent_of_class": 20.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Blackstone Private Credit Strategies LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26510439.19, "shared_voting_power": 0.0, "sole_dispositive_power": 26510439.19, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26510439.19, "percent_of_class": 69.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Blackstone Credit BDC Advisors LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Blackstone Alternative Credit Advisors LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "GSO Capital Partners GP L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "StoneCo IV Corporation", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings IV L.P.", "fund_type": "OO", "citizenship_or_org": "A8", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings IV GP L.P.", "fund_type": "OO", "citizenship_or_org": "A8", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings IV GP Management (Delaware) L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings IV GP Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 49.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings I L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26510439.19, "shared_voting_power": 0.0, "sole_dispositive_power": 26510439.19, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26510439.19, "percent_of_class": 69.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 13, "reporting_person_cik": 1464695, "reporting_person_name": "Blackstone Holdings I/II GP L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26510439.19, "shared_voting_power": 0.0, "sole_dispositive_power": 26510439.19, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26510439.19, "percent_of_class": 69.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "Blackstone Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26510439.19, "shared_voting_power": 0.0, "sole_dispositive_power": 26510439.19, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26510439.19, "percent_of_class": 69.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "Blackstone Group Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 26510439.19, "shared_voting_power": 0.0, "sole_dispositive_power": 26510439.19, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26510439.19, "percent_of_class": 69.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071508", "person_seq": 16, "reporting_person_cik": null, "reporting_person_name": "Stephen A. Schwarzman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 26510439.19, "shared_voting_power": 0.0, "sole_dispositive_power": 26510439.19, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26510439.19, "percent_of_class": 69.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Huaqin Xue", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Crystal Peak Holdings Inc.", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 2, "reporting_person_cik": 2078050, "reporting_person_name": "Crystal Peak Investment Inc.", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Dave Liguang Chenn", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Oceanpine Investment Fund II LP", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Oceanpine Capital Inc.", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Adjuvant Capital Management, L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Adjuvant Capital GP, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Adjuvant Global Health Technology Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Adjuvant Global Health Technology Fund DE, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "MSA China Growth Fund II GP, LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "MSA Growth Fund II, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Superstring Capital Management LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Superstring Capital Master Fund LP", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-071708", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "Epiphron Capital (Hong Kong) Limited", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-071731", "person_seq": 0, "reporting_person_cik": 1649312, "reporting_person_name": "BW Group Limited", "fund_type": "WC", "citizenship_or_org": "D0", "sole_voting_power": 6089011.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6089011.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6089011.0, "percent_of_class": 9.87, "type_of_reporting_person": "CO", "comment_content": "1. This percentage is based on a total of 61,699,971 outstanding shares of common stock of Navigator Holdings Ltd., which amount was disclosed in Navigator Holdings Ltd.'s Report of Foreign Private Issuer on Form 6-K filed with the Securities and Exchange Commission on May 6, 2026 (the \"Form 6-K\")." }, { "accession_no": "0001213900-26-072628", "person_seq": 0, "reporting_person_cik": 1567168, "reporting_person_name": "WAVE Equity Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 10584189.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10584189.0, "aggregate_amount_owned": 10584189.0, "percent_of_class": 9.9, "type_of_reporting_person": "PN", "comment_content": "Based upon a total of 107,023,245 shares of Class A common stock outstanding upon completion of the Business Combination, as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of 15,512,744 shares of Issuer's Series B Common Stock outstanding." }, { "accession_no": "0001213900-26-072628", "person_seq": 1, "reporting_person_cik": 1906529, "reporting_person_name": "WAVE Factorial Energy I, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 634715.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 634715.0, "aggregate_amount_owned": 634715.0, "percent_of_class": 0.6, "type_of_reporting_person": "OO", "comment_content": "Based upon a total of 107,023,245 shares of Class A common stock outstanding upon completion of the Business Combination, as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of 15,512,744 shares of Issuer's Series B Common Stock outstanding." }, { "accession_no": "0001213900-26-072628", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "WAVE AAC/LIO Co-Invest III, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 255548.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 255548.0, "aggregate_amount_owned": 255548.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Based upon a total of 107,023,245 shares of Class A common stock outstanding upon completion of the Business Combination, as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of 15,512,744 shares of Issuer's Series B Common Stock outstanding." }, { "accession_no": "0001213900-26-072628", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "WAVE Equity GP LP", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 10839737.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10839737.0, "aggregate_amount_owned": 10839737.0, "percent_of_class": 10.1, "type_of_reporting_person": "PN", "comment_content": "Based upon a total of 107,023,245 shares of Class A common stock outstanding upon completion of the Business Combination, as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of 15,512,744 shares of Issuer's Series B Common Stock outstanding." }, { "accession_no": "0001213900-26-072628", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "WAVE Equity LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 634715.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 634715.0, "aggregate_amount_owned": 634715.0, "percent_of_class": 0.6, "type_of_reporting_person": "OO", "comment_content": "Based upon a total of 107,023,245 shares of Class A common stock outstanding upon completion of the Business Combination, as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of 15,512,744 shares of Issuer's Series B Common Stock outstanding." }, { "accession_no": "0001213900-26-072628", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Mark Robinson", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 11474452.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11474452.0, "aggregate_amount_owned": 11474452.0, "percent_of_class": 10.7, "type_of_reporting_person": "IN", "comment_content": "Based upon a total of 107,023,245 shares of Class A common stock outstanding upon completion of the Business Combination, as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of 15,512,744 shares of Issuer's Series B Common Stock outstanding." }, { "accession_no": "0001213900-26-072628", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Praveen Sahay", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 11474452.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11474452.0, "aggregate_amount_owned": 11474452.0, "percent_of_class": 10.7, "type_of_reporting_person": "IN", "comment_content": "Based upon a total of 107,023,245 shares of Class A common stock outstanding upon completion of the Business Combination, as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of 15,512,744 shares of Issuer's Series B Common Stock outstanding." }, { "accession_no": "0001213900-26-072628", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "U. Haskell Crocker", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 11474452.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11474452.0, "aggregate_amount_owned": 11474452.0, "percent_of_class": 10.7, "type_of_reporting_person": "IN", "comment_content": "Based upon a total of 107,023,245 shares of Class A common stock outstanding upon completion of the Business Combination, as reported by the Issuer on its Form 8-K on June 10, 2026, and assumes the exchange of 15,512,744 shares of Issuer's Series B Common Stock outstanding." }, { "accession_no": "0001213900-26-072649", "person_seq": 0, "reporting_person_cik": 2078043, "reporting_person_name": "Churchill Sponsor XI LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 14300000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14300000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14300000.0, "percent_of_class": 25.7, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 500,000 shares of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 13,800,000 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities-Founder Shares\" in the Issuer's registration statement on Form S-1 (File Nos. 333- 291626). Michael Klein, the Chief Executive Officer and Director of the Issuer, is the sole stockholder of M. Klein Associates, Inc., which is the managing member of Churchill Sponsor XI LLC (the \"Sponsor\"), and accordingly Mr. Klein may be deemed to have beneficial ownership of securities reported herein. Mr. Klein disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly" }, { "accession_no": "0001213900-26-072649", "person_seq": 1, "reporting_person_cik": 1751504, "reporting_person_name": "M. Klein Associates, Inc.", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 14300000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14300000.0, "aggregate_amount_owned": 14300000.0, "percent_of_class": 25.7, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 500,000 shares of the Issuer's Class A Ordinary Shares and 13,800,000 of the Issuer's Class B Ordinary Shares, which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities-Founder Shares\" in the Issuer's registration statement on Form S-1 (File Nos. 333- 291626). Michael Klein, the Chief Executive Officer and Director of the Issuer, is the controlling shareholder of M. Klein Associates, Inc., which is the managing member of the Sponsor, and accordingly Mr. Klein may be deemed to have beneficial ownership of securities reported herein. Mr. Klein disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly." }, { "accession_no": "0001213900-26-072649", "person_seq": 2, "reporting_person_cik": 1327392, "reporting_person_name": "Michael Klein", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 14300000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14300000.0, "aggregate_amount_owned": 14300000.0, "percent_of_class": 25.7, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 500,000 shares of the Issuer's Class A Ordinary Shares and 13,800,000 of the Issuer's Class B Ordinary Shares, which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities-Founder Shares\" in the Issuer's registration statement on Form S-1 (File Nos. 333- 291626). Michael Klein, the Chief Executive Officer and Director of the Issuer, is the controlling shareholder of M. Klein Associates, Inc., which is the managing member of the Sponsor, and accordingly Mr. Klein may be deemed to have beneficial ownership of securities reported herein. Mr. Klein disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly." }, { "accession_no": "0001213900-26-072848", "person_seq": 0, "reporting_person_cik": 2059711, "reporting_person_name": "SilverCape Investments Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 2579696.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2579696.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2579696.0, "percent_of_class": 12.07, "type_of_reporting_person": "CO", "comment_content": "(1) The percent of class represented is based on 21,365,782 shares of Common Stock outstanding as of May 22, 2026, as last reported by the Issuer in its Annual Report on Form 10-K for the fiscal year ended March 31, 2026." }, { "accession_no": "0001213900-26-072848", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Peter Kennedy", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2579696.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2579696.0, "aggregate_amount_owned": 2579696.0, "percent_of_class": 12.07, "type_of_reporting_person": "CO", "comment_content": "(1) Peter Kennedy, the managing director of SilverCape Investments Limited (\"SilverCape\"), has voting and investment power with respect to the Common Stock held by SilverCape. Mr. Kennedy disclaims any beneficial ownership of the Common Stock beneficially owned by SilverCape.\n\n(2) The percent of class represented is based on 21,365,782 shares of Common Stock outstanding as of May 22, 2026, as last reported by the Issuer in its Annual Report on Form 10-K for the fiscal year ended March 31, 2026." }, { "accession_no": "0001213900-26-073104", "person_seq": 0, "reporting_person_cik": 2070001, "reporting_person_name": "Ng Chen Lok", "fund_type": "PF", "citizenship_or_org": "N8", "sole_voting_power": 8452600.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8452600.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8452600.0, "percent_of_class": 41.13, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-073125", "person_seq": 0, "reporting_person_cik": 2081249, "reporting_person_name": "Grande Holding Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 15194000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15194000.0, "aggregate_amount_owned": 15194000.0, "percent_of_class": 76.33, "type_of_reporting_person": "CO", "comment_content": "The percentage reported in Item 13 above is based on a total of 19,906,250 issued and outstanding Class A Ordinary Shares, par value US$0.00001 per share (the \"Class A Ordinary Shares\"), as of the date of this Schedule 13D/A, as represented by Grande Group Limited (the \"Issuer\")." }, { "accession_no": "0001213900-26-073125", "person_seq": 1, "reporting_person_cik": 2086766, "reporting_person_name": "Yujie Chen", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "(1) Ms. Yujie Chen, the Chief Executive Officer and Chair of the Board of the Issuer, previously shared voting and dispositive power over the 15,194,000 Class A Ordinary Shares held by Grande Holding Limited, by virtue of her position as the Director of Grande Holding Limited. Effective June 17, 2026, Ms. Chen resigned as Director of Grande Holding Limited. Ms. Chen owns 99% issued shares of Ocean Empire Group Limited, which owns 25 of 110 issued shares (22.73%) of Grande Holding Limited. However, as a minority indirect shareholder without a directorship or other arrangement conferring voting or dispositive power over the Issuer's shares, Ms. Chen is no longer deemed to beneficially own the Class A Ordinary Shares of the Issuer. This filing reports the termination of Ms. Chen's beneficial ownership.\n\n(2) The percentage reported in Item 13 above is based on a total of 19,906,250 issued and outstanding Class A Ordinary Shares, as of the date of this Schedule 13D/A, as represented by the Issuer." }, { "accession_no": "0001213900-26-073125", "person_seq": 2, "reporting_person_cik": 2081097, "reporting_person_name": "Tak Kai Raymond Tam", "fund_type": "PF", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 15194000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15194000.0, "aggregate_amount_owned": 15194000.0, "percent_of_class": 76.33, "type_of_reporting_person": "IN", "comment_content": "(1) The shares above represent 15,194,000 Class A Ordinary Shares held by Grande Holding Limited, a company incorporated under the laws of the Cayman Islands. Grande Holding Limited is owned 68.18% by Blazing Success Holdings Limited, 22.73% by Ocean Empire Group Limited, and 9.09% by Tianhang Zhao. Mr. Tak Kai Raymond Tam owns 100% of the equity interests in Rosy Beauty Investment Limited, which owns 99% of the equity interests in Blazing Success Holdings Limited, which owns 68.18% of the issued shares of Grande Holding Limited. Ms. Yujie Chen, the Chief Executive Officer and Chair of the Board of the Issuer, owns 99% of the equity interests in Ocean Empire Group Limited, which owns 22.73% of the issued shares of Grande Holding Limited. Tianhang Zhao directly holds 9.09% of the issued shares of Grande Holding Limited and serves as the Director of Grande Holding Limited. Ms. Zhao and Mr. Tam share voting and dispositive power with respect to the shares of the Issuer held by Grande Holding Limited and are therefore deemed to be the beneficial owners of such shares for purposes of Rule 13d-3 under the Securities Exchange Act of 1934.\n\n(2) The percentage reported in Item 13 above is based on a total of 19,906,250 issued and outstanding Class A Ordinary Shares, as of the date of this Schedule 13D/A, as represented by the Issuer." }, { "accession_no": "0001213900-26-073125", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Tianhang Zhao", "fund_type": "PF", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 15194000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15194000.0, "aggregate_amount_owned": 15194000.0, "percent_of_class": 76.33, "type_of_reporting_person": "IN", "comment_content": "(1)The shares above represents 15,194,000 Class A Ordinary Shares held by Grande Holding Limited, a company incorporated under the laws of the Cayman Islands, holds shares of the Issuer. Mr. Tianhang Zhao directly holds 10 of the 110 issued shares (9.09%) of Grande Holding Limited and serves as the sole Director of Grande Holding Limited. By virtue of his position as the sole Director, Mr. Zhao may be deemed to share voting and dispositive power with respect to the 15,194,000 Class A Ordinary Shares of the Issuer held by Grande Holding Limited and is therefore deemed to be a beneficial owner of such shares for purposes of Rule 13d-3 under the Securities Exchange Act of 1934.\n\n(2) The percentage reported in Item 13 above is based on a total of 19,906,250 issued and outstanding Class A Ordinary Shares, as of the date of this Schedule 13D/A, as represented by the Issuer." }, { "accession_no": "0001213900-26-073244", "person_seq": 0, "reporting_person_cik": 1281084, "reporting_person_name": "Monarch Alternative Capital LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19333334.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19333334.0, "aggregate_amount_owned": 19333334.0, "percent_of_class": 40.1, "type_of_reporting_person": "IA", "comment_content": "IA, PN" }, { "accession_no": "0001213900-26-073244", "person_seq": 1, "reporting_person_cik": 1501101, "reporting_person_name": "MDRA GP LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19333334.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19333334.0, "aggregate_amount_owned": 19333334.0, "percent_of_class": 40.1, "type_of_reporting_person": "HC", "comment_content": "PN, HC" }, { "accession_no": "0001213900-26-073244", "person_seq": 2, "reporting_person_cik": 1501100, "reporting_person_name": "Monarch GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 19333334.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19333334.0, "aggregate_amount_owned": 19333334.0, "percent_of_class": 40.1, "type_of_reporting_person": "HC", "comment_content": "OO, HC" }, { "accession_no": "0001213900-26-073318", "person_seq": 0, "reporting_person_cik": 1083544, "reporting_person_name": "Anthony DiGiandomenico", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 196692.0, "shared_voting_power": 0.0, "sole_dispositive_power": 196692.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 196692.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7, 9 and 11: Consists of (i) 76,267 shares of common stock, par value $0.0001 (the \"Common Stock\"), of ENDRA Life Sciences Inc. (the \"Issuer\"), (ii) 9 shares of Common Stock issuable upon the exercise of options (the \"Option Shares\"), and (iii) 120,416 shares of Common Stock issuable upon the exercise of warrants to purchase shares of Common Stock (the \"Warrant Shares\"). The totals reported exclude warrants to purchase up to 21,228 shares of common stock. The warrants held by Mr. DiGiandomenico are subject to a beneficial ownership limitation of 9.99%, and such limitation restricts Mr. DiGiandomenico from exercising that portion of the warrants that would result in Mr. DiGiandomenico and his affiliates owning, after exercise, a number of shares of common stock in excess of the beneficial ownership limitation. The beneficial ownership of Mr. DiGiandomenico reported herein reflects this limitation.\n\nNote to Row 13: The percentages reported in this Amendment No. 1 to Schedule 13D (this \"Amendment\") are based upon the deemed to be outstanding shares of Common Stock pursuant to Rule 13d-3(d)(1) of the Securities Exchange Act of 1934, as amended, which includes (i) 1,270,077 shares of Common Stock outstanding as of May 15, 2026 (according to the Issuer's Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") on May 15, 2026 (the \"Quarterly Report\")), plus (ii) 578,387 shares of Common Stock issued by the Company pursuant to a securities purchase agreement with an accredited investor (according to the Issuer's Current Report on Form 8-K filed with the SEC on May 28, 2026 (the \"Current Report\" and together with the Quarterly Report, the \"SEC Reports\") plus (iii) the Option Shares, plus (iv) the Warrant Shares." }, { "accession_no": "0001213900-26-073903", "person_seq": 0, "reporting_person_cik": 1935390, "reporting_person_name": "Celtic Holdings S.C.A.", "fund_type": "AF", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 107450988.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 107450988.0, "aggregate_amount_owned": 107450988.0, "percent_of_class": 27.5, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 8, 10, and 11: Through intermediary holding entities, Celtic Lux Holdings S.a r.l. (\"Celtic Lux\") is a wholly-owned subsidiary of Celtic Holdings S.C.A. (\"Celtic Holdings\"). Investment and voting decisions at Celtic Holdings are made by a majority vote of its board of directors, subject to certain shareholders having consent rights over material actions and decisions of Celtic Holdings. Therefore, no individual director of Celtic Holdings is the beneficial owner of the securities, except with respect to the shares in which such director holds a pecuniary interest.\n\nNote to Row 13: Based on an aggregate of 390,431,480 Ordinary Shares outstanding as of the consummation of the Issuer's public offering and concurrent private placement as reported in the Issuer's Report on 6-K and the exhibit attached thereto, as filed with the Securities and Exchange Commission on June 18, 2026." }, { "accession_no": "0001213900-26-073903", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Celtic Lux Holdings S.a r.l.", "fund_type": "BK", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 107450988.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 107450988.0, "aggregate_amount_owned": 107450988.0, "percent_of_class": 27.5, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 8, 10, and 11: Through intermediary holding entities, Celtic Lux Holdings S.a r.l. (\"Celtic Lux\") is a wholly-owned subsidiary of Celtic Holdings S.C.A. (\"Celtic Holdings\"). Investment and voting decisions at Celtic Holdings are made by a majority vote of its board of directors, subject to certain shareholders having consent rights over material actions and decisions of Celtic Holdings. Therefore, no individual director of Celtic Holdings is the beneficial owner of the securities, except with respect to the shares in which such director holds a pecuniary interest.\n\nNote to Row 13: Based on an aggregate of 390,431,480 Ordinary Shares outstanding as of the consummation of the Issuer's public offering and concurrent private placement as reported in the Issuer's Report on 6-K and the exhibit attached thereto, as filed with the Securities and Exchange Commission on June 18, 2026." }, { "accession_no": "0001213900-26-074213", "person_seq": 0, "reporting_person_cik": 2055515, "reporting_person_name": "Chutzpah Holdings Ltd", "fund_type": "AF", "citizenship_or_org": "Y9", "sole_voting_power": 2018014.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2018014.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2018014.0, "percent_of_class": 18.5, "type_of_reporting_person": "CO", "comment_content": "1 Pursuant to the Securities Purchase Agreement dated January 23, 2025 (the \"Securities Purchase Agreement\"), entered into between Chutzpah Holdings Limited (\"CHL\") and the Issuer relating to a private placement offering of: 1,383,948 shares of common stock, par value $0.00001 per share of the Issuer (the \"Common Shares\"), (ii) pre-funded warrants (the \"Pre-Funded Warrants\") to purchase up to 26,030 Common Shares, and (iii) warrants to purchase up to 84,599 Common Shares (the \"Common Warrants\"). The purchase price for each Common Share is $4.61. The Pre-Funded Warrants have an exercise price of $0.0001 per share, are exercisable at any time following the receipt of certain approvals from the Issuer's shareholders (subsequently received on June 30, 2025), and remain exercisable until exercised in full. The Common Warrants have an exercise price of $5.568 per share and will be exercisable for three years following June 3, 2025.\n\nOn March 13, 2025, the Issuer, Pluri Biotech Ltd., a wholly owned subsidiary of the Issuer (the \"Pluri Biotech\"), entered into a Share Purchase Agreement with CHL and Plantae Bioscience Ltd (\"Plantae\"), pursuant to which CHL and Plantae: (i) sold to Pluri Biotech, 400,000 ordinary shares and 175,000 preferred seed-1 shares, representing approximately 71.1% of the equity of Kokomodo Ltd.(on a fully diluted basis), an Israeli company (\"Kokomodo,\" and such shares, the \"Purchased Interests\") and (ii) transferred to Pluri Biotech, a convertible loan, pursuant to an assignment and assumption agreement, reflecting a principal aggregate amount of $0.5 million. In consideration for the sale, transfer and conveyance of the Purchased Interests, the Issuer paid the Reporting Person an aggregate purchase price of $4.5 million, payable in 976,139 common shares of the Company, which as of January 23, 2025, represented 12.14% of the Issuer's issued and outstanding share capital on a fully diluted basis after the deemed issuance of the aboveconsideration shares. Of the 976,139 common shares of the Issuer, 452,702 was issued to Plantae and 523,437 was issued to CHL. CHL owns approximately 78% of Plantae.\n\nOn April 25, 2025, the Reporting Person and the Issuer entered into an amendment to the Securities Purchase Agreement, whereby the Company and the Investor agreed to exchange 976,139 of the Common Shares for additional pre-funded warrants to purchase up to 976,139 Common Shares. The additional pre-funded warrants issued to the Investor have the same terms as the Pre-Funded Warrants issued pursuant to the Securities Purchase Agreement, and as such, they have an exercise price of $0.0001 per share, are exercisable at any time following the receipt of certain approvals from the Issuer's shareholders (subsequently received on June 30, 2025), and remain exercisable until exercised in full. At the time of the exchange, CHL held 931,246 Common Shares (1,383,948 Common Shares plus 523,437 Common Shares minus 976,139 Common Shares exchanged for an equal amount of pre-funded warrants).\n\nOn October 29, 2025, pursuant to shareholder approval for the exercise of pre-funded warrants and common warrants at the shareholder meeting held on June 30, 2025, the Reporting Person exercised pre funded warrants to acquire 1,002,169 shares of Common Stock of the Issuer at an exercise price of $0.0001 per share. The pre funded warrants were originally issued pursuant to the Securities Purchase Agreement dated January 23, 2025, as amended April 25, 2025. As on date, the Reporting Person holds 2,018,014 Common Shares (931,246 Common Shares plus 1,002,169 Common Shares plus 84,599 unexercised warrants to purchase Common Shares).\n\n2 Indicates the Reporting Person 's ownership of 2,018,014 Common Shares directly held.\n\n3 The total outstanding shares as on date hereof are 10,824,311 (plus 84,599 warrants exercisable within 60 days). CHL's percentage is therefore 18.5%." }, { "accession_no": "0001213900-26-074213", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Chutzpah Holdings LP", "fund_type": "AF", "citizenship_or_org": "A6", "sole_voting_power": 1875000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1875000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1875000.0, "percent_of_class": 16.37, "type_of_reporting_person": "OO", "comment_content": "4 On December 8, 2025, the Issuer entered into an additional Securities Purchase Agreement with Chutzpah Holdings LP (the \"CHLP\"), a limited partnership beneficially owned by Mr. Alexandre Weinstein, (\"Mr. Weinstein\"), relating to a private placement offering of: (i) 625,000 common shares, par value $0.00001 per share (the \"CHLP Common Shares\") of the Company, and (ii) warrants (the \"CHLP Common Warrants\") to purchase up to 625,000 Common Shares. The combined purchase price for each CHLP Common Share and CHLP Common Warrant is $4.00. The CHLP Common Warrants expired on June 30, 2026.\n\nOn March 25, 2026, the Issuer entered into another Securities Purchase Agreement (the \"March 2026 SPA\"), effective as of March 24, 2026, CHLP, relating to a private placement offering of: (i) 625,000 common shares, par value $0.00001 per share (the \"2026 CHLP Common Shares\") of the Company, and (ii) warrants (the \"2026 CHLP Common Warrants\") to purchase up to 625,000 Common Shares. The combined purchase price for each 2026 CHLP Common Share and 2026 CHLP Common Warrant is $4.00. The 2026 CHLP Common Warrants will be exercisable immediately at an exercise price of $4.25 per share and will be exercisable until the expiration of the eighteen-month anniversary following closing of the Offering. The 2026 CHLP Common Warrants contain customary anti-dilution provisions and are subject to a 35% beneficial ownership limitation. The Securities Purchase Agreement contains customary representations, warranties and indemnification obligations of the parties.\n\n5 Indicates CHLP's ownership of 1,250,000 Common Shares + 625,000 exercisable 2026 CHLP Common Warrants.\n\n6 CHLP's percentage of class: 1,875,000/(10,824,311 + 625,000) = 1,875,000/11,449,311 = 16.37%" }, { "accession_no": "0001213900-26-074213", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Plantae Bioscience Ltd.", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 452702.0, "shared_voting_power": 0.0, "sole_dispositive_power": 452702.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 452702.0, "percent_of_class": 4.18, "type_of_reporting_person": "OO", "comment_content": "7 On March 13, 2025, the Issuer, Pluri Biotech, entered into a Share Purchase Agreement with CHL and Plantae, pursuant to which CHL and Plantae: (i) sold to Pluri Biotech, 400,000 ordinary shares and 175,000 preferred seed-1 shares, representing approximately 71.1% of the equity of Kokomodo (on a fully diluted basis), and (ii) transferred to Pluri Biotech, a convertible loan, pursuant to an assignment and assumption agreement, reflecting a principal aggregate amount of $0.5 million. In consideration for the sale, transfer and conveyance of the Purchased Interests, the Issuer paid the Reporting Person an aggregate purchase price of $4.5 million, payable in 976,139 common shares of the Company. Of the 976,139 common shares of the Issuer, 452,702 was issued to Plantae and 523,437 was issued to CHL. CHL owns approximately 78% of Plantae.\n\n8 Calculated as: 452,702 / 10,824,311outstanding Common Shares = 4.18%" }, { "accession_no": "0001213900-26-074213", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Alexandre Weinstein", "fund_type": "PF", "citizenship_or_org": "V8", "sole_voting_power": 4352641.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4352641.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4352641.0, "percent_of_class": 35.0, "type_of_reporting_person": "IN", "comment_content": "9 2,018,014 (CHL) + 1,875,000 (CHLP) + 452,702 (Plantae) + 6,925 (direct, including 641 RSUs vesting within 60 days).\n\nMr. Weinstein has been granted an aggregate of 10,769 Restricted Stock Units (\"RSUs\") under two separate agreements with the Issuer. Pursuant to the 2016 Equity Compensation Plan, Mr. Weinstein was granted 10,250 RSUs on February 25, 2025, which vest in twelve instalments: 12.50% on each of May 25, 2025; August 25, 2025; November 25, 2025; and February 25, 2026; and 6.25% on each of May 25, 2026; August 25, 2026; November 25, 2026; February 25, 2027; May 25, 2027; August 25, 2027; November 25, 2027; and February 25, 2028. Pursuant to the 2019 Equity Compensation Plan, Mr. Weinstein was granted 519 RSUs on December 1, 2025, which vest in three equal monthly instalments on December 31, 2025; January 31, 2026; and February 28, 2026. As of the date of this filing, 6,284 RSUs have vested into common shares, and an additional 641 RSUs are scheduled to vest on August 25, 2026 (within 60 days of the date hereof) and are therefore included in Mr. Weinstein's beneficial ownership. The remaining 3,844 RSUs are unvested and subject to future vesting conditions beyond 60 days.\n\nUnvested RSUs confer no voting rights or dividend entitlements until settlement into common shares. Additional RSUs will vest thereafter, which may increase Mr. Weinstein's ownership. Mr. Weinstein will amend this Schedule 13D as required by law.\n\n10 See note above.\n\n11 The percentage is calculated as 6,925 (6,284 and 641 RSUs) + 2,018,014 (CHL shares and warrants) + 1,875,000 (CHLP shares and warrants subject to the 35% beneficial ownership blocker) + 452,702 (Plantae) / 10,824,311+ 625,000 + 84,599 + 641) =38.01%, subject to the 35% beneficial ownership blocker" }, { "accession_no": "0001213900-26-074547", "person_seq": 0, "reporting_person_cik": 1963529, "reporting_person_name": "Kamal Seyed Ghaffarian", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 146092.0, "shared_voting_power": 38282944.0, "sole_dispositive_power": 146092.0, "shared_dispositive_power": 38282944.0, "aggregate_amount_owned": 38429036.0, "percent_of_class": 19.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-074547", "person_seq": 1, "reporting_person_cik": 1965259, "reporting_person_name": "Ghaffarian Enterprises, LLC", "fund_type": "OO", "citizenship_or_org": "MD", "sole_voting_power": 0.0, "shared_voting_power": 36041823.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 36041823.0, "aggregate_amount_owned": 36041823.0, "percent_of_class": 18.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-074547", "person_seq": 2, "reporting_person_cik": 1965320, "reporting_person_name": "GM Enterprises, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2241121.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2241121.0, "aggregate_amount_owned": 2241121.0, "percent_of_class": 1.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-074959", "person_seq": 0, "reporting_person_cik": 2139280, "reporting_person_name": "Hugreat Ltd.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 2662500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2662500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2662500.0, "percent_of_class": 18.0, "type_of_reporting_person": "CO", "comment_content": "(1) Includes (i) 2,475,000 Class B ordinary shares, par value $0.0001 per share (the \"Class B ordinary shares\"), of Alpex Acquisition Corporation (the \"Issuer\"), also referred to as insider shares, held by Hugreat Ltd (the \"Sponsor\"); and (ii) 187,500 Class A ordinary shares, par value $0.0001 per share (the \"Class A ordinary shares\" and, together with the Class B ordinary shares, the \"ordinary shares\"), underlying 187,500 private placement units acquired by the Sponsor in a private placement simultaneously with the consummation of the Issuer's initial public offering. Each private placement unit consists of one Class A ordinary share, one warrant exercisable for one Class A ordinary share at an exercise price of $11.50, and one right to receive one-fourth (1/4) of one Class A ordinary share. Class B Ordinary Shares will automatically convert into Class A Ordinary Shares on one-for-one basis upon the consummation of an initial business combination, or at any time and from time to time at the option of the holders.\n\n(2) The Sponsor is the record holder of the ordinary shares reported herein. Ms. Ningdi Shi is the sole member and a director of the Sponsor, which entitles her to voting, dispositive or investment power over the Sponsor. As such, Ms. Ningdi Shi is deemed to have voting and dispositive rights over the securities of the Issuer held by the Sponsor." }, { "accession_no": "0001213900-26-074959", "person_seq": 1, "reporting_person_cik": 2139234, "reporting_person_name": "Ningdi Shi", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 2662500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2662500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2662500.0, "percent_of_class": 18.0, "type_of_reporting_person": "IN", "comment_content": "(3) The Sponsor is the record holder of the ordinary shares reported herein. Ms. Ningdi Shi is the sole member and a director of the Sponsor, which entitles her to voting, dispositive or investment power over the Sponsor. As such, Ms. Ningdi Shi is deemed to have voting and dispositive rights over the securities of the Issuer held by the Sponsor." }, { "accession_no": "0001213900-26-075054", "person_seq": 0, "reporting_person_cik": 2080016, "reporting_person_name": "Yue Zhu", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 3489688.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3489688.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3489688.0, "percent_of_class": 97.69, "type_of_reporting_person": "IN", "comment_content": "Row 7, 9 and 11: The authorized share capital of the Issuer includes Class A Ordinary Shares and Class B Ordinary Shares. Each Class B Ordinary Share is convertible at the option of the holder into one Class A Ordinary Share. Class A Ordinary Shares are not convertible into Class B Ordinary Shares under any circumstances. The rights of the holders of Class A Ordinary Shares and Class B Ordinary Shares are identical, except with respect to conversion rights (noted above) and voting rights. Each Class B Ordinary Share is entitled to 100 votes on all matters subject to vote at general meetings of the Issuer, whereas each Class A Ordinary Share is entitled to one (1) vote. The number of Class A Ordinary Shares and Class B Ordinary shares in this form reflected the 1-for-16 share consolidation, which was made effective on June 22, 2026.\n\nThe numbers in these rows represent 939,688 Class A Ordinary Shares and 2,550,000 Class B Ordinary Shares of the Issuer held by Lianyue Holding Limited (\"Lianyue Holding\"), which is a British Virgin Islands company wholly owned by Mr. Zhu. Mr. Zhu is deemed to have voting, dispositive or investment powers over Lianyue Holding.\n\nRow 13: Based on 3,250,033 Class A Ordinary Shares outstanding and 187,500 Class B Ordinary Shares outstanding as of June 30, 2026." }, { "accession_no": "0001213900-26-075054", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Lianyue Holding Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 3489688.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3489688.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3489688.0, "percent_of_class": 97.69, "type_of_reporting_person": "CO", "comment_content": "Row 7, 9 and 11: The authorized share capital of the Issuer includes Class A Ordinary Shares and Class B Ordinary Shares. Each Class B Ordinary Share is convertible at the option of the holder into one Class A Ordinary Share. Class A Ordinary Shares are not convertible into Class B Ordinary Shares under any circumstances. The rights of the holders of Class A Ordinary Shares and Class B Ordinary Shares are identical, except with respect to conversion rights (noted above) and voting rights. Each Class B Ordinary Share is entitled to 100 votes on all matters subject to vote at general meetings of the Issuer, whereas each Class A Ordinary Share is entitled to one (1) vote.\n\nThe numbers in these rows represent 939,688 Class A Ordinary Shares and 2,550,000 Class B Ordinary Shares of the Issuer held by Lianyue Holding Limited (\"Lianyue Holding\"), which is a British Virgin Islands company wholly owned by Mr. Zhu. Mr. Zhu is deemed to have voting, dispositive or investment powers over Lianyue Holding.\n\nRow 13: Based on 3,250,033 Class A Ordinary Shares outstanding and 187,500 Class B Ordinary Shares outstanding as of June 30, 2026" }, { "accession_no": "0001213900-26-075546", "person_seq": 0, "reporting_person_cik": 1599214, "reporting_person_name": "Bihua Chen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 17878594.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17878594.0, "aggregate_amount_owned": 17878594.0, "percent_of_class": 22.32, "type_of_reporting_person": "IN", "comment_content": "Note to Row 7, 9 and 11: Excludes 31,675 shares of Common Stock underlying unvested stock options held by Bihua Chen. Includes (i) 4,879,995 shares of Common Stock directly held by Cormorant Private Healthcare Fund III, LP (\"Fund III\"), (ii) 1,905,046 shares of Common Stock directly held by Cormorant Private Healthcare Fund IV, LP (\"Fund IV\"), (iii) 5,010,332 shares of Common Stock directly held by Cormorant Private Healthcare Fund V, LP (\"Fund V\"), and (iv) 6,083,221 shares of Common Stock directly held by Cormorant Global Healthcare Master Fund, LP (\"Master Fund\"). Cormorant Asset Management, LP serves as the investment manager to Fund III, Fund IV, Fund V, and Master Fund. Cormorant Private Healthcare GP III, LLC (\"GP III\") is the general partner of Fund III; Cormorant Private Healthcare GP IV, LLC (\"GP IV\") is the general partner of Fund IV; Cormorant Private Healthcare GP V, LLC (\"GP V\") is the general partner of Fund V; and Cormorant Global Healthcare GP, LLC (\"Global GP\") is the general partner of the Master Fund. Bihua Chen serves as the managing member of GP III, GP IV, GP V, and Global GP, and as the general partner of Cormorant Asset Management, LP. Accordingly, Ms. Chen has voting and investment discretion with respect to the shares held by each of the Cormorant Funds. Ms. Chen disclaims any beneficial ownership of the securities held by the each of the Cormorant Funds other than to the extent of any pecuniary interest she may have therein, directly or indirectly.\n\nNote to Row 13: Based on an aggregate of 80,107,104 shares of Common Stock outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 12, 2026." }, { "accession_no": "0001213900-26-075546", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Cormorant Private Healthcare Fund III, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4879995.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4879995.0, "aggregate_amount_owned": 4879995.0, "percent_of_class": 6.09, "type_of_reporting_person": "PN", "comment_content": "Note to Row 13: Based on an aggregate of 80,107,104 shares of Common Stock outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 12, 2026." }, { "accession_no": "0001213900-26-075546", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Cormorant Private Healthcare GP III, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4879995.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4879995.0, "aggregate_amount_owned": 4879995.0, "percent_of_class": 6.09, "type_of_reporting_person": "PN", "comment_content": "Note to Row 7, 9 and 11: Cormorant Private Healthcare Fund III, LP (\"Fund III\") is the direct holder of such shares. Cormorant Private Healthcare GP III, LLC serves as the general partner of Fund III. Bihua Chen serves as the managing member Cormorant Private Healthcare GP III, LLC.\n\nNote to Row 13: Based on an aggregate of 80,107,104 shares of Common Stock outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 12, 2026." }, { "accession_no": "0001213900-26-075546", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Cormorant Private Healthcare Fund V, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5010332.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5010332.0, "aggregate_amount_owned": 5010332.0, "percent_of_class": 6.25, "type_of_reporting_person": "PN", "comment_content": "Note to Row 13: Based on an aggregate of 80,107,104 shares of Common Stock outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 12, 2026." }, { "accession_no": "0001213900-26-075546", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Cormorant Private Healthcare GP V, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5010332.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5010332.0, "aggregate_amount_owned": 5010332.0, "percent_of_class": 6.25, "type_of_reporting_person": "PN", "comment_content": "Note to Row 7, 9 and 11: Cormorant Private Healthcare Fund V, LP (\"Fund V\") is the direct holder of such shares. Cormorant Private Healthcare GP V, LLC serves as the general partner of Fund V. Bihua Chen serves as the managing member Cormorant Private Healthcare GP V, LLC.\n\nNote to Row 13: Based on an aggregate of 80,107,104 shares of Common Stock outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 12, 2026." }, { "accession_no": "0001213900-26-075546", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Cormorant Global Healthcare Master Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6083221.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6083221.0, "aggregate_amount_owned": 6083221.0, "percent_of_class": 7.59, "type_of_reporting_person": "PN", "comment_content": "Note to Row 13: Based on an aggregate of 80,107,104 shares of Common Stock outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 12, 2026." }, { "accession_no": "0001213900-26-075546", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Cormorant Global Healthcare GP, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6083221.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6083221.0, "aggregate_amount_owned": 6083221.0, "percent_of_class": 7.59, "type_of_reporting_person": "PN", "comment_content": "Note to Row 7, 9 and 11: Cormorant Global Healthcare Master Fund, LP (\"Master Fund\") is the direct holder of such shares. Cormorant Global Healthcare GP, LLC serves as the general partner of Master Fund. Bihua Chen serves as the managing member Cormorant Global Healthcare GP, LLC.\n\nNote to Row 13: Based on an aggregate of 80,107,104 shares of Common Stock outstanding as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission on May 12, 2026." }, { "accession_no": "0001213900-26-075546", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Helix Holdings II LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-075659", "person_seq": 0, "reporting_person_cik": 1183967, "reporting_person_name": "Thurman J. Rodgers", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 128210.0, "shared_voting_power": 59032495.0, "sole_dispositive_power": 128210.0, "shared_dispositive_power": 59032495.0, "aggregate_amount_owned": 59160705.0, "percent_of_class": 39.4, "type_of_reporting_person": "IN", "comment_content": "Rows 7 and 9: Consists of: (a) 8,842 shares of Common Stock, $0.0001 par value per share, of the Issuer (the \"Common Stock\"), (b) 2,767 shares of Common Stock issuable pursuant to Warrants exercisable within 60 days of April 30, 2026, and (c) 116,601 options to purchase Common Stock of the Issuer (the \"Stock Options\") that are exercisable within 60 days of July 1, 2026.\n\nRows 8 and 10: Consists of: (a) 32,700,901 shares of Common Stock consisting of (1) 485,562 shares of Common Stock held by Rodgers Capital LLC, of which the Reporting Person is a manager, (2) 2,471,485 shares of Common Stock held by the Rodgers Family Freedom and Free Markets Charitable Trust (the \"Charitable Trust\"), of which the Reporting Person is a trustee, (3) 28,816,676 shares of Common Stock held by the Rodgers Massey Revocable Living Trust (the \"Living Trust\"), of which the Reporting Person is a trustee, (4) 463,589 shares of Common Stock held by the TJ Rodgers 2012 Irrevocable Trust dtd 12/26/12 (the \"Rodgers Trust\"), for which the Reporting Person serves as trustee, and (5) 463,589 shares of Common Stock held by the Valeta Massey 2012 Irrevocable Trust dtd 12/26/12 (the \"Massey Trust\"), for which the Reporting Person's spouse serves as trustee; (b) 3,051,571 shares of Common Stock issuable upon conversion of the Issuer's 10% convertible senior secured notes due 2029 (the \"10% Notes\") held by the Living Trust, of which the Reporting Person is a trustee; (c) 610,314 shares of Common Stock issuable upon conversion of the 10% Notes held by the Charitable Trust, of which the Reporting Person is a trustee; (d) 2,339,181 shares of Common Stock issuable upon conversion of the Issuers 7% convertible senior notes due 2029 (the \"7% Notes\") held by the Living Trust, of which the Reporting Person is a trustee; (e) 2,339,181 shares of Common Stock issuable upon conversion of the Issuers 7% Notes held by the Charitable Trust, of which the Reporting Person is a trustee; (f) 15,291,364 shares of Common Stock issuable upon conversion of the Issuer's 12% convertible senior notes due 2029 (the \"12% Notes\") held by the Living Trust, of which the Reporting Person is a trustee; (g) 1,253,918 shares of Common Stock issuable upon conversion of the Issuer's 12% Notes held by the Charitable Trust, of which the Reporting Person is a trustee; and (h) 724,416 shares issuable pursuant to Warrants exercisable within 60 days of July 1, 2026, consisting of (1) 151,881 Warrants held by Rodgers Capital LLC, of which the Reporting Person is a manager and (2) 569,768 Warrants held by the Living Trust, of which the Reporting Person is a trustee.\n\nRow 13: This percentage is calculated based on 150,283,214 shares of Common Stock issued and outstanding as of June 22, 2026, as disclosed by the Issuer." }, { "accession_no": "0001213900-26-075659", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Rodgers Capital LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 637443.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 637443.0, "aggregate_amount_owned": 637443.0, "percent_of_class": 0.4, "type_of_reporting_person": "OO", "comment_content": "Rows 8 and 10: Consists of: (a) 485,562 shares of Common Stock and (b) 151,881 Warrants exercisable within July 1, 2026.\n\nRow 13: This percentage is calculated based on 150,283,214 shares of Common Stock issued and outstanding as of June 22, 2026, as disclosed by the Issuer." }, { "accession_no": "0001213900-26-075659", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "TJ Rodgers 2012 Irrevocable Trust dtd 12/26/12", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 463589.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 463589.0, "aggregate_amount_owned": 463589.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "Rows 8 and 10: Consists of 463,589 shares of Common Stock held by the Rodgers Trust, for which the Reporting Person's spouse serves as trustee.\n\nRow 13: This percentage is calculated based on 150,283,214 shares of Common Stock issued and outstanding as of June 22, 2026, as disclosed by the Issuer." }, { "accession_no": "0001213900-26-075659", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Valeta Massey 2012 Irrevocable Trust dtd 12/26/12", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 463589.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 463589.0, "aggregate_amount_owned": 463589.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "Rows 8 and 10: Consists of 463,589 shares of Common Stock held by the Massey Trust, for which the Reporting Person's spouse serves as trustee.\n\nRow 13: This percentage is calculated based on 150,283,214 shares of Common Stock issued and outstanding as of June 22, 2026, as disclosed by the Issuer." }, { "accession_no": "0001213900-26-075659", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Rodgers Family Freedom and Free Markets Charitable Trust", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 6674898.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6674898.0, "aggregate_amount_owned": 6674898.0, "percent_of_class": 4.4, "type_of_reporting_person": "OO", "comment_content": "Rows 8 and 10: Consists of: (a) 2,471,485 shares of Common Stock; (b) 610,314 shares of Common Stock issuable upon conversion of the 10% Notes, which are convertible within 60 days of July 1, 2026; (c) 1,253,918 shares of Common Stock issuable upon conversion of the 12% Notes, which are convertible within 60 days of July 1, 2026; and (d) 2,339,181 shares of Common Stock issuable upon conversion of the 7% Notes, which are convertible within 60 days of July 1, 2026.\n\nRow 13: This percentage is calculated based on 150,283,214 shares of Common Stock issued and outstanding as of June 22, 2026, as disclosed by the Issuer." }, { "accession_no": "0001213900-26-075659", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Rodgers Massey Revocable Living Trust dtd 4/4/11", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 50068560.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 50068560.0, "aggregate_amount_owned": 50068560.0, "percent_of_class": 33.3, "type_of_reporting_person": "OO", "comment_content": "Rows 8 and 10: Consists of: (a) 28,816,676 shares of Common Stock; (b) 569,768 Warrants exercisable within 60 days of July 1, 2026; (c) 3,051,571 shares of Common Stock issuable upon conversion of the 10% Notes, which are convertible within 60 days of July 1, 2026; (d) 15,291,364 shares of Common Stock issuable upon conversion of the 12% Notes, which are convertible within 60 days of July 1, 2026; and (e) 2,339,181 shares of Common Stock issuable upon conversion of the 7% Notes, which are convertible within 60 days of July 1, 2026.\n\nRow 13: This percentage is calculated based on 150,283,214 shares of Common Stock issued and outstanding as of June 22, 2026, as disclosed by the Issuer." }, { "accession_no": "0001213900-26-076019", "person_seq": 0, "reporting_person_cik": 2113480, "reporting_person_name": "Osprey Acquisition Sponsor III, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10740000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10740000.0, "aggregate_amount_owned": 10740000.0, "percent_of_class": 26.18, "type_of_reporting_person": "OO", "comment_content": "(1) Comprised of 486,000 Class A ordinary shares and 10,254,000 Class B ordinary shares. The Class B shares will automatically convert into Class A shares at the time of the Issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the Issuer's charter documents." }, { "accession_no": "0001213900-26-076019", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Hepco Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10740000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10740000.0, "aggregate_amount_owned": 10740000.0, "percent_of_class": 26.18, "type_of_reporting_person": "HC", "comment_content": "(1) Comprised of 486,000 Class A ordinary shares and 10,254,000 Class B ordinary shares held by Osprey Acquisition Sponsor III, LLC. The Class B shares will automatically convert into Class A shares at the time of the Issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the Issuer's charter documents. Hepco Capital Management, LLC is the Managing Member of Osprey Acquisition Sponsor III, LLC, and shares voting and investment power over shares held by that entity." }, { "accession_no": "0001213900-26-076019", "person_seq": 2, "reporting_person_cik": 1228769, "reporting_person_name": "Edward E. Cohen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 10740000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10740000.0, "aggregate_amount_owned": 10740000.0, "percent_of_class": 26.18, "type_of_reporting_person": "IN", "comment_content": "(1) Comprised of 486,000 Class A ordinary shares and 10,254,000 Class B ordinary shares held by Osprey Acquisition Sponsor III, LLC. The Class B shares will automatically convert into Class A shares at the time of the Issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the Issuer's charter documents. Mr. Edward Cohen is a co-Managing Member of Hepco Capital Management, LLC, which is the Managing Member of Osprey Acquisition Sponsor III, LLC, and shares voting and investment power over shares held by that entity." }, { "accession_no": "0001213900-26-076019", "person_seq": 3, "reporting_person_cik": 1168756, "reporting_person_name": "Jonathan Z. Cohen", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 10740000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10740000.0, "aggregate_amount_owned": 10740000.0, "percent_of_class": 26.18, "type_of_reporting_person": "IN", "comment_content": "(1) Comprised of 486,000 Class A ordinary shares and 10,254,000 Class B ordinary shares held by Osprey Acquisition Sponsor III, LLC. The Class B shares will automatically convert into Class A shares at the time of the Issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the Issuer's charter documents. Mr. Jonathan Cohen is a co-Managing Member of Hepco Capital Management, LLC, which is the Managing Member of Osprey Acquisition Sponsor III, LLC, and shares voting and investment power over shares held by that entity." }, { "accession_no": "0001213900-26-076122", "person_seq": 0, "reporting_person_cik": 1963529, "reporting_person_name": "Kamal Seyed Ghaffarian", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 146092.0, "shared_voting_power": 38282944.0, "sole_dispositive_power": 146092.0, "shared_dispositive_power": 38282944.0, "aggregate_amount_owned": 38429036.0, "percent_of_class": 19.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-076122", "person_seq": 1, "reporting_person_cik": 1965259, "reporting_person_name": "Ghaffarian Enterprises, LLC", "fund_type": "OO", "citizenship_or_org": "MD", "sole_voting_power": 0.0, "shared_voting_power": 36041823.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 36041823.0, "aggregate_amount_owned": 36041823.0, "percent_of_class": 18.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-076122", "person_seq": 2, "reporting_person_cik": 1965320, "reporting_person_name": "GM Enterprises, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2241121.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2241121.0, "aggregate_amount_owned": 2241121.0, "percent_of_class": 1.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-076496", "person_seq": 0, "reporting_person_cik": 2118009, "reporting_person_name": "Seth Demsey", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5540329.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5540329.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5540329.0, "percent_of_class": 20.0, "type_of_reporting_person": "IN", "comment_content": "(1) Consists of (i) 5,508,920 shares of Common Stock held directly by Mr. Seth Demsey (the \"Reporting Person\") and (ii) 31,409 shares of Common Stock held by Ainsworth Holdings, LLC (\"Ainsworth\"). The Reporting Person is the managing member of Ainsworth and has sole voting and dispositive power over the Common Stock held by Ainsworth. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Such amount excludes an additional 3,054,235 shares of Common Stock underlying restricted stock units that will not vest in the next 60 days and 2,902,143 shares of Common Stock underlying stock options that are not exercisable in the next 60 days.\n\n(2) Based on the 27,635,745 shares of Common Stock outstanding as of July 7, 2026." }, { "accession_no": "0001213900-26-076497", "person_seq": 0, "reporting_person_cik": 2117217, "reporting_person_name": "John Crystal III", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 4071809.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4071809.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4071809.0, "percent_of_class": 14.8, "type_of_reporting_person": "IN", "comment_content": "(1) Consists of (i) 3,360,488 shares of Common Stock held directly by Mr. John Crystal III (the \"Reporting Person\") and (ii) 711,321 shares of Common Stock held by the John Adler Crystal III Roth IRA (the \"Trust\"). The Reporting Person is the trustee of the Trust. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Such amount excludes an additional 3,054,235 shares of Common Stock underlying restricted stock units that will not vest in the next 60 days and 2,902,143 shares of Common Stock underlying stock options that are not exercisable in the next 60 days.\n\n (2) Based on the 27,635,745 shares of Common Stock outstanding as of July 7, 2026." }, { "accession_no": "0001213900-26-076525", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Golden Brighter Limited", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 84472001.0, "shared_voting_power": 0.0, "sole_dispositive_power": 84472001.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 84472001.0, "percent_of_class": 19.1, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7, 9, 11: Includes 84,472,001 Class A ordinary shares, par value $0.09 per share, of Maase Inc. (the \"Issuer\") held by Golden Brighter Limited.\nNote to Row 13: The percentage calculation is based on 442,175,578 ordinary shares (excluding treasury shares), comprising of 435,508,910 Class A ordinary shares (excluding treasury shares) and 6,666,668 Class B ordinary shares, of the Issuer outstanding as of July 8, 2026 according to records of the Issuer." }, { "accession_no": "0001213900-26-076525", "person_seq": 1, "reporting_person_cik": 2083035, "reporting_person_name": "Baron Ren", "fund_type": "PF", "citizenship_or_org": "S0", "sole_voting_power": 84472001.0, "shared_voting_power": 0.0, "sole_dispositive_power": 84472001.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 84472001.0, "percent_of_class": 19.1, "type_of_reporting_person": "IN", "comment_content": "Note to Row 7, 9, 11: Includes 84,472,001 Class A ordinary shares, par value $0.09 per share, of Maase Inc. (the \"Issuer\") held by Golden Brighter Limited. Golden Brighter Limited is wholly owned by Baron Ren.\nNote to Row 13: The percentage calculation is based on 442,175,578 ordinary shares (excluding treasury shares), comprising of 435,508,910 Class A ordinary shares (excluding treasury shares) and 6,666,668 Class B ordinary shares, of the Issuer outstanding as of July 8, 2026 according to records of the Issuer." }, { "accession_no": "0001213900-26-076794", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Lane Bess", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 185234.0, "shared_voting_power": 14836751.0, "sole_dispositive_power": 185234.0, "shared_dispositive_power": 14836751.0, "aggregate_amount_owned": 15021985.0, "percent_of_class": 10.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-076794", "person_seq": 1, "reporting_person_cik": 2068418, "reporting_person_name": "Bess Ventures & Advisory, LLC", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 0.0, "shared_voting_power": 14446783.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14446783.0, "aggregate_amount_owned": 14446783.0, "percent_of_class": 10.0, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001213900-26-076794", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Destin Huang Irrevocable Trust Dated October 19, 2021", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 0.0, "shared_voting_power": 389968.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 389968.0, "aggregate_amount_owned": 389968.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "Trust" }, { "accession_no": "0001213900-26-076953", "person_seq": 0, "reporting_person_cik": 1749628, "reporting_person_name": "L.I.A. Pure Capital Ltd.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2026100.0, "sole_dispositive_power": 1526100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1526100.0, "percent_of_class": 12.61, "type_of_reporting_person": "CO", "comment_content": "(1) Kfir Silberman is the officer, sole director, chairman of the board of directors and controlling shareholder of L.I.A. Pure Capital Ltd. (\"Pure Capital\").\n\n(2) Based on a total of 12,104,457 ordinary shares, par value NIS 0.20 per share, of Evogene Ltd. (the \"Issuer\" and the \"Ordinary Shares\", respectively) outstanding as of June 3, 2026 (as reported in the Issuer's prospectus supplement filed with the Securities and Exchange Commission on June 11, 2026 pursuant to the Issuer's Registration Statement on Form F-3 (File No. 333-277565)." }, { "accession_no": "0001213900-26-076953", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Kfir Silberman", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2026100.0, "sole_dispositive_power": 1526100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1526100.0, "percent_of_class": 12.61, "type_of_reporting_person": "IN", "comment_content": "(1) Kfir Silberman is the officer, sole director, chairman of the board of directors and controlling shareholder of Pure Capital.\n\n(2) Based on a total of 12,104,457 Ordinary Shares of the Issuer outstanding as of June 3, 2026 (as reported in the Issuer's prospectus supplement filed with the Securities and Exchange Commission on June 11, 2026 pursuant to the Issuer's Registration Statement on Form F-3 (File No. 333-277565)." }, { "accession_no": "0001213900-26-076953", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Invest Pro Shukai Hon Ltd.", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2026100.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 500000.0, "percent_of_class": 4.13, "type_of_reporting_person": "CO", "comment_content": "(1) The securities reported on this Schedule are held by Invest Pro Shukai Hon Ltd. (\"Invest Pro\"). Ron Yair Peled is the owner and the Chief Executive Officer of Invest Pro.\n\n(2) Based on a total of 12,104,457 Ordinary Shares of the Issuer outstanding as of June 3, 2026 (as reported in the Issuer's prospectus supplement filed with the Securities and Exchange Commission on June 11, 2026 pursuant to the Issuer's Registration Statement on Form F-3 (File No. 333-277565)." }, { "accession_no": "0001213900-26-076953", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Ron Yair Peled", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2026100.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 500000.0, "percent_of_class": 4.13, "type_of_reporting_person": "IN", "comment_content": "(1) The securities reported on this Schedule are held by Invest Pro. Ron Yair Peled is the owner and the Chief Executive Officer of Invest Pro.\n\n(2) Based on a total of 12,104,457 Ordinary Shares of the Issuer outstanding as of June 3, 2026 (as reported in the Issuer's prospectus supplement filed with the Securities and Exchange Commission on June 11, 2026 pursuant to the Issuer's Registration Statement on Form F-3 (File No. 333-277565)." }, { "accession_no": "0001213900-26-078067", "person_seq": 0, "reporting_person_cik": 2044217, "reporting_person_name": "Garden Investment Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3380845.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3380845.0, "aggregate_amount_owned": 3380845.0, "percent_of_class": 7.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-078067", "person_seq": 1, "reporting_person_cik": 2040173, "reporting_person_name": "GI SPV I L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3380845.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3380845.0, "aggregate_amount_owned": 3380845.0, "percent_of_class": 7.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-078067", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "GI SPV I GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3380845.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3380845.0, "aggregate_amount_owned": 3380845.0, "percent_of_class": 7.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-078067", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Garden Investment Management GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3380845.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3380845.0, "aggregate_amount_owned": 3380845.0, "percent_of_class": 7.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-078067", "person_seq": 4, "reporting_person_cik": 1257864, "reporting_person_name": "Edward P. Garden", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3380845.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3380845.0, "aggregate_amount_owned": 3380845.0, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-078102", "person_seq": 0, "reporting_person_cik": 1838395, "reporting_person_name": "Ocean Capital LLC", "fund_type": "WC", "citizenship_or_org": "PR", "sole_voting_power": 0.0, "shared_voting_power": 2181569.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2181569.0, "aggregate_amount_owned": 2181569.0, "percent_of_class": 8.1, "type_of_reporting_person": "OO", "comment_content": "Box 13 - The percentages used herein are based upon 27,070,104 shares of common stock outstanding, which represents the shares of common stock outstanding as of December 31, 2025, according to the Issuer's semi-annual certified shareholder report, filed with the Securities and Exchange Commission (the \"SEC\") on March 6, 2026 (the \"Shareholder Report\")." }, { "accession_no": "0001213900-26-078102", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "William Heath Hawk", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2181569.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2181569.0, "aggregate_amount_owned": 2181569.0, "percent_of_class": 8.1, "type_of_reporting_person": "IN", "comment_content": "Box 13 - The percentages used herein are based upon 27,070,104 shares of common stock outstanding, as disclosed in the Shareholder Report." }, { "accession_no": "0001213900-26-078102", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Ethan A. Danial", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1388483.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1388483.0, "aggregate_amount_owned": 1388483.0, "percent_of_class": 5.1, "type_of_reporting_person": "IN", "comment_content": "Box 11 - Consisting of 1,388,483 shares owned by RAD Investments, LLC, which Mr. Danial, as its manager, may be deemed to beneficially own.\n\nBox 13 - The percentages used herein are based upon 27,070,104 shares of common stock outstanding, as disclosed in the Shareholder Report." }, { "accession_no": "0001213900-26-078374", "person_seq": 0, "reporting_person_cik": 1868399, "reporting_person_name": "BT Parent GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8907540.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8907540.0, "aggregate_amount_owned": 8907540.0, "percent_of_class": 9.38, "type_of_reporting_person": "OO", "comment_content": "The reported percentage of shares of Class A Common Stock is based upon 89,672,978 shares of Class A Common Stock outstanding and 5,285,883 shares of Class A Common Stock issuable upon conversion of an equivalent number of units in a subsidiary of the Issuer (and cancellation of shares of Class V common stock) each as of April 29, 2026, as disclosed in the Issuer's Quarterly Report on Form 10-Q, filed by the Issuer with the SEC on May 4, 2026." }, { "accession_no": "0001213900-26-078374", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Beckham Aggregator, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 8907540.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 8907540.0, "aggregate_amount_owned": 8907540.0, "percent_of_class": 9.38, "type_of_reporting_person": "PN", "comment_content": "The reported percentage of shares of Class A Common Stock is based upon 89,672,978 shares of Class A Common Stock outstanding and 5,285,883 shares of Class A Common Stock issuable upon conversion of an equivalent number of units in a subsidiary of the Issuer (and cancellation of shares of Class V common stock) each as of April 29, 2026, as disclosed in the Issuer's Quarterly Report on Form 10-Q, filed by the Issuer with the SEC on May 4, 2026." }, { "accession_no": "0001213900-26-078511", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Swift Prime Limited", "fund_type": "AF", "citizenship_or_org": "D8", "sole_voting_power": 5000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5000000.0, "percent_of_class": 60.6, "type_of_reporting_person": "CO", "comment_content": "Note to Rows 7, 9 and 11: Represents 5,000,000 Class A common shares, par value US$0.0001 per share (the \"Class A Common Shares\"), of AIOS Tech Inc. issuable upon conversion of 5,000,000 Class B common shares, par value US$0.0001 per share (the \"Class B Common Shares\"), of AIOS Tech Inc. directly held by Swift Prime Limited. Each Class B Common Share is convertible into one Class A Common Share at the option of the holder at any time. Guo Li is the sole shareholder of Swift Prime Limited. Note to Row 13: The percentage calculation is based on 3,249,337 Class A Common Shares outstanding as of July 16, 2026, plus the 5,000,000 Class A Common Shares issuable upon conversion of the Class B Common Shares held by the Reporting Persons (the Class A Common Shares and the Class B Common Shares, collectively, the \"Common Shares\"), in accordance with Rule 13d-3(d)(1)(i) under the Securities Exchange Act of 1934, as amended." }, { "accession_no": "0001213900-26-078511", "person_seq": 1, "reporting_person_cik": 2121334, "reporting_person_name": "Guo Li", "fund_type": "PF", "citizenship_or_org": "F4", "sole_voting_power": 5000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5000000.0, "percent_of_class": 60.6, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7, 9 and 11: Represents 5,000,000 Class A common shares, par value US$0.0001 per share (the \"Class A Common Shares\"), of AIOS Tech Inc. issuable upon conversion of 5,000,000 Class B common shares, par value US$0.0001 per share (the \"Class B Common Shares\"), of AIOS Tech Inc. directly held by Swift Prime Limited. Each Class B Common Share is convertible into one Class A Common Share at the option of the holder at any time. Guo Li is the sole shareholder of Swift Prime Limited. Note to Row 13: The percentage calculation is based on 3,249,337 Class A Common Shares outstanding as of July 16, 2026, plus the 5,000,000 Class A Common Shares issuable upon conversion of the Class B Common Shares held by the Reporting Persons (the Class A Common Shares and the Class B Common Shares, collectively, the \"Common Shares\"), in accordance with Rule 13d-3(d)(1)(i) under the Securities Exchange Act of 1934, as amended." }, { "accession_no": "0001213900-26-079164", "person_seq": 0, "reporting_person_cik": 1960054, "reporting_person_name": "Kufu Company Holdings, Inc.", "fund_type": "WC", "citizenship_or_org": "M0", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-079434", "person_seq": 0, "reporting_person_cik": 2143461, "reporting_person_name": "Thien Chiet Chai", "fund_type": "PF", "citizenship_or_org": "N8", "sole_voting_power": 825980.0, "shared_voting_power": 0.0, "sole_dispositive_power": 825980.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 825980.0, "percent_of_class": 2.38, "type_of_reporting_person": "IN", "comment_content": "Represents 41,299 class B shares (the \"Class B Shares\") of Founder Group Ltd (the \"Issuer\"), which were owned directly and beneficially by the Reporting Person. Class B Shares are convertible at any time by the holder thereof into Class A Shares on a one-for-one basis. Each holder of Class A Shares is entitled to one vote per share and each holder of Class B Shares is entitled to twenty votes per share on all matters submitted to holders for vote.\n\nThe percentage of the Reporting Person's beneficial ownership in class are based on the assumption that all Class B Shares are converted into Class A Shares. The total number of shares on such as-converted basis is 1,731,736, according to information provided by the Issuer." }, { "accession_no": "0001213900-26-079434", "person_seq": 1, "reporting_person_cik": 2102425, "reporting_person_name": "Reservoir Link Energy Bhd", "fund_type": "OO", "citizenship_or_org": "N8", "sole_voting_power": 456500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 456500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 456500.0, "percent_of_class": 4.42, "type_of_reporting_person": "IN", "comment_content": "Represents 56,500 class A shares (the \"Class A Shares\") of Founder Group Ltd (the \"Issuer\") and 20,000 class B shares (the \"Class B Shares\") of Founder Group Ltd (the \"Issuer\"), which were owned directly and beneficially by the Reporting Person. Class B Shares are convertible at any time by the holder thereof into Class A Shares on a one-for-one basis. Each holder of Class A Shares is entitled to one vote per share and each holder of Class B Shares is entitled to twenty votes per share on all matters submitted to holders for vote.\n\nThe percentage of the Reporting Person's beneficial ownership in class are based on the assumption that all Class B Shares are converted into Class A Shares. The total number of shares on such as-converted basis is 1,731,736, according to information provided by the Issuer." }, { "accession_no": "0001213900-26-079436", "person_seq": 0, "reporting_person_cik": 2097274, "reporting_person_name": "Lee Seng Chi", "fund_type": "PF", "citizenship_or_org": "N8", "sole_voting_power": 1665060.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1665060.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1665060.0, "percent_of_class": 6.24, "type_of_reporting_person": "IN", "comment_content": "Represents 26,080 class A shares (the \"Class A Shares\") of Founder Group Ltd (the \"Issuer\") and 81,949 class B shares (the \"Class B Shares\") of the Issuer, which were owned directly and beneficially by the Reporting Person. Class B Shares are convertible at any time by the holder thereof into Class A Shares on a one-for-one basis. Each holder of Class A Shares is entitled to one vote per share and each holder of Class B Shares is entitled to twenty votes per share on all matters submitted to holders for vote.\n\nThe percentage of the Reporting Person's beneficial ownership in class are based on the assumption that all Class B Shares are converted into Class A Shares. The total number of shares on such as-converted basis is 1,731,736, according to information provided by the Issuer." }, { "accession_no": "0001213900-26-079584", "person_seq": 0, "reporting_person_cik": 1749628, "reporting_person_name": "L.I.A. Pure Capital Ltd.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2228100.0, "sole_dispositive_power": 1728100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2228100.0, "percent_of_class": 16.81, "type_of_reporting_person": "CO", "comment_content": "(1) The percentage of ordinary shares, par value NIS 0.20 per share, of Evogene Ltd. (the \"Ordinary Shares\" and the \"Issuer\", respectively) beneficially owned by the Reporting Person is based on at least 13,258,521 Ordinary Shares outstanding as of July 17, 2026. The Issuer disclosed in Amendment No. 1 to the Prospectus Supplement on Form 424(b)(5), filed with the Securities and Exchange Commission on July 17, 2026, that 13,258,521 Ordinary Shares were held by non-affiliates as of that date, but did not disclose the total number of ordinary shares outstanding. Accordingly, the actual number of ordinary shares outstanding, and therefore the Reporting Person's actual percentage ownership, may be lower than the percentage reported herein." }, { "accession_no": "0001213900-26-079584", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Kfir Silberman", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2228100.0, "sole_dispositive_power": 1728100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2228100.0, "percent_of_class": 16.81, "type_of_reporting_person": "IN", "comment_content": "(1) The securities reported on this Schedule are held by L.I.A. Pure Capital Ltd. (\"Pure Capital\"). Kfir Silberman is the officer, sole director, chairman of the board of directors and controlling shareholder of Pure Capital.\n\n(2) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on at least 13,258,521 Ordinary Shares outstanding as of July 17, 2026. The Issuer disclosed in Amendment No. 1 to the Prospectus Supplement on Form 424(b)(5), filed with the Securities and Exchange Commission on July 17, 2026, that 13,258,521 Ordinary Shares were held by non-affiliates as of that date, but did not disclose the total number of ordinary shares outstanding. Accordingly, the actual number of ordinary shares outstanding, and therefore the Reporting Person's actual percentage ownership, may be lower than the percentage reported herein." }, { "accession_no": "0001213900-26-079584", "person_seq": 2, "reporting_person_cik": 2110772, "reporting_person_name": "Invest Pro Shukai Hon Ltd.", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2228100.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2228100.0, "percent_of_class": 16.81, "type_of_reporting_person": "CO", "comment_content": "(1) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on at least 13,258,521 Ordinary Shares outstanding as of July 17, 2026. The Issuer disclosed in Amendment No. 1 to the Prospectus Supplement on Form 424(b)(5), filed with the Securities and Exchange Commission on July 17, 2026, that 13,258,521 Ordinary Shares were held by non-affiliates as of that date, but did not disclose the total number of ordinary shares outstanding. Accordingly, the actual number of ordinary shares outstanding, and therefore the Reporting Person's actual percentage ownership, may be lower than the percentage reported herein." }, { "accession_no": "0001213900-26-079584", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Ron Yair Peled", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2228100.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2228100.0, "percent_of_class": 16.81, "type_of_reporting_person": "IN", "comment_content": "(1) The securities reported on this Schedule are held by Invest Pro Shukai Hon Ltd. (\"Invest Pro\"). Ron Yair Peled is the owner and the Chief Executive Officer of Invest Pro.\n\n(2) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on at least 13,258,521 Ordinary Shares outstanding as of July 17, 2026. The Issuer disclosed in Amendment No. 1 to the Prospectus Supplement on Form 424(b)(5), filed with the Securities and Exchange Commission on July 17, 2026, that 13,258,521 Ordinary Shares were held by non-affiliates as of that date, but did not disclose the total number of ordinary shares outstanding. Accordingly, the actual number of ordinary shares outstanding, and therefore the Reporting Person's actual percentage ownership, may be lower than the percentage reported herein." }, { "accession_no": "0001213900-26-079699", "person_seq": 0, "reporting_person_cik": 2057625, "reporting_person_name": "LINGTAO KONG", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 114834.0, "shared_voting_power": 0.0, "sole_dispositive_power": 114834.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 114834.0, "percent_of_class": 3.2, "type_of_reporting_person": "IN", "comment_content": "(1) Consists of (i) ordinary shares, par value $0.15 per share (the \"Ordinary Shares\") held of record by Lingtao Kong, and (ii) Series A preferred shares, par value $0.001 (the \"Series A Preferred Shares\"), held of record by Lingtao Kong.\n\n(2) Each Series A Preferred Share is convertible at the option of the holder at any time into one Ordinary Share, subject to the terms of the Statement of Rights applicable to such Series A Preferred Shares.\n\n(3) The percentage calculation is based on an aggregate of 3,629,540 ordinary shares outstanding as of the date of this report, based on information provided by the Issuer." }, { "accession_no": "0001213900-26-080116", "person_seq": 0, "reporting_person_cik": 2140692, "reporting_person_name": "Jakhongir Abidovich Artikkhodjaev", "fund_type": "PF", "citizenship_or_org": "2K", "sole_voting_power": 4000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 79.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-080395", "person_seq": 0, "reporting_person_cik": 1649312, "reporting_person_name": "BW Group Ltd", "fund_type": "WC", "citizenship_or_org": "D0", "sole_voting_power": 5447578.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5447578.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5447578.0, "percent_of_class": 8.8, "type_of_reporting_person": "CO", "comment_content": "1. This percentage is based on a total of 61,699,971 outstanding shares of common stock of Navigator Holdings Ltd., which amount was disclosed in Navigator Holdings Ltd.'s Report of Foreign Private Issuer on Form 6-K filed with the Securities and Exchange Commission on May 6, 2026 (the \"Form 6-K\")." }, { "accession_no": "0001213900-26-080406", "person_seq": 0, "reporting_person_cik": 1176309, "reporting_person_name": "Oramed Pharmaceuticals Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 6879708.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6879708.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6879708.0, "percent_of_class": 3.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-080509", "person_seq": 0, "reporting_person_cik": 1816637, "reporting_person_name": "CC Capital GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 2908225.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2908225.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2908225.0, "percent_of_class": 12.39, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-080509", "person_seq": 1, "reporting_person_cik": 1306507, "reporting_person_name": "Chinh E. Chu", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 2908225.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2908225.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2908225.0, "percent_of_class": 12.39, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-080509", "person_seq": 2, "reporting_person_cik": 1985306, "reporting_person_name": "CC Capital SP, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 2908225.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2908225.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2908225.0, "percent_of_class": 12.39, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-080509", "person_seq": 3, "reporting_person_cik": 2070528, "reporting_person_name": "CC Capital Ventures, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 2908225.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2908225.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2908225.0, "percent_of_class": 12.39, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-080509", "person_seq": 4, "reporting_person_cik": 2070668, "reporting_person_name": "CC MI7 SPV, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 2908225.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2908225.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2908225.0, "percent_of_class": 12.39, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-080509", "person_seq": 5, "reporting_person_cik": 2070680, "reporting_person_name": "MI7 Sponsor, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 2908225.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2908225.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2908225.0, "percent_of_class": 12.39, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-080534", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "More Healthy Holdings Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 2700739.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2700739.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2700739.0, "percent_of_class": 70.0, "type_of_reporting_person": "CO", "comment_content": "(1) Represents 2,500,000 Class A ordinary shares, par value $0.744 per share (the \"Class A Ordinary Shares\") and 200,739 Class B ordinary shares, par value $0.744 per share (the \"Class B Ordinary Shares\") of Zhongchao Inc. (the \"Company\") held by More Healthy Holdings Limited (\"More Healthy\"). More Healthy is 100% owned by Weiguang Yang (\"Yang\"); accordingly, Yang is deemed to control More Healthy. Each Class A Ordinary Share entitles to one (1) vote, and each Class B Ordinary Share entitles to a thousand (1,000) votes. More Healthy is entitled to an aggregate of 203,239,000 votes. More Healthy maintains the right to convert its Class B Ordinary Shares into Class A Ordinary Shares at any time, in its sole discretion, on a one for one basis; following such conversion, the resulting Class A Ordinary Shares will retain the same one for one voting power as all other Class A Ordinary Shares. (2) The percentage is based on an aggregate of 3,856,682 Class A Ordinary Shares, including (i) 3,655,943 Class A Ordinary Shares issued and outstanding, and (ii) 200,739 Class A Ordinary Shares issuable upon the conversion of the Class B Ordinary Shares held by More Healthy as of the date hereof." }, { "accession_no": "0001213900-26-080534", "person_seq": 1, "reporting_person_cik": 1799603, "reporting_person_name": "Yang Weiguang", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 2707461.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2707461.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2707461.0, "percent_of_class": 70.1, "type_of_reporting_person": "IN", "comment_content": "(1) Represents (i) 2,500,000 Class A Ordinary Shares held by More Healthy, (ii) 200,739 Class B Ordinary Shares held by More Healthy, (iii) 740 unvested Class A Ordinary Shares directly held by Yang, and (iv) 5,982 unvested Class B Ordinary Shares directly held by Yang. Each Class A Ordinary Share entitles to one (1) vote, and each Class B Ordinary Shares entitles to a thousand (1,000) votes. Yang is entitled to an aggregate of 209,221,740 votes. Yang maintains the right to convert the Class B Ordinary Shares (except for the unvested Class B Ordinary Shares) into Class A Ordinary Shares at any time, in its sole discretion, on a one for one basis; following such conversion, the resulting Class A Ordinary Shares will retain the same one for one voting power as all other Class A Ordinary Shares. (2) The percentage is based on an aggregate of 3,862,664 Class A Ordinary Shares, including (i) 3,655,943 Class A Ordinary Shares issued and outstanding, and (ii) 206,721 Class A Ordinary Shares issuable upon the conversion of the Class B Ordinary Shares held by Yang, directly and indirectly, as of the date hereof, respectively." }, { "accession_no": "0001213900-26-081416", "person_seq": 0, "reporting_person_cik": 1438091, "reporting_person_name": "Kira S. Sheinerman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1515016.0, "shared_voting_power": 277.0, "sole_dispositive_power": 1515016.0, "shared_dispositive_power": 277.0, "aggregate_amount_owned": 1515293.0, "percent_of_class": 51.56, "type_of_reporting_person": "IN", "comment_content": "No funds or other consideration were used by the Reporting Person to acquire the shares of Common Stock reported herein. Such shares were issued to the Reporting Person solely as non-cash merger consideration in exchange for shares of common stock of DiamiR Biosciences Corp. previously held by the Reporting Person, pursuant to the Agreement and Plan of Merger, dated July 14, 2025, by and among Aptorum Group Limited, DiamiR Biosciences Corp. and the other parties thereto." }, { "accession_no": "0001213900-26-081435", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "BCRED X Holdings LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 48.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Blackstone Private Credit Fund", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 48.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Blackstone Private Multi-Asset Credit and Income Fund", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 8455758.36, "shared_voting_power": 0.0, "sole_dispositive_power": 8455758.36, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8455758.36, "percent_of_class": 21.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Blackstone Private Credit Strategies LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 27084052.96, "shared_voting_power": 0.0, "sole_dispositive_power": 27084052.96, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 27084052.96, "percent_of_class": 69.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Blackstone Credit BDC Advisors LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 48.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Blackstone Alternative Credit Advisors LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 48.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "GSO Capital Partners GP L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 48.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "StoneCo IV Corporation", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 48.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings AI L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 18628294.6, "shared_voting_power": 0.0, "sole_dispositive_power": 18628294.6, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18628294.6, "percent_of_class": 48.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings IV L.P.", "fund_type": "OO", "citizenship_or_org": "A8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings IV GP L.P.", "fund_type": "OO", "citizenship_or_org": "A8", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings IV GP Management (Delaware) L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings IV GP Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Blackstone Holdings I L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 27084052.96, "shared_voting_power": 0.0, "sole_dispositive_power": 27084052.96, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 27084052.96, "percent_of_class": 69.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 14, "reporting_person_cik": 1464695, "reporting_person_name": "Blackstone Holdings I/II GP L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 27084052.96, "shared_voting_power": 0.0, "sole_dispositive_power": 27084052.96, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 27084052.96, "percent_of_class": 69.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "Blackstone Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 27084052.96, "shared_voting_power": 0.0, "sole_dispositive_power": 27084052.96, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 27084052.96, "percent_of_class": 69.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 16, "reporting_person_cik": null, "reporting_person_name": "Blackstone Group Management L.L.C.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 27084052.96, "shared_voting_power": 0.0, "sole_dispositive_power": 27084052.96, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 27084052.96, "percent_of_class": 69.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-081435", "person_seq": 17, "reporting_person_cik": null, "reporting_person_name": "Stephen A. Schwarzman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 27084052.96, "shared_voting_power": 0.0, "sole_dispositive_power": 27084052.96, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 27084052.96, "percent_of_class": 69.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-081482", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "X S.E. Security and Defense Ltd.", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 168479.0, "shared_voting_power": 0.0, "sole_dispositive_power": 168479.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 168479.0, "percent_of_class": 16.67, "type_of_reporting_person": "CO", "comment_content": "The percentage is calculated based on 1,010,495 shares of common stock issued and outstanding as of July 6, 2026, reflecting the 1:125 reverse split effectuated by the Issuer on July 20, 2026." }, { "accession_no": "0001213900-26-081482", "person_seq": 1, "reporting_person_cik": 2146434, "reporting_person_name": "Elad Shohat", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 168479.0, "shared_voting_power": 0.0, "sole_dispositive_power": 168479.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 168479.0, "percent_of_class": 16.67, "type_of_reporting_person": "IN", "comment_content": "The percentage is calculated based on 1,010,495 shares of common stock issued and outstanding as of July 6, 2026, reflecting the 1:125 reverse split effectuated by the Issuer on July 20, 2026." }, { "accession_no": "0001213900-26-081575", "person_seq": 0, "reporting_person_cik": 1749628, "reporting_person_name": "L.I.A. Pure Capital Ltd.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2308100.0, "sole_dispositive_power": 1808100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2308100.0, "percent_of_class": 17.41, "type_of_reporting_person": "CO", "comment_content": "(1) The percentage of ordinary shares, par value NIS 0.20 per share, of Evogene Ltd. (the \"Ordinary Shares\" and the \"Issuer\", respectively) beneficially owned by the Reporting Person is based on at least 13,258,521 Ordinary Shares outstanding as of July 17, 2026. The Issuer disclosed in Amendment No. 1 to the Prospectus Supplement on Form 424(b)(5), filed with the Securities and Exchange Commission on July 17, 2026, that 13,258,521 Ordinary Shares were held by non-affiliates as of that date, but did not disclose the total number of ordinary shares outstanding. Accordingly, the actual number of ordinary shares outstanding may be higher, and therefore the Reporting Person's actual percentage ownership may be lower than the percentage reported herein." }, { "accession_no": "0001213900-26-081575", "person_seq": 1, "reporting_person_cik": 1626639, "reporting_person_name": "Kfir Silberman", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2308100.0, "sole_dispositive_power": 1808100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2308100.0, "percent_of_class": 17.41, "type_of_reporting_person": "IN", "comment_content": "(1) The securities reported on this Schedule are held by L.I.A. Pure Capital Ltd. (\"Pure Capital\"). Kfir Silberman is the officer, sole director, chairman of the board of directors and controlling shareholder of Pure Capital.\n\n(2) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on at least 13,258,521 Ordinary Shares outstanding as of July 17, 2026. The Issuer disclosed in Amendment No. 1 to the Prospectus Supplement on Form 424(b)(5), filed with the Securities and Exchange Commission on July 17, 2026, that 13,258,521 Ordinary Shares were held by non-affiliates as of that date, but did not disclose the total number of ordinary shares outstanding. Accordingly, the actual number of ordinary shares outstanding may be higher, and therefore the Reporting Person's actual percentage ownership may be lower than the percentage reported herein." }, { "accession_no": "0001213900-26-081575", "person_seq": 2, "reporting_person_cik": 2110772, "reporting_person_name": "Invest Pro Shukai Hon Ltd.", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2308100.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2308100.0, "percent_of_class": 17.41, "type_of_reporting_person": "CO", "comment_content": "(1) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on at least 13,258,521 Ordinary Shares outstanding as of July 17, 2026. The Issuer disclosed in Amendment No. 1 to the Prospectus Supplement on Form 424(b)(5), filed with the Securities and Exchange Commission on July 17, 2026, that 13,258,521 Ordinary Shares were held by non-affiliates as of that date, but did not disclose the total number of ordinary shares outstanding. Accordingly, the actual number of ordinary shares outstanding may be higher, and therefore the Reporting Person's actual percentage ownership may be lower than the percentage reported herein." }, { "accession_no": "0001213900-26-081575", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Ron Yair Peled", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2308100.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2308100.0, "percent_of_class": 17.41, "type_of_reporting_person": "IN", "comment_content": "(1) The securities reported on this Schedule are held by Invest Pro Shukai Hon Ltd. (\"Invest Pro\"). Ron Yair Peled is the owner and the Chief Executive Officer of Invest Pro.\n\n(2) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on at least 13,258,521 Ordinary Shares outstanding as of July 17, 2026. The Issuer disclosed in Amendment No. 1 to the Prospectus Supplement on Form 424(b)(5), filed with the Securities and Exchange Commission on July 17, 2026, that 13,258,521 Ordinary Shares were held by non-affiliates as of that date, but did not disclose the total number of ordinary shares outstanding. Accordingly, the actual number of ordinary shares outstanding may be higher, and therefore the Reporting Person's actual percentage ownership may be lower than the percentage reported herein." }, { "accession_no": "0001213900-26-081589", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "J.B.D Innovation Ltd.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 543361.0, "sole_dispositive_power": 477361.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 543361.0, "percent_of_class": 24.82, "type_of_reporting_person": "CO", "comment_content": "(1) Based on a total of 2,189,469 ordinary shares, no par value per share, of Wearable Devices Ltd. (the \"Ordinary Shares\" and the \"Issuer\", respectively) outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-081589", "person_seq": 1, "reporting_person_cik": 2092834, "reporting_person_name": "Nissim Daniel", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 543361.0, "sole_dispositive_power": 477361.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 543361.0, "percent_of_class": 24.82, "type_of_reporting_person": "IN", "comment_content": "(1) Nissim Daniel is the sole owner, the sole director and the Chief Executive Officer of J.B.D Innovation Ltd. (\"J.B.D\").\n\n(2) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-081589", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Victor Tshuva & Co. - Law Offices", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 543361.0, "sole_dispositive_power": 66000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 543361.0, "percent_of_class": 24.82, "type_of_reporting_person": "CO", "comment_content": "(1) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-081589", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Victor Tshuva", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 543361.0, "sole_dispositive_power": 66000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 543361.0, "percent_of_class": 24.82, "type_of_reporting_person": "IN", "comment_content": "(1) Victor Tshuva is the sole owner and the Chief Executive Officer of Victor Tshuva & Co. - Law Offices (\"Victor Tshuva & Co.\").\n\n(2) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-082465", "person_seq": 0, "reporting_person_cik": 2076660, "reporting_person_name": "Westin Investment Co. Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2247500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2247500.0, "aggregate_amount_owned": 2247500.0, "percent_of_class": 27.9, "type_of_reporting_person": "CO", "comment_content": "Includes (i) 2,012,500 Class B ordinary shares of the Issuer, par value $0.0001 per share, and (ii) 235,000 Class A ordinary shares underlying the Private Placement Units held directly by Westin Investment Co. Ltd. (the \"Sponsor\"). Effective July 24, 2026, EU Asia Holidays Pte. Ltd. acquired all of the issued and outstanding shares of the Sponsor from Westin Ventures Holdings, Ltd., and the Sponsor is now wholly owned by EU Asia Holidays Pte. Ltd., which is wholly owned by Mr. Ong Hanjie. Based on 8,055,000 Ordinary Shares outstanding as of May 15, 2026 (as reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026), the Reporting Person beneficially owns approximately 27.9% of the Issuer's outstanding Ordinary Shares." }, { "accession_no": "0001213900-26-082465", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "EU Asia Holidays Pte. Ltd.", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 2247500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2247500.0, "aggregate_amount_owned": 2247500.0, "percent_of_class": 27.9, "type_of_reporting_person": "CO", "comment_content": "Includes (i) 2,012,500 Class B ordinary shares of the Issuer, par value $0.0001 per share, and (ii) 235,000 Class A ordinary shares underlying the Private Placement Units held directly by Westin Investment Co. Ltd. (the \"Sponsor\"). EU Asia Holidays Pte. Ltd. is the sole shareholder of the Sponsor and may be deemed to beneficially own the securities held directly by the Sponsor. EU Asia Holidays Pte. Ltd. is wholly owned by Mr. Ong Hanjie, who may be deemed to beneficially own such securities by virtue of his ownership and control of EU Asia Holidays Pte. Ltd. Based on 8,055,000 Ordinary Shares outstanding as of May 15, 2026, the Reporting Person beneficially owns approximately 27.9% of the Issuer's outstanding Ordinary Shares." }, { "accession_no": "0001213900-26-082465", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Ong Hanjie", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 2247500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2247500.0, "aggregate_amount_owned": 2247500.0, "percent_of_class": 27.9, "type_of_reporting_person": "IN", "comment_content": "Includes (i) 2,012,500 Class B ordinary shares of the Issuer, par value $0.0001 per share, and (ii) 235,000 Class A ordinary shares underlying the Private Placement Units held directly by Westin Investment Co. Ltd. (the \"Sponsor\"). Mr. Ong Hanjie is the sole owner of EU Asia Holidays Pte. Ltd., which is the sole shareholder of the Sponsor, and may be deemed to beneficially own the securities held directly by the Sponsor by virtue of such ownership and control. Based on 8,055,000 Ordinary Shares outstanding as of May 15, 2026, the Reporting Person beneficially owns approximately 27.9% of the Issuer's outstanding Ordinary Shares." }, { "accession_no": "0001213900-26-082788", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "J.B.D Innovation Ltd.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 381361.0, "sole_dispositive_power": 315361.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 381361.0, "percent_of_class": 17.42, "type_of_reporting_person": "CO", "comment_content": "(1) Based on a total of 2,189,469 ordinary shares, no par value per share, of Wearable Devices Ltd. (the \"Ordinary Shares\" and the \"Issuer\", respectively) outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-082788", "person_seq": 1, "reporting_person_cik": 2092834, "reporting_person_name": "Nissim Daniel", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 381361.0, "sole_dispositive_power": 315361.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 381361.0, "percent_of_class": 17.42, "type_of_reporting_person": "IN", "comment_content": "(1) Nissim Daniel is the sole owner, the sole director and the Chief Executive Officer of J.B.D Innovation Ltd. (\"J.B.D\").\n\n(2) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-082788", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Victor Tshuva & Co. - Law Offices", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 381361.0, "sole_dispositive_power": 66000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 381361.0, "percent_of_class": 17.42, "type_of_reporting_person": "CO", "comment_content": "(1) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-082788", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Victor Tshuva", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 381361.0, "sole_dispositive_power": 66000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 381361.0, "percent_of_class": 17.42, "type_of_reporting_person": "IN", "comment_content": "(1) Victor Tshuva is the sole owner and the Chief Executive Officer of Victor Tshuva & Co. - Law Offices (\"Victor Tshuva & Co.\").\n\n(2) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-082834", "person_seq": 0, "reporting_person_cik": 1930869, "reporting_person_name": "BBFIT INVESTMENTS PTE LTD", "fund_type": "WC", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 7810531.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7810531.0, "aggregate_amount_owned": 7810531.0, "percent_of_class": 9.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-082834", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "THE BB FAMILY INTERNATIONAL TRUST", "fund_type": "AF", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 7810631.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7810631.0, "aggregate_amount_owned": 7810631.0, "percent_of_class": 9.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-082834", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "BBRC INTERNATIONAL PTE LTD", "fund_type": "AF", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 7810631.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7810631.0, "aggregate_amount_owned": 7810631.0, "percent_of_class": 9.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-082834", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "BRETT BLUNDY", "fund_type": "AF", "citizenship_or_org": "C3", "sole_voting_power": 0.0, "shared_voting_power": 7810631.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7810631.0, "aggregate_amount_owned": 7810631.0, "percent_of_class": 9.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-083008", "person_seq": 0, "reporting_person_cik": 1803391, "reporting_person_name": "SoftVest Advisors, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6217107.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217107.0, "aggregate_amount_owned": 6217107.0, "percent_of_class": 13.3, "type_of_reporting_person": "IA", "comment_content": "(1) Percentage based on 46,608,796 Units of Beneficial Interest (as defined below) of the Issuer (as defined below) outstanding as reported in the Issuer's Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001213900-26-083008", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "SoftVest GP I, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6217107.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217107.0, "aggregate_amount_owned": 6217107.0, "percent_of_class": 13.3, "type_of_reporting_person": "OO", "comment_content": "(2) Percentage based on 46,608,796 Units of Beneficial Interest (as defined below) of the Issuer (as defined below) outstanding as reported in the Issuer's Form 10-Q filed with the SEC on May 14, 2026. SoftVest GP I, LLC is the general partner of, and may be deemed to beneficially own securities owned by, SoftVest, L.P." }, { "accession_no": "0001213900-26-083008", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "SoftVest, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6217107.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217107.0, "aggregate_amount_owned": 6217107.0, "percent_of_class": 13.3, "type_of_reporting_person": "PN", "comment_content": "(3) Percentage based on 46,608,796 Units of Beneficial Interest (as defined below) of the Issuer (as defined below) outstanding as reported in the Issuer's Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001213900-26-083008", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Eric L. Oliver", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6217107.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6217107.0, "aggregate_amount_owned": 6217107.0, "percent_of_class": 13.3, "type_of_reporting_person": "IN", "comment_content": "(1) Excludes 17,000 Units of Beneficial Interest held by family members of and partnerships for the benefit of the family of Eric L. Oliver. Mr. Oliver disclaims beneficial ownership of any such Units of Beneficial Interest except to the extent of any pecuniary interest therein.\n\n (2) Percentage based on 46,608,796 Units of Beneficial Interest (as defined below) of the Issuer (as defined below) outstanding as reported in the Issuer's Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001213900-26-083036", "person_seq": 0, "reporting_person_cik": 2112801, "reporting_person_name": "Junli Yang", "fund_type": "PF", "citizenship_or_org": "F4", "sole_voting_power": 104067616.0, "shared_voting_power": 0.0, "sole_dispositive_power": 104067616.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 104067616.0, "percent_of_class": 17.1, "type_of_reporting_person": "IN", "comment_content": "(1) This statement on Schedule 13D is filed by Junli Yang (\"Ms. Yang\"), an individual, and Quantum Leap Limited, a British Virgin Islands Company (\"Quantum Leap,\" collectively, with Ms. Yang, the \"Reporting Persons\"). The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D.\n\n(2) Consists of (a) 20,000,000 Class A ordinary shares, par value US$0.001 per share (the \"Class A Ordinary Shares\"), of TOP Financial Group Limited (the \"Issuer\") held by Zhong Yang Holdings (BVI) Limited (\"Zhong Yang Holdings\") and (b) 84,067,616 Class A Ordinary Shares held by Quantum Leap. Ms. Yang is the majority shareholder and sole director of Zhong Yang Holdings and, as such, may be deemed to exercise sole voting and sole dispositive power over these shares. Ms. Yang is the sole shareholder and sole director of Quantum Leap and, as such, exercises sole voting and sole dispositive power over these shares.\n\n(3) The percentage reported in Item 13 above is based on a total of 608,527,305 issued and outstanding Class A Ordinary Shares of the Issuer as of July 21, 2026, as reported in the Issuer's shareholder list obtained from the Company's transfer agent." }, { "accession_no": "0001213900-26-083036", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Quantum Leap Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 84067616.0, "shared_voting_power": 0.0, "sole_dispositive_power": 84067616.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 84067616.0, "percent_of_class": 13.81, "type_of_reporting_person": "CO", "comment_content": "(1) This statement on Schedule 13D is filed by Quantum Leap and Ms. Yang collectively as the Reporting Persons. The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D.\n\n(2) Ms. Yang is the sole shareholder and sole director of Quantum Leap and, as such, exercises sole voting and sole dispositive power over these shares.\n\n(3) The percentage reported in Item 13 above is based on a total of 608,527,305 issued and outstanding Class A Ordinary Shares of the Issuer as of July 21, 2026." }, { "accession_no": "0001213900-26-083951", "person_seq": 0, "reporting_person_cik": 1649312, "reporting_person_name": "BW Group Ltd", "fund_type": "WC", "citizenship_or_org": "D0", "sole_voting_power": 4759078.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4759078.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4759078.0, "percent_of_class": 7.7, "type_of_reporting_person": "CO", "comment_content": "1. This percentage is based on a total of 61,699,971 outstanding shares of common stock of Navigator Holdings Ltd., which amount was disclosed in Navigator Holdings Ltd.'s Report of Foreign Private Issuer on Form 6-K filed with the Securities and Exchange Commission on May 6, 2026 (the \"Form 6-K\")." }, { "accession_no": "0001213900-26-084165", "person_seq": 0, "reporting_person_cik": 1201333, "reporting_person_name": "SUBIN NEIL S", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1985952.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1985952.0, "aggregate_amount_owned": 1985952.0, "percent_of_class": 13.0, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 8, 9, 10 and 11: Represents (i) 48,483 common shares owned of record by MILFAM LLC; (ii) 31,033 common shares, par value $0.001 per share (\"common shares\"), of Scully Royalty Ltd. (the \"Issuer\") owned of record by Catherine C. Miller Irrevocable Trust; (iii) 22,456 common shares owned of record by Catherine C Miller Trust A-3; (iv) 215,042 common shares owned of record by Catherine C Miller Revocable Trust; (v) 20,658 common shares owned of record by Kimberley S. Miller GST Trust; (vi) 188,687 common shares owned of record by LIMFAM LLC; (vii) 163,005 common shares owned of record by LIM III Estate LLC; (viii) 64,715 common shares owned of record by Lloyd I. Miller Trust A-1; (ix) 28,355 common shares owned of record by Catherine C Miller Estate; (x) 5,330 common shares owned of record by Lloyd I. Miller, III Irrevocable Trust; (xi) 32,693 common shares owned of record by Miller Great Grandchildren Trust; (xii) 176,735 common shares owned of record by Susan F. Miller Spousal Trust A-4; (xiii) 176,734 common shares owned of record by Miller Family Education and Medical Trust; (xiv) 150,282 common shares owned of record by MILFAM I L.P.; (xv) 428,563 common shares owned of record by MILFAM II L.P.; (xvi) 26,611 common shares owned of record by MILFAM III LLC; (xvii) 40,250 common shares owned of record by Susan F. Miller; and (xviii) 166,320 common shares owned of record by Alimco Re Ltd. Mr. Subin is the President and Manager of MILFAM LLC, which serves as manager, general partner, or advisor of a number of the foregoing entities formerly managed or advised by the late Lloyd I. Miller, III, and he also serves as trustee of a number of the foregoing trusts for the benefit of the family of the late Mr. Lloyd I. Miller, III, consequently, he may be deemed the beneficial owner of the shares specified in clauses (i) through (xviii) of the preceding sentence. Mr. Subin disclaims beneficial ownership of any shares other than to the extent he may have a pecuniary interest therein.\n\nNote to Row 13: The percentage reported in this Amendment No. 7 to Schedule 13D (this \"Amendment No. 7\") is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Issuer's Current Report on Form 6-K (\"Form 6-K\") as filed with the U.S. Securities and Exchange Commission on December 5, 2025)." }, { "accession_no": "0001213900-26-084165", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "MILFAM LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1957597.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1957597.0, "aggregate_amount_owned": 1957597.0, "percent_of_class": 12.9, "type_of_reporting_person": "OO", "comment_content": "Note to Rows 8, 10 and 11: Represents (i) 22,456 common shares owned of record by Catherine C Miller Trust A-3; (ii) 215,042 common shares owned of record by Catherine C Miller Revocable Trust; (iii) 188,687 common shares owned of record by LIMFAM LLC; (iv) 163,005 common shares owned of record by LIM III Estate LLC; (v) 64,715 common shares owned of record by Lloyd I. Miller Trust A-1; (vi) 176,735 common shares owned of record by Susan F. Miller Spousal Trust A-4; (vii) 176,734 common shares owned of record by Miller Family Education and Medical Trust; (viii) 150,282 common shares owned of record by MILFAM I L.P.; (ix) 428,563 common shares owned of record by MILFAM II L.P.; (x) 26,611 common shares owned of record by MILFAM III LLC; (xi) 48,483 common shares owned of record by MILFAM LLC; (xii) 166,320 common shares owned of record by Alimco Re Ltd.; (xiii) 31,033 common shares owned of record by Catherine C. Miller Irrevocable Trust; (xiv) 20,658 common shares owned of record by Kimberley S. Miller GST Trust; (xv) 32,693 common shares owned of record by Miller Great Grandchildren Trust; (xvi) 5,330 common shares owned of record by Lloyd I. Miller, III Irrevocable Trust; and (xvii) 40,250 common shares owned of record by Susan F. Miller. MILFAM LLC serves as manager, general partner, or advisor of the foregoing entities formerly managed or advised by the late Lloyd I. Miller, III, consequently, it may be deemed the beneficial owner of the shares specified in clauses (i) through (xvii) of the preceding sentence. MILFAM LLC disclaims beneficial ownership of any shares other than to the extent it may have a pecuniary interest therein.\n\nNote to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Alimco Re Ltd.", "fund_type": "WC", "citizenship_or_org": "D0", "sole_voting_power": 0.0, "shared_voting_power": 166320.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 166320.0, "aggregate_amount_owned": 166320.0, "percent_of_class": 1.1, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Catherine C. Miller Irrevocable Trust", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 31033.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 31033.0, "aggregate_amount_owned": 31033.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Catherine C Miller Trust A-3", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 22456.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22456.0, "aggregate_amount_owned": 22456.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Catherine C Miller Revocable Trust", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 215042.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 215042.0, "aggregate_amount_owned": 215042.0, "percent_of_class": 1.4, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Kimberley S. Miller GST Trust", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 20658.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20658.0, "aggregate_amount_owned": 20658.0, "percent_of_class": 0.1, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "LIMFAM LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 188687.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 188687.0, "aggregate_amount_owned": 188687.0, "percent_of_class": 1.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 8, "reporting_person_cik": null, "reporting_person_name": "LIM III Estate LLC", "fund_type": "PF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 163005.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 163005.0, "aggregate_amount_owned": 163005.0, "percent_of_class": 1.1, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Lloyd I. Miller Trust A-1", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 64715.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 64715.0, "aggregate_amount_owned": 64715.0, "percent_of_class": 0.4, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Catherine C Miller Estate", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 28355.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28355.0, "aggregate_amount_owned": 28355.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 11, "reporting_person_cik": null, "reporting_person_name": "Lloyd I. Miller, III Irrevocable Trust", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 5330.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5330.0, "aggregate_amount_owned": 5330.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "Miller Great Grandchildren Trust", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 32693.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32693.0, "aggregate_amount_owned": 32693.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 13, "reporting_person_cik": null, "reporting_person_name": "Susan F. Miller Spousal Trust A-4", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 176735.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 176735.0, "aggregate_amount_owned": 176735.0, "percent_of_class": 1.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 14, "reporting_person_cik": null, "reporting_person_name": "Miller Family Education and Medical Trust", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 176734.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 176734.0, "aggregate_amount_owned": 176734.0, "percent_of_class": 1.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 15, "reporting_person_cik": null, "reporting_person_name": "MFTC, LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 353469.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 353469.0, "aggregate_amount_owned": 353469.0, "percent_of_class": 2.3, "type_of_reporting_person": "OO", "comment_content": "Note to Rows 8, 10 and 11:\n\nRepresents (i) 176,735 common shares owned of record by Susan F. Miller Spousal Trust A-4 and (ii) 176,734 common shares owned of record by Miller Family Education and Medical Trust. Effective April 4, 2026, Mr. Subin resigned as trustee and MFTC, LLC (\"MFTC\") was appointed as trustee of the Susan F. Miller Spousal Trust A-4 and the Miller Family Education and Medical Trust, consequently, MFTC may be deemed the beneficial owner of the shares specified in clauses (i) and (ii) of the preceding sentence. MFTC disclaims beneficial ownership of any shares other than to the extent it may have a pecuniary interest therein.\n\nNote to Row 13:\n\nThe percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 16, "reporting_person_cik": null, "reporting_person_name": "MILFAM I L.P.", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 150282.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 150282.0, "aggregate_amount_owned": 150282.0, "percent_of_class": 1.0, "type_of_reporting_person": "PN", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 17, "reporting_person_cik": null, "reporting_person_name": "MILFAM II L.P.", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 428563.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 428563.0, "aggregate_amount_owned": 428563.0, "percent_of_class": 2.8, "type_of_reporting_person": "PN", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 18, "reporting_person_cik": null, "reporting_person_name": "MILFAM III LLC", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 26611.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 26611.0, "aggregate_amount_owned": 26611.0, "percent_of_class": 0.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084165", "person_seq": 19, "reporting_person_cik": null, "reporting_person_name": "Susan F. Miller", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 40250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 40250.0, "aggregate_amount_owned": 40250.0, "percent_of_class": 0.3, "type_of_reporting_person": "IN", "comment_content": "Note to Row 13: The percentage reported in this Amendment No. 7 is based upon 15,226,351 common shares outstanding as of November 24, 2025 (according to the Form 6-K)." }, { "accession_no": "0001213900-26-084715", "person_seq": 0, "reporting_person_cik": 1868194, "reporting_person_name": "Chia-Lin Simmons", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 74965.0, "shared_voting_power": 0.0, "sole_dispositive_power": 74965.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 74965.0, "percent_of_class": 8.3, "type_of_reporting_person": "IN", "comment_content": "The beneficial ownership percentage set forth in this Statement on Schedule 13D (this ''Schedule 13D'') is based on 899,759 shares of common stock, par value $0.0001 per share (the ''Common Stock''), issued and outstanding as of August 3, 2026, as verified with the issuer." }, { "accession_no": "0001213900-26-084729", "person_seq": 0, "reporting_person_cik": 2143055, "reporting_person_name": "Market Technology Acquisition Sponsor LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 7285833.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7285833.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7285833.0, "percent_of_class": 26.0, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 452,500 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 6,833,333 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at the option of the holder at any time prior to the Issuer's initial business combination, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-296835).The 452,500 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-half of one redeemable warrant, each whole warrant exercisable into one Class A Ordinary Share commencing 30 days after the consummation of the Issuer's initial business combination), acquired by and between Market Technology Acquisition Sponsor LLC (the \"Sponsor\") pursuant to a Private Placement Units Purchase Agreement by and between the Sponsor and the Issuer. Jonathan Slone, the Chief Executive Officer and Chairman of the Issuer is the managing member of the Sponsor and accordingly Mr. Slone may be deemed to have beneficial ownership of the securities reported herein. Mr. Slone disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly." }, { "accession_no": "0001213900-26-084729", "person_seq": 1, "reporting_person_cik": 2143048, "reporting_person_name": "Jonathan David Slone", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 7285833.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7285833.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7285833.0, "percent_of_class": 26.0, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 452,500 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 6,833,333 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at the option of the holder at any time prior to the Issuer's initial business combination, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-296835).The 452,500 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-half of one redeemable warrant, each whole warrant exercisable into one Class A Ordinary Share commencing 30 days after the consummation of the Issuer's initial business combination), acquired by Market Technology Acquisition Sponsor LLC (the \"Sponsor\") pursuant to a Private Placement Units Purchase Agreement by and between the Sponsor and the Issuer. Jonathan Slone, the Chief Executive Officer and Chairman of the Issuer is the managing member of the Sponsor and accordingly Mr. Slone may be deemed to have beneficial ownership of securities reported herein. Mr. Slone disclaims any ownership of the securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly." }, { "accession_no": "0001213900-26-084888", "person_seq": 0, "reporting_person_cik": 1905660, "reporting_person_name": "HUB Cyber Security Ltd.", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 14709204.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14709204.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14709204.0, "percent_of_class": 9.99, "type_of_reporting_person": "CO", "comment_content": "(1) Consists of shares of common stock, par value $0.0001 per share (the \"Common Stock\"), of Evofem Biosciences, Inc. (the \"Issuer\") issuable upon conversion of the Evofem Notes and exercise of the Purchase Rights (each as defined in Item 3) held by HUB Cyber Security Ltd. (\"HUB\"). The Evofem Notes are convertible, and the Purchase Rights are exercisable, at $0.0154 per share (subject to adjustment) and, without giving effect to the beneficial ownership limitations described below and the limitations of the Issuer's available authorized Common Stock, would be convertible into or exercisable for approximately 1,268,016,000 shares of Common Stock in the aggregate. Pursuant to Section 3(d) of each Evofem Note, the Evofem Notes may not be converted to the extent that, after giving effect to such conversion, HUB (together with its affiliates and any other persons whose beneficial ownership of Common Stock would be aggregated with HUB's for purposes of Section 13(d) of the Act) would beneficially own in excess of 9.99% of the outstanding Common Stock, which limitation may not be waived and applies to any successor holder. The Purchase Rights may not be exercised to the extent the holder (together with its attribution parties) would beneficially own in excess of 4.99% of the outstanding Common Stock, which percentage may be increased by the holder upon not less than 61 days' prior notice to the Issuer up to a maximum of 9.99%. Accordingly, the number of shares reported reflects the maximum number of shares of Common Stock that HUB has the right to acquire within 60 days, giving effect to such limitations (9.99% of the outstanding Common Stock, calculated as described in note (2)).\n\n(2) Based on 132,530,081 shares of Common Stock outstanding as of May 11, 2026, as reported on the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 15, 2026, plus the 14,709,204 shares of Common Stock issuable to HUB described in note (1), in accordance with Rule 13d-3(d)(1)(i) under the Act. The percentage in row (13) is presented to the nearest hundredth of one percent because the Beneficial Ownership Limitations described in note (1) cap HUB's beneficial ownership below 9.99% of the outstanding Common Stock; rounding to the nearest tenth of one percent would state a percentage in excess of that maximum." }, { "accession_no": "0001213900-26-084908", "person_seq": 0, "reporting_person_cik": 2118826, "reporting_person_name": "Pingting Zhang", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-084908", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Xingji Zhangpingting Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 42500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 42500.0, "aggregate_amount_owned": 42500.0, "percent_of_class": 1.33, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-084909", "person_seq": 0, "reporting_person_cik": 2118826, "reporting_person_name": "Pingting Zhang", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-084909", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Xingji Zhangpingting Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 2032500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2032500.0, "aggregate_amount_owned": 2032500.0, "percent_of_class": 63.64, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-085176", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "J.B.D Innovation Ltd.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 381361.0, "sole_dispositive_power": 315361.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 381361.0, "percent_of_class": 17.42, "type_of_reporting_person": "CO", "comment_content": "(1) Based on a total of 2,189,469 ordinary shares, no par value per share, of Wearable Devices Ltd. (the \"Ordinary Shares\" and the \"Issuer\", respectively) outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-085176", "person_seq": 1, "reporting_person_cik": 2092834, "reporting_person_name": "Nissim Daniel", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 381361.0, "sole_dispositive_power": 315361.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 381361.0, "percent_of_class": 17.42, "type_of_reporting_person": "IN", "comment_content": "(1) Nissim Daniel is the sole owner, the sole director and the Chief Executive Officer of J.B.D Innovation Ltd. (\"J.B.D\").\n\n(2) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-085176", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Victor Tshuva & Co. - Law Offices", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 381361.0, "sole_dispositive_power": 66000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 381361.0, "percent_of_class": 17.42, "type_of_reporting_person": "CO", "comment_content": "(1) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-085176", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Victor Tshuva", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 381361.0, "sole_dispositive_power": 66000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 381361.0, "percent_of_class": 17.42, "type_of_reporting_person": "IN", "comment_content": "(1) Victor Tshuva is the sole owner and the Chief Executive Officer of Victor Tshuva & Co. - Law Offices (\"Victor Tshuva & Co.\").\n\n(2) Based on a total of 2,189,469 Ordinary Shares outstanding as of June 17, 2026 (as reported in the Issuer's Report on Form 6-K filed with the Securities and Exchange Commission on June 17, 2026)." }, { "accession_no": "0001213900-26-085704", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "BJ's Act III, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 349152.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 349152.0, "aggregate_amount_owned": 349152.0, "percent_of_class": 1.6, "type_of_reporting_person": "OO", "comment_content": "Box 13\n\nBased on a total of 21,813,041 shares of Common Stock, which is calculated based upon the sum of (a) 21,273,765 shares of Common Stock issued and outstanding as of July 28, 2026 as disclosed by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on July 31, 2026 (the \"10-Q\") and (b) 539,276 shares of Common Stock issued upon cashless exercise of warrants on August 3, 2026." }, { "accession_no": "0001213900-26-085704", "person_seq": 1, "reporting_person_cik": 1750383, "reporting_person_name": "Act III Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 349152.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 349152.0, "aggregate_amount_owned": 349152.0, "percent_of_class": 1.6, "type_of_reporting_person": "OO", "comment_content": "Box 13\n\nBased on a total of 21,813,041 shares of Common Stock, which is calculated based upon the sum of (a) 21,273,765 shares of Common Stock issued and outstanding as of July 28, 2026 as disclosed by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on July 31, 2026 (the \"10-Q\") and (b) 539,276 shares of Common Stock issued upon cashless exercise of warrants on August 3, 2026." }, { "accession_no": "0001213900-26-085704", "person_seq": 2, "reporting_person_cik": 1034193, "reporting_person_name": "Ronald M. Shaich", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 349152.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 349152.0, "aggregate_amount_owned": 349152.0, "percent_of_class": 1.6, "type_of_reporting_person": "IN", "comment_content": "Box 13\n\nBased on a total of 21,813,041 shares of Common Stock, which is calculated based upon the sum of (a) 21,273,765 shares of Common Stock issued and outstanding as of July 28, 2026 as disclosed by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on July 31, 2026 (the \"10-Q\") and (b) 539,276 shares of Common Stock issued upon cashless exercise of warrants on August 3, 2026." }, { "accession_no": "0001213900-26-085791", "person_seq": 0, "reporting_person_cik": 2146403, "reporting_person_name": "Catalyst Sponsor LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 6020000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6020000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6020000.0, "percent_of_class": 22.2, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 270,000 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 5,750,000 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297309). Of the 5,750,000 Class B Ordinary Shares held, up to 462,500 shares remain subject to forfeiture in the event that the underwriter in the Issuer's initial public offering does not fully exercise its over-allotment option. The 270,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one right to receive one-seventh (1/7) of a Class A Ordinary Share upon the consummation of an initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between Catalyst Sponsor LLC (the \"Sponsor\") and the Issuer.\n\n(2) Excludes 38,571 Class A Ordinary Shares which will be issued upon the conversion of 270,000 rights upon the consummation of the Issuer's initial business combination." }, { "accession_no": "0001213900-26-086254", "person_seq": 0, "reporting_person_cik": 2070001, "reporting_person_name": "Ng Chen Lok", "fund_type": "PF", "citizenship_or_org": "N8", "sole_voting_power": 8752600.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8752600.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8752600.0, "percent_of_class": 41.78, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001213900-26-086671", "person_seq": 0, "reporting_person_cik": 1510196, "reporting_person_name": "Andrew Fentress", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1029855.0, "shared_voting_power": 44799.0, "sole_dispositive_power": 1029855.0, "shared_dispositive_power": 44799.0, "aggregate_amount_owned": 1074654.0, "percent_of_class": 7.99, "type_of_reporting_person": "IN", "comment_content": "The calculation of the foregoing percentage is based on 13,452,489 shares of Common Stock outstanding, as reported in the periodic report on Form 8-K of ACRES Commercial Realty Corp. as filed with the Securities and Exchange Commission on August 6, 2026." }, { "accession_no": "0001213900-26-086671", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "ESD Capital, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 988453.0, "shared_voting_power": 0.0, "sole_dispositive_power": 988453.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 988453.0, "percent_of_class": 7.35, "type_of_reporting_person": "OO", "comment_content": "The calculation of the foregoing percentage is based on 13,452,489 shares of Common Stock outstanding, as reported in the periodic report on Form 8-K of ACRES Commercial Realty Corp. as filed with the Securities and Exchange Commission on August 6, 2026." }, { "accession_no": "0001213900-26-086671", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Priority One Productions LLC", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 892213.0, "shared_voting_power": 0.0, "sole_dispositive_power": 892213.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 892213.0, "percent_of_class": 6.63, "type_of_reporting_person": "OO", "comment_content": "The calculation of the foregoing percentage is based on 13,452,489 shares of Common Stock outstanding, as reported in the periodic report on Form 8-K of ACRES Commercial Realty Corp. as filed with the Securities and Exchange Commission on August 6, 2026." }, { "accession_no": "0001213900-26-086671", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Wendy Fentress", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 892213.0, "shared_voting_power": 0.0, "sole_dispositive_power": 892213.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 892213.0, "percent_of_class": 6.63, "type_of_reporting_person": "IN", "comment_content": "The calculation of the foregoing percentage is based on 13,452,489 shares of Common Stock outstanding, as reported in the periodic report on Form 8-K of ACRES Commercial Realty Corp. as filed with the Securities and Exchange Commission on August 6, 2026." }, { "accession_no": "0001213900-26-086672", "person_seq": 0, "reporting_person_cik": 1395107, "reporting_person_name": "Mark Fogel", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1447218.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1447218.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1447218.0, "percent_of_class": 10.76, "type_of_reporting_person": "IN", "comment_content": "The calculation of the foregoing percentage is based on 13,452,489 shares of Common Stock outstanding, as reported in the periodic report on Form 8-K of ACRES Commercial Realty Corp. as filed with the Securities and Exchange Commission on August 6, 2026." }, { "accession_no": "0001213900-26-086674", "person_seq": 0, "reporting_person_cik": 1749628, "reporting_person_name": "L.I.A. Pure Capital Ltd.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2524400.0, "sole_dispositive_power": 2024400.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524400.0, "percent_of_class": 15.98, "type_of_reporting_person": "CO", "comment_content": "(1) The percentage of ordinary shares, par value NIS 0.20 per share, of Evogene Ltd. (the \"Ordinary Shares\" and the \"Issuer\", respectively) beneficially owned by the Reporting Person is based on 15,801,407 Ordinary Shares outstanding as of July 27, 2026, as reported by the Issuer in the Issuer's Proxy Statement for its 2026 Annual General Meeting of Shareholders, dated July 31, 2026, attached as Exhibit 99.2 to the Issuer's Form 6-K that was furnished to the U.S. Securities and Exchange Commission on July 31, 2026." }, { "accession_no": "0001213900-26-086674", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Kfir Silberman", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2524400.0, "sole_dispositive_power": 2024400.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524400.0, "percent_of_class": 15.98, "type_of_reporting_person": "IN", "comment_content": "(1) The securities reported on this Schedule are held by L.I.A. Pure Capital Ltd. (\"Pure Capital\"). Kfir Silberman is the officer, sole director, chairman of the board of directors and controlling shareholder of Pure Capital.\n\n(2) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on 15,801,407 Ordinary Shares outstanding as of July 27, 2026, as reported by the Issuer in the Issuer's Proxy Statement for its 2026 Annual General Meeting of Shareholders, dated July 31, 2026, attached as Exhibit 99.2 to the Issuer's Form 6-K that was furnished to the U.S. Securities and Exchange Commission on July 31, 2026." }, { "accession_no": "0001213900-26-086674", "person_seq": 2, "reporting_person_cik": 2110772, "reporting_person_name": "Invest Pro Shukai Hon Ltd.", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2524400.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524400.0, "percent_of_class": 15.98, "type_of_reporting_person": "CO", "comment_content": "(1) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on 15,801,407 Ordinary Shares outstanding as of July 27, 2026, as reported by the Issuer in the Issuer's Proxy Statement for its 2026 Annual General Meeting of Shareholders, dated July 31, 2026, attached as Exhibit 99.2 to the Issuer's Form 6-K that was furnished to the U.S. Securities and Exchange Commission on July 31, 2026." }, { "accession_no": "0001213900-26-086674", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Ron Yair Peled", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 2524400.0, "sole_dispositive_power": 500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2524400.0, "percent_of_class": 15.98, "type_of_reporting_person": "IN", "comment_content": "(1) The securities reported on this Schedule are held by Invest Pro Shukai Hon Ltd. (\"Invest Pro\"). Ron Yair Peled is the owner and the Chief Executive Officer of Invest Pro.\n\n(2) The percentage of Ordinary Shares beneficially owned by the Reporting Person is based on 15,801,407 Ordinary Shares outstanding as of July 27, 2026, as reported by the Issuer in the Issuer's Proxy Statement for its 2026 Annual General Meeting of Shareholders, dated July 31, 2026, attached as Exhibit 99.2 to the Issuer's Form 6-K that was furnished to the U.S. Securities and Exchange Commission on July 31, 2026." }, { "accession_no": "0001213900-26-086681", "person_seq": 0, "reporting_person_cik": 2137325, "reporting_person_name": "Martin Reasoner", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1535506.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1535506.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1535506.0, "percent_of_class": 11.41, "type_of_reporting_person": "IN", "comment_content": "The calculation of the foregoing percentage is based on 13,452,489 shares of Common Stock outstanding, as reported in the periodic report on Form 8-K of ACRES Commercial Realty Corp. as filed with the Securities and Exchange Commission on August 6, 2026." }, { "accession_no": "0001213900-26-086686", "person_seq": 0, "reporting_person_cik": 1926719, "reporting_person_name": "ACRES Share Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-086686", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "ACRES Capital, LLC", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-086686", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "ACRES Holdings, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001213900-26-086686", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "ACRES Capital Corp.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001213900-26-086736", "person_seq": 0, "reporting_person_cik": 2124749, "reporting_person_name": "Churchill Sponsor XIII LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 14150000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 14150000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 14150000.0, "percent_of_class": 25.47, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 350,000 of the Issuer's Class A ordinary shares, $0.0001 par value (\"Class A Ordinary Shares\") and 13,800,000 of the Issuer's Class B ordinary shares, $0.0001 par value (\"Class B Ordinary Shares\" and, together with the Class A Ordinary Shares, the \"Ordinary Shares\"), which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297472). The 350,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-tenth of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between Churchill Sponsor XIII LLC (the \"Sponsor\") and the Issuer. Michael Klein, the Chief Executive Officer, President and Chairman of the Board of Directors of the Issuer, is the controlling stockholder of M. Klein Associates, Inc., which is the managing member of the Sponsor and accordingly Mr. Klein may be deemed to have beneficial ownership of securities reported herein. Mr. Klein disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly." }, { "accession_no": "0001213900-26-086736", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Michael Klein", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 14150000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14150000.0, "aggregate_amount_owned": 14150000.0, "percent_of_class": 25.47, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 350,000 of the Issuer's Class A Ordinary Shares and 13,800,000 of the Issuer's Class B Ordinary Shares which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297472). The 350,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-tenth of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between the Sponsor and the Issuer. Michael Klein, the Chief Executive Officer, President and Chairman of the Board of Directors of the Issuer, is the controlling stockholder of M. Klein Associates, Inc., which is the managing member of the Sponsor and accordingly Mr. Klein may be deemed to have beneficial ownership of securities reported herein. Mr. Klein disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly." }, { "accession_no": "0001213900-26-086736", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "M. Klein Associates, Inc.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 14150000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14150000.0, "aggregate_amount_owned": 14150000.0, "percent_of_class": 25.47, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 350,000 of the Issuer's Class A Ordinary Shares and 13,800,000 of the Issuer's Class B Ordinary Shares which are automatically convertible into Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, or at any time prior to the Issuer's initial business combination, at the option of the holder, subject to adjustment as more fully described under the heading \"Description of Securities--Founder Shares\" in the Issuer's registration statement on Form S-1 (File No. 333-297472). The 350,000 Class A Ordinary Shares are included in units (each unit consisting of one Class A Ordinary Share and one-tenth of one warrant, each whole warrant exercisable into one Class A Ordinary Share 30 days following the consummation of the Issuer's initial business combination), acquired pursuant to a Private Placement Units Purchase Agreement by and between the Sponsor and the Issuer. Michael Klein, the Chief Executive Officer, President and Chairman of the Board of Directors of the Issuer, is the controlling stockholder of M. Klein Associates, Inc., which is the managing member of the Sponsor and accordingly Mr. Klein may be deemed to have beneficial ownership of securities reported herein. Mr. Klein disclaims any ownership of securities reported herein other than to the extent of any pecuniary interest he may have therein, directly or indirectly." }, { "accession_no": "0001214659-26-006096", "person_seq": 0, "reporting_person_cik": 1232621, "reporting_person_name": "TANG CAPITAL MANAGEMENT, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001214659-26-006096", "person_seq": 1, "reporting_person_cik": 1178579, "reporting_person_name": "KEVIN TANG", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001214659-26-006096", "person_seq": 2, "reporting_person_cik": 1191935, "reporting_person_name": "TANG CAPITAL PARTNERS, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-006096", "person_seq": 3, "reporting_person_cik": 2064011, "reporting_person_name": "TANG CAPITAL PARTNERS INTERNATIONAL, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-006096", "person_seq": 4, "reporting_person_cik": 2036763, "reporting_person_name": "TANG CAPITAL PARTNERS III, INC", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001214659-26-006096", "person_seq": 5, "reporting_person_cik": 2036770, "reporting_person_name": "TANG CAPITAL PARTNERS IV, INC", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001214659-26-006096", "person_seq": 6, "reporting_person_cik": 1970065, "reporting_person_name": "CONCENTRA BIOSCIENCES, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 0, "reporting_person_cik": 1524397, "reporting_person_name": "Juniper Targeted Opportunity Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3461216.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3461216.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3461216.0, "percent_of_class": 8.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Juniper HF Investors II, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3461216.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3461216.0, "aggregate_amount_owned": 3461216.0, "percent_of_class": 8.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 2, "reporting_person_cik": 1680619, "reporting_person_name": "Juniper Targeted Opportunities, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 935901.0, "shared_voting_power": 0.0, "sole_dispositive_power": 935901.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 935901.0, "percent_of_class": 2.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Juniper Targeted Opportunity Investors, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 935901.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 935901.0, "aggregate_amount_owned": 935901.0, "percent_of_class": 2.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Juniper Multi-Strategy Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 45426.0, "shared_voting_power": 0.0, "sole_dispositive_power": 45426.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 45426.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Juniper HF Investors, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 45426.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 45426.0, "aggregate_amount_owned": 45426.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 6, "reporting_person_cik": 1794034, "reporting_person_name": "Juniper Investment Company, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4442543.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4442543.0, "aggregate_amount_owned": 4442543.0, "percent_of_class": 11.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 7, "reporting_person_cik": 1044005, "reporting_person_name": "Alexis P. Michas", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4442543.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4442543.0, "aggregate_amount_owned": 4442543.0, "percent_of_class": 11.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001214659-26-006790", "person_seq": 8, "reporting_person_cik": 1382909, "reporting_person_name": "John A. Bartholdson", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4442543.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4442543.0, "aggregate_amount_owned": 4442543.0, "percent_of_class": 11.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001214659-26-007175", "person_seq": 0, "reporting_person_cik": 1232621, "reporting_person_name": "TANG CAPITAL MANAGEMENT, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 13044106.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13044106.0, "aggregate_amount_owned": 13044106.0, "percent_of_class": 10.0, "type_of_reporting_person": "OO", "comment_content": "Tang Capital Management, LLC (\"TCM\") shares voting and dispositive power over such shares with Tang Capital Partners, LP (\"TCP\"), Tang Capital Partners International, LP (\"TCPI\"), Tang Capital Partners III, Inc. (\"TCP III\"), Tang Capital Partners IV, Inc. (\"TCP IV\") and Kevin Tang. The percentages used herein are based on 129,991,655 Common Shares outstanding as of June 3, 2026." }, { "accession_no": "0001214659-26-007175", "person_seq": 1, "reporting_person_cik": 1178579, "reporting_person_name": "KEVIN TANG", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 13044106.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13044106.0, "aggregate_amount_owned": 13044106.0, "percent_of_class": 10.0, "type_of_reporting_person": "IN", "comment_content": "Kevin Tang shares voting and dispositive power over such shares with TCP, TCPI, TCP III, TCP IV and TCM." }, { "accession_no": "0001214659-26-007175", "person_seq": 2, "reporting_person_cik": 1191935, "reporting_person_name": "TANG CAPITAL PARTNERS, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 7205442.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7205442.0, "aggregate_amount_owned": 7205442.0, "percent_of_class": 5.6, "type_of_reporting_person": "PN", "comment_content": "TCP shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-007175", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "TANG CAPITAL PARTNERS INTERNATIONAL, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5239039.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5239039.0, "aggregate_amount_owned": 5239039.0, "percent_of_class": 4.0, "type_of_reporting_person": "PN", "comment_content": "TCPI shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-007175", "person_seq": 4, "reporting_person_cik": 2036763, "reporting_person_name": "TANG CAPITAL PARTNERS III, INC", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 324814.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 324814.0, "aggregate_amount_owned": 324814.0, "percent_of_class": 0.2, "type_of_reporting_person": "CO", "comment_content": "TCP III shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-007175", "person_seq": 5, "reporting_person_cik": 2036770, "reporting_person_name": "TANG CAPITAL PARTNERS IV, INC", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 274811.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 274811.0, "aggregate_amount_owned": 274811.0, "percent_of_class": 0.2, "type_of_reporting_person": "CO", "comment_content": "TCP IV shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-007483", "person_seq": 0, "reporting_person_cik": 1794034, "reporting_person_name": "Juniper Targeted Opportunity Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 1732966.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1732966.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1732966.0, "percent_of_class": 5.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-007483", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Juniper HF Investors II, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1732966.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1732966.0, "aggregate_amount_owned": 1732966.0, "percent_of_class": 5.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-007483", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Juniper Targeted Opportunities, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-007483", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Juniper Targeted Opportunity Investors, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001214659-26-007483", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Juniper Investment Company, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1732966.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1732966.0, "aggregate_amount_owned": 1732966.0, "percent_of_class": 5.5, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001214659-26-007483", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "Alexis P. Michas", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 196319.0, "shared_voting_power": 1732966.0, "sole_dispositive_power": 196319.0, "shared_dispositive_power": 1732966.0, "aggregate_amount_owned": 1929285.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001214659-26-007483", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "John A. Bartholdson", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 212458.0, "shared_voting_power": 1732966.0, "sole_dispositive_power": 212458.0, "shared_dispositive_power": 1732966.0, "aggregate_amount_owned": 1945424.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": "This Amendment No.9 (the \"Amendment\") to the Statement on Schedule 13D is filed by the Reporting Persons as an amendment to the Schedule 13D Amendment No.8 filed with the Securities and Exchange Commission by the Reporting Persons on February 27, 2026 (the \"Schedule 13D/A No.8\"), with respect to the Common Stock, no par value per share of Lincoln Educational Services Corporation (the \"Issuer\"). Capitalized terms not defined herein have the meanings given to such terms in the Schedule 13D." }, { "accession_no": "0001214659-26-007982", "person_seq": 0, "reporting_person_cik": 1232621, "reporting_person_name": "TANG CAPITAL MANAGEMENT, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14292813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14292813.0, "aggregate_amount_owned": 14292813.0, "percent_of_class": 6.8, "type_of_reporting_person": "OO", "comment_content": "Tang Capital Management, LLC (\"TCM\") beneficially owns 14,292,813 of the Issuer's American Depository Shares (\"ADSs\") which each represent one Ordinary Share of the Issuer. TCM shares voting and dispositive power over such shares with Tang Capital Partners, LP (\"TCP\"), Tang Capital Partners International, LP (\"TCPI\"), Tang Capital Partners III, Inc. (\"TCP III\"), Tang Capital Partners IV, Inc. (\"TCP IV\") and Kevin Tang. The percentages used herein are based on 210,506,899 Ordinary Shares outstanding as of June 23, 2026, as set forth in the Issuer's Schedule 14A filed on Form DEFC14A with the Securities and Exchange Commission on June 25, 2026." }, { "accession_no": "0001214659-26-007982", "person_seq": 1, "reporting_person_cik": 1178579, "reporting_person_name": "KEVIN TANG", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 14292813.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14292813.0, "aggregate_amount_owned": 14292813.0, "percent_of_class": 6.8, "type_of_reporting_person": "IN", "comment_content": "Kevin Tang beneficially owns 14,292,813 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. Kevin Tang shares voting and dispositive power over such shares with TCP, TCPI, TCP III, TCP IV and TCM." }, { "accession_no": "0001214659-26-007982", "person_seq": 2, "reporting_person_cik": 1191935, "reporting_person_name": "TANG CAPITAL PARTNERS, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3275445.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3275445.0, "aggregate_amount_owned": 3275445.0, "percent_of_class": 1.6, "type_of_reporting_person": "PN", "comment_content": "TCP beneficially owns 3,275,445 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. TCP shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-007982", "person_seq": 3, "reporting_person_cik": 2064011, "reporting_person_name": "TANG CAPITAL PARTNERS INTERNATIONAL, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4466490.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4466490.0, "aggregate_amount_owned": 4466490.0, "percent_of_class": 2.0, "type_of_reporting_person": "PN", "comment_content": "TCPI beneficially owns 4,466,490 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. TCPI shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-007982", "person_seq": 4, "reporting_person_cik": 2036763, "reporting_person_name": "TANG CAPITAL PARTNERS III, INC", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 3275445.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3275445.0, "aggregate_amount_owned": 3275445.0, "percent_of_class": 1.6, "type_of_reporting_person": "CO", "comment_content": "TCP III beneficially owns 3,275,445 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. TCP III shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-007982", "person_seq": 5, "reporting_person_cik": 2036770, "reporting_person_name": "TANG CAPITAL PARTNERS IV, INC", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 3275433.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3275433.0, "aggregate_amount_owned": 3275433.0, "percent_of_class": 1.6, "type_of_reporting_person": "CO", "comment_content": "TCP IV beneficially owns 3,275,433 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. TCP IV shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-007982", "person_seq": 6, "reporting_person_cik": 1970065, "reporting_person_name": "CONCENTRA BIOSCIENCES, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001214659-26-008243", "person_seq": 0, "reporting_person_cik": 1386979, "reporting_person_name": "Charles M. Gillman", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 521841.0, "shared_voting_power": 0.0, "sole_dispositive_power": 521841.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 521841.0, "percent_of_class": 5.1, "type_of_reporting_person": "IN", "comment_content": "Percent of class is calculated based on 10,276,279 shares of common stock, par value $0.01 (the \"Common Stock\"), of TransAct Technologies, Inc. (the \"Issuer\") outstanding as of April 30, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the U.S. Securities and Exchange Commission (the \"SEC\") on May 13, 2026 (the \"10-Q\")." }, { "accession_no": "0001214659-26-009076", "person_seq": 0, "reporting_person_cik": 1232621, "reporting_person_name": "TANG CAPITAL MANAGEMENT, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16715812.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16715812.0, "aggregate_amount_owned": 16715812.0, "percent_of_class": 7.9, "type_of_reporting_person": "OO", "comment_content": "Tang Capital Management, LLC (\"TCM\") beneficially owns 16,715,812 of the Issuer's American Depository Shares (\"ADSs\") which each represent one Ordinary Share of the Issuer. TCM shares voting and dispositive power over such shares with Tang Capital Partners, LP (\"TCP\"), Tang Capital Partners International, LP (\"TCPI\"), Tang Capital Partners III, Inc. (\"TCP III\"), Tang Capital Partners IV, Inc. (\"TCP IV\") and Kevin Tang. The percentages used herein are based on 210,506,899 Ordinary Shares outstanding as of June 23, 2026, as set forth in the Issuer's Schedule 14A filed on Form DEFC14A with the Securities and Exchange Commission on June 25, 2026." }, { "accession_no": "0001214659-26-009076", "person_seq": 1, "reporting_person_cik": 1178579, "reporting_person_name": "KEVIN TANG", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 16715812.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16715812.0, "aggregate_amount_owned": 16715812.0, "percent_of_class": 7.9, "type_of_reporting_person": "IN", "comment_content": "Kevin Tang beneficially owns 16,715,812 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. Kevin Tang shares voting and dispositive power over such shares with TCP, TCPI, TCP III, TCP IV and TCM." }, { "accession_no": "0001214659-26-009076", "person_seq": 2, "reporting_person_cik": 1191935, "reporting_person_name": "TANG CAPITAL PARTNERS, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3830718.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3830718.0, "aggregate_amount_owned": 3830718.0, "percent_of_class": 1.8, "type_of_reporting_person": "PN", "comment_content": "TCP beneficially owns 3,830,718 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. TCP shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-009076", "person_seq": 3, "reporting_person_cik": 2064011, "reporting_person_name": "TANG CAPITAL PARTNERS INTERNATIONAL, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5223680.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5223680.0, "aggregate_amount_owned": 5223680.0, "percent_of_class": 2.5, "type_of_reporting_person": "PN", "comment_content": "TCPI beneficially owns 5,223,680 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. TCPI shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-009076", "person_seq": 4, "reporting_person_cik": 2036763, "reporting_person_name": "TANG CAPITAL PARTNERS III, INC", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 3830712.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3830712.0, "aggregate_amount_owned": 3830712.0, "percent_of_class": 1.8, "type_of_reporting_person": "CO", "comment_content": "TCP III beneficially owns 3,830,712 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. TCP III shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-009076", "person_seq": 5, "reporting_person_cik": 2036770, "reporting_person_name": "TANG CAPITAL PARTNERS IV, INC", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 3830702.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3830702.0, "aggregate_amount_owned": 3830702.0, "percent_of_class": 1.8, "type_of_reporting_person": "CO", "comment_content": "TCP IV beneficially owns 3,830,702 of the Issuer's ADSs which each represent one Ordinary Share of the Issuer. TCP IV shares voting and dispositive power over such shares with TCM and Kevin Tang." }, { "accession_no": "0001214659-26-009076", "person_seq": 6, "reporting_person_cik": 1970065, "reporting_person_name": "CONCENTRA BIOSCIENCES, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001214659-26-009123", "person_seq": 0, "reporting_person_cik": 1318455, "reporting_person_name": "Bryan Ganz", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1500990.0, "shared_voting_power": 795645.0, "sole_dispositive_power": 1500990.0, "shared_dispositive_power": 795645.0, "aggregate_amount_owned": 2296635.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 984,323 shares of common stock, par value $0.001, of Byrna Technologies Inc. (\"Common Stock\") held by Mr. Ganz, (ii) up to 516,667 shares of Common Stock issuable upon exercise of stock options held by Mr. Ganz that are exercisable within 60 days of the date hereof (all of which are \"out-of-the-money\" as of the date hereof), (iii) 243,859 shares of Common Stock held by Northeast Industrial Partners LLC (\"NEIP\"), over which Mr. Ganz has shared voting and dispositive power, (iv)70,753 shares of Common Stock held by the Judith L. Ganz Trust VA 04-23-2015, of which Mr. Ganz serves as a trustee (the \"2015 Trust\"), (v) 11,800 shares of Common Stock held by Li Ganz (fka Li Zhang), Mr. Ganz's wife (\"Mrs. Ganz\"), and (vi) 469,233 shares of Common Stock held by BSG Family Investment LLC (\"BSG\"), the sole member of which is the BG 2025 Irrevocable Exempt Trust U/A dated 10/9/2025 (the \"2025 Trust\"), of which Mr. Ganz has the power to replace the trustee. Mr. Ganz serves as the manager of BSG. Mr. Ganz disclaims beneficial ownership with respect to the shares held by NEIP, the 2015 Trust, the 2025 Trust and Mrs. Ganz, in each case except to the extent of his pecuniary interest therein." }, { "accession_no": "0001214659-26-009123", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Northeast Industrial Partners LLC", "fund_type": "WC", "citizenship_or_org": "MA", "sole_voting_power": 0.0, "shared_voting_power": 243859.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 243859.0, "aggregate_amount_owned": 243859.0, "percent_of_class": 1.1, "type_of_reporting_person": "PN", "comment_content": "Consists of 243,859 shares of Common Stock held by Northeast Industrial Partners LLC." }, { "accession_no": "0001214659-26-009123", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Judith L. Ganz Trust VA 04-23-2105", "fund_type": "OO", "citizenship_or_org": "MA", "sole_voting_power": 0.0, "shared_voting_power": 70753.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 70753.0, "aggregate_amount_owned": 70753.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "Consists of 70,753 shares of Common Stock held by the Judith L. Ganz Trust VA 04-23-2015, of which Mr. Ganz serves as a trustee." }, { "accession_no": "0001214659-26-009123", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Li Ganz (fka Li Zhang)", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 11800.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11800.0, "aggregate_amount_owned": 11800.0, "percent_of_class": 0.05, "type_of_reporting_person": "IN", "comment_content": "Consists of 11,800 shares of Common Stock held by Mrs. Ganz." }, { "accession_no": "0001214659-26-009123", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "BSG Family Investment LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 469233.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 469233.0, "aggregate_amount_owned": 469233.0, "percent_of_class": 2.1, "type_of_reporting_person": "OO", "comment_content": "Consists of 469,233 shares of Common Stock held by BSG Family Investment LLC." }, { "accession_no": "0001214659-26-009123", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "BG 2025 Irrevocable Exempt Trust U/A Dated 10/9/2025", "fund_type": "OO", "citizenship_or_org": "CT", "sole_voting_power": 0.0, "shared_voting_power": 469233.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 469233.0, "aggregate_amount_owned": 469233.0, "percent_of_class": 2.1, "type_of_reporting_person": "OO", "comment_content": "Consists of 469,233 shares of Common Stock held by BSG Family Investment LLC, of which the trust is the sole member." }, { "accession_no": "0001221359-26-000025", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "American Assets, Inc.", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 7376603.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7376603.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7376603.0, "percent_of_class": 11.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001221359-26-000025", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Ernest Rady Trust U/D/T March 10, 1983", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 26739289.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26924536.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26924536.0, "percent_of_class": 35.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001221359-26-000025", "person_seq": 2, "reporting_person_cik": 1221359, "reporting_person_name": "Ernest S. Rady", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 28117846.0, "shared_voting_power": 0.0, "sole_dispositive_power": 28303096.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 28303096.0, "percent_of_class": 37.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001231919-26-000523", "person_seq": 0, "reporting_person_cik": 1863769, "reporting_person_name": "Frazier Life Sciences Public Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1249165.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1249165.0, "aggregate_amount_owned": 1249165.0, "percent_of_class": 2.3, "type_of_reporting_person": "PN", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 1, "reporting_person_cik": 1879466, "reporting_person_name": "FHMLSP, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1249165.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1249165.0, "aggregate_amount_owned": 1249165.0, "percent_of_class": 2.3, "type_of_reporting_person": "PN", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 2, "reporting_person_cik": 1879465, "reporting_person_name": "FHMLSP, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1249165.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1249165.0, "aggregate_amount_owned": 1249165.0, "percent_of_class": 2.3, "type_of_reporting_person": "OO", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 3, "reporting_person_cik": 1790879, "reporting_person_name": "Frazier Life Sciences X, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 427983.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 427983.0, "aggregate_amount_owned": 427983.0, "percent_of_class": 0.8, "type_of_reporting_person": "PN", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 4, "reporting_person_cik": 1790880, "reporting_person_name": "FHMLS X, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 427983.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 427983.0, "aggregate_amount_owned": 427983.0, "percent_of_class": 0.8, "type_of_reporting_person": "PN", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 5, "reporting_person_cik": 1790811, "reporting_person_name": "FHMLS X, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 427983.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 427983.0, "aggregate_amount_owned": 427983.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 6, "reporting_person_cik": 1911592, "reporting_person_name": "Frazier Life Sciences XI, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 145592.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 145592.0, "aggregate_amount_owned": 145592.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 7, "reporting_person_cik": 1911580, "reporting_person_name": "FHMLS XI, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 145592.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 145592.0, "aggregate_amount_owned": 145592.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 8, "reporting_person_cik": 1911623, "reporting_person_name": "FHMLS XI, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 145592.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 145592.0, "aggregate_amount_owned": 145592.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 9, "reporting_person_cik": 2052255, "reporting_person_name": "Frazier Life Sciences XII, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6563.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6563.0, "aggregate_amount_owned": 6563.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 10, "reporting_person_cik": 2052246, "reporting_person_name": "FHMLS XII, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6563.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6563.0, "aggregate_amount_owned": 6563.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 11, "reporting_person_cik": 2052177, "reporting_person_name": "FHMLS XII, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6563.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6563.0, "aggregate_amount_owned": 6563.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "The percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 12, "reporting_person_cik": 1341382, "reporting_person_name": "James N. Topper", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 427983.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 427983.0, "aggregate_amount_owned": 427983.0, "percent_of_class": 0.8, "type_of_reporting_person": "IN", "comment_content": "The shares listed in rows 8, 10 and 11 represent shares of Common Stock held directly by Frazier Life Sciences X, L.P.\n\nThe percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001231919-26-000523", "person_seq": 13, "reporting_person_cik": 1365617, "reporting_person_name": "Patrick J. Heron", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 427983.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 427983.0, "aggregate_amount_owned": 427983.0, "percent_of_class": 0.8, "type_of_reporting_person": "IN", "comment_content": "The shares listed in rows 8, 10 and 11 represent shares of Common Stock held directly by Frazier Life Sciences X, L.P.\n\nThe percentage listed in row 13 is calculated based on 53,240,888 shares of the Issuer's Common Stock outstanding as of May 7, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026." }, { "accession_no": "0001273303-26-000004", "person_seq": 0, "reporting_person_cik": 1273303, "reporting_person_name": "HLA Investments, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15351034.0, "sole_dispositive_power": 8128907.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15351034.0, "percent_of_class": 27.6, "type_of_reporting_person": "OO", "comment_content": "HLA Investments, LLC (\"HLAI\") may be deemed to beneficially own 15,351,034 shares of Class A Common Stock of the Issuer (\"Class A Common Stock\") consisting of 8,128,907 Class B Units of HLA (the \"Class B Units\") held directly and 7,222,127 shares of Class A Common Stock for which it exercises voting control. HRHLA, LLC (\"HRHLA\") as the managing member of HLAI, controls HLAI and, accordingly, may be deemed to beneficially own the shares of Class A Common Stock that HLAI may be deemed to beneficially own. Hartley R. Rogers as managing member of HRHLA controls HRHLA and, accordingly, may be deemed to beneficially own the shares of Class A Common Stock that HRHLA may be deemed to beneficially own." }, { "accession_no": "0001273303-26-000004", "person_seq": 1, "reporting_person_cik": 1698063, "reporting_person_name": "HRHLA, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15351034.0, "sole_dispositive_power": 6510922.0, "shared_dispositive_power": 1617985.0, "aggregate_amount_owned": 15351034.0, "percent_of_class": 27.6, "type_of_reporting_person": "OO", "comment_content": "HLAI may be deemed to beneficially own 15,351,034 shares of Class A Common Stock consisting of 8,128,907 Class B Units held directly and 7,222,127 shares of Class A Common Stock for which it exercises voting control. HRHLA as the managing member of HLAI, controls HLAI and, accordingly, may be deemed to beneficially own the shares of Class A Common Stock that HLAI may be deemed to beneficially own. Hartley R. Rogers as managing member of HRHLA controls HRHLA and, accordingly, may be deemed to beneficially own the shares of Class A Common Stock that HRHLA may be deemed to beneficially own." }, { "accession_no": "0001273303-26-000004", "person_seq": 2, "reporting_person_cik": 1577084, "reporting_person_name": "Hartley R. Rogers", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 15351034.0, "sole_dispositive_power": 6566388.0, "shared_dispositive_power": 1673451.0, "aggregate_amount_owned": 15351034.0, "percent_of_class": 27.6, "type_of_reporting_person": "IN", "comment_content": "Hartley R. Rogers may be deemed to beneficially own 15,351,034 shares of Class A Common Stock consisting of 8,128,907 Class B Units held directly by HLAI, and 7,222,127 shares of Class A Common Stock for which HLAI exercises voting control, including 55,466 shares of Class A Common Stock held directly and 55,466 shares of Class A Common Stock held directly by a limited liability company (\"LLC\") which is wholly owned by Hartley R. Rogers, Hartley R. Rogers' spouse and three trusts for the benefit of Hartley R. Rogers' children. Hartley R. Rogers' spouse serves as manager of the LLC and as trustee of the trusts. HRHLA as the managing member of HLAI, controls HLAI and, accordingly, may be deemed to beneficially own the shares of Class A Common Stock that HLAI may be deemed to beneficially own. Hartley R. Rogers as managing member of HRHLA controls HRHLA and, accordingly, may be deemed to beneficially own the shares of Class A Common Stock that HRHLA may be deemed to beneficially own." }, { "accession_no": "0001273303-26-000004", "person_seq": 3, "reporting_person_cik": 886962, "reporting_person_name": "Hamilton Lane Advisors, Inc.", "fund_type": "OO", "citizenship_or_org": "PA", "sole_voting_power": 0.0, "shared_voting_power": 1028699.0, "sole_dispositive_power": 1028699.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1028699.0, "percent_of_class": 2.3, "type_of_reporting_person": "CO", "comment_content": "Hamilton Lane Advisors, Inc. (\"HLA Inc.\") beneficially owns 1,028,699 shares of Class A Common Stock as holder of 1,028,699 Class B Units of Hamilton Lane Advisors, L.L.C. (\"HLA\")." }, { "accession_no": "0001273303-26-000004", "person_seq": 4, "reporting_person_cik": 1698053, "reporting_person_name": "Mario L. Giannini", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1418054.0, "sole_dispositive_power": 1134422.0, "shared_dispositive_power": 283632.0, "aggregate_amount_owned": 1418054.0, "percent_of_class": 3.1, "type_of_reporting_person": "IN", "comment_content": "Mario L. Giannini beneficially owns 1,418,829 shares of Class A Common Stock, which includes the 1,028,699 B Units held directly by Hamilton Lane Advisors, Inc., an S-corporation that is wholly owned by Mr. Giannini, 283,632 Class B units directly held by HLA Investments, LLC and 105,723 shares of Class A Common Stock held directly." }, { "accession_no": "0001273303-26-000004", "person_seq": 5, "reporting_person_cik": 1761415, "reporting_person_name": "Kyera Giannini", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 213648.0, "sole_dispositive_power": 213648.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 213648.0, "percent_of_class": 0.5, "type_of_reporting_person": "IN", "comment_content": "Kyera Giannini beneficially owns 213,648 shares of Class A Common Stock consisting of 213,648 Class B Units held directly." }, { "accession_no": "0001273303-26-000004", "person_seq": 6, "reporting_person_cik": 1761400, "reporting_person_name": "Nicole Giannini", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 213648.0, "sole_dispositive_power": 213648.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 213648.0, "percent_of_class": 0.5, "type_of_reporting_person": "IN", "comment_content": "Nicole Giannini beneficially owns 213,648 shares of Class A Common Stock consisting of 213,648 Class B Units held directly." }, { "accession_no": "0001273303-26-000004", "person_seq": 7, "reporting_person_cik": 1698725, "reporting_person_name": "The 2008 Sexton Des. Trust FBO Laura Sexton", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 291233.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 291233.0, "aggregate_amount_owned": 291233.0, "percent_of_class": 0.7, "type_of_reporting_person": "OO", "comment_content": "The Laura Sexton Trust beneficially owns 291,233 shares of Class A Common Stock as a result of 291,233 Class B Units held directly by HLAI on behalf of the Laura Sexton Trust." }, { "accession_no": "0001273303-26-000004", "person_seq": 8, "reporting_person_cik": 1698728, "reporting_person_name": "The 2008 Sexton Des. Trust FBO Matthew Sexton", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 291233.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 291233.0, "aggregate_amount_owned": 291233.0, "percent_of_class": 0.7, "type_of_reporting_person": "OO", "comment_content": "The Matthew Sexton Trust beneficially owns 291,233 shares of Class A Common Stock as a result of 291,233 Class B Units held directly by HLAI on behalf of the Matthew Sexton Trust." }, { "accession_no": "0001273303-26-000004", "person_seq": 9, "reporting_person_cik": 1338580, "reporting_person_name": "O. Griffith Sexton", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 604732.0, "sole_dispositive_power": 22266.0, "shared_dispositive_power": 582466.0, "aggregate_amount_owned": 604732.0, "percent_of_class": 1.4, "type_of_reporting_person": "IN", "comment_content": "O. Griffith Sexton beneficially owns 604,732 shares of Class A Common Stock, which includes 582,466 Class B Units as sole trustee of the two Sexton family trusts, 4,852 shares of Class A Common Stock held directly and 17,414 shares of Class A Common Stock held indirectly through the O. Griffith Sexton 2016 Revocable Trust." }, { "accession_no": "0001273303-26-000004", "person_seq": 10, "reporting_person_cik": 1699245, "reporting_person_name": "Oakville Number 2 Trust", "fund_type": "OO", "citizenship_or_org": "Y7", "sole_voting_power": 0.0, "shared_voting_power": 330022.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 330022.0, "aggregate_amount_owned": 330022.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": "French River 5 Limited directly owns 330,015 shares of Class A Common Stock and beneficially owns an additional 7 Class B Units held directly by HLAI on behalf of French River 5 Limited. French River 5 Limited is a wholly owned subsidiary of Oakville Number 2 Trust (\"Oakville Trust\"). Oakville Trust and Rysaffe Trust Company (C.I.) Limited, trustee (\"Rysaffe\"), the trustee of Oakville Trust, beneficially own all of such shares." }, { "accession_no": "0001273303-26-000004", "person_seq": 11, "reporting_person_cik": 1699649, "reporting_person_name": "Rysaffe Trustee CO (CI) Limited", "fund_type": "OO", "citizenship_or_org": "Y7", "sole_voting_power": 0.0, "shared_voting_power": 330022.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 330022.0, "aggregate_amount_owned": 330022.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": "French River 5 Limited directly owns 330,015 shares of Class A Common Stock and beneficially owns an additional 7 shares of Class A Common Stock as a result of its ownership interest in HLAI. French River 5 Limited is a wholly owned subsidiary of Oakville Trust. Oakville Trust and Rysaffe, the trustee of Oakville Trust, beneficially own all of such shares." }, { "accession_no": "0001273303-26-000004", "person_seq": 12, "reporting_person_cik": null, "reporting_person_name": "French River 5 Limited", "fund_type": "OO", "citizenship_or_org": "Y7", "sole_voting_power": 0.0, "shared_voting_power": 330022.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 330022.0, "aggregate_amount_owned": 330022.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": "French River 5 Limited directly owns 330,015 shares of Class A Common Stock and beneficially owns an additional 7 shares of Class A Common Stock as a result of its ownership interest in HLAI. French River 5 Limited is a wholly owned subsidiary of Oakville Trust. Oakville Trust and Rysaffe, the trustee of Oakville Trust, beneficially own all of such shares." }, { "accession_no": "0001273303-26-000004", "person_seq": 13, "reporting_person_cik": 1698930, "reporting_person_name": "Edward B. Whittemore", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 95000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 95000.0, "aggregate_amount_owned": 95000.0, "percent_of_class": 0.2, "type_of_reporting_person": "IN", "comment_content": "Edward B. Whittemore beneficially owns 95,000 shares of Class A Common Stock as a result of 95,000 Class B Units held directly by HLAI on behalf of Mr. Whittemore." }, { "accession_no": "0001273303-26-000004", "person_seq": 14, "reporting_person_cik": 1699000, "reporting_person_name": "Laurence F. Whittemore", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 56880.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 56880.0, "aggregate_amount_owned": 56880.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Laurence F. Whittemore beneficially owns 56,880 shares of Class A Common Stock as a result of 56,880 Class B Units held directly by HLAI on behalf of Mr. Whittemore." }, { "accession_no": "0001273303-26-000004", "person_seq": 15, "reporting_person_cik": 1288952, "reporting_person_name": "Michael Schmertzler", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 600000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 600000.0, "aggregate_amount_owned": 600000.0, "percent_of_class": 1.4, "type_of_reporting_person": "IN", "comment_content": "Michael Schmertzler beneficially owns 600,000 shares of Class A Common Stock as a result of 600,000 Class B Units held directly by HLAI on behalf of Mr. Schmertzler." }, { "accession_no": "0001273303-26-000004", "person_seq": 16, "reporting_person_cik": 1698098, "reporting_person_name": "Erik R. Hirsch", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1417363.0, "sole_dispositive_power": 1417363.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1417363.0, "percent_of_class": 3.2, "type_of_reporting_person": "IN", "comment_content": "Erik R. Hirsch may be deemed to beneficially own 1,417,363 shares of Class A Common Stock consisting of 63,582 shares of Class A Common Stock held directly, 809,781 Class B Units held directly by HL Management Investors, LLC on behalf of Mr. Hirsch and 544,000 unvested shares of performance stock (\"Performance Stock\") over which Mr. Hirsch exercises voting authority." }, { "accession_no": "0001273303-26-000004", "person_seq": 17, "reporting_person_cik": 1698040, "reporting_person_name": "Juan Delgado-Moreira", "fund_type": "OO", "citizenship_or_org": "U3", "sole_voting_power": 0.0, "shared_voting_power": 1882047.0, "sole_dispositive_power": 1882047.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1882047.0, "percent_of_class": 4.3, "type_of_reporting_person": "IN", "comment_content": "Juan Delgado-Moreira may be deemed to beneficially own 1,882,047 shares of Class A Common Stock consisting of 1,338,047 shares of Class A Common Stock held directly and 544,000 unvested shares of Performance Stock over which Mr. Delgado-Moreira exercises voting authority." }, { "accession_no": "0001273303-26-000004", "person_seq": 18, "reporting_person_cik": 1698029, "reporting_person_name": "Paul Yett", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 228500.0, "sole_dispositive_power": 228500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 228500.0, "percent_of_class": 0.5, "type_of_reporting_person": "IN", "comment_content": "Paul Yett may be deemed to beneficially own 228,500 shares of Class A Common Stock consisting of 10,024 shares of Class A Common Stock held directly, and 218,476 Class B Units held directly by HL Management Investors, LLC (\"HLMI\") on behalf of Mr. Yett." }, { "accession_no": "0001273303-26-000004", "person_seq": 19, "reporting_person_cik": 1698396, "reporting_person_name": "Tara Devlin", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 210619.0, "sole_dispositive_power": 210619.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 210619.0, "percent_of_class": 0.5, "type_of_reporting_person": "IN", "comment_content": "Tara Devlin may be deemed to beneficially own 210,619 shares of Class A Common Stock consisting of 7,411 shares of Class A Common Stock held directly, 173,441 Class B Units held directly by HLMI on behalf of Ms. Devlin, and 29,767 Class C Units held directly by HLMI on behalf of Ms. Devlin." }, { "accession_no": "0001273303-26-000004", "person_seq": 20, "reporting_person_cik": 1698523, "reporting_person_name": "Stephen R. Brennan", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 176388.0, "sole_dispositive_power": 176388.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 176388.0, "percent_of_class": 0.4, "type_of_reporting_person": "IN", "comment_content": "Stephen R. Brennan may be deemed to beneficially own 176,388 shares of Class A Common Stock consisting of 25,628 shares of Class A Common Stock held directly, 133,368 Class B Units held directly by HLMI on behalf of Mr. Brennan, and 17,392 unvested shares of Performance Stock over which Mr. Brennan exercises voting authority." }, { "accession_no": "0001273303-26-000004", "person_seq": 21, "reporting_person_cik": 1698324, "reporting_person_name": "Andrea Anigati Kramer", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 434323.0, "sole_dispositive_power": 434323.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 434323.0, "percent_of_class": 1.0, "type_of_reporting_person": "IN", "comment_content": "Andrea Anigati Kramer may be deemed to beneficially own 434,323 shares of Class A Common Stock consisting of 82,524 shares of Class A Common Stock held directly, 135,970 Class B Units held directly by HLMI on behalf of Ms. Kramer, 195,317 Class C Units held directly by HLMI on behalf of Ms. Kramer, and 20,512 unvested shares of Performance Stock over which Ms. Kramer exercises voting authority." }, { "accession_no": "0001273303-26-000004", "person_seq": 22, "reporting_person_cik": 1698486, "reporting_person_name": "Michael Kelly", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 60000.0, "sole_dispositive_power": 60000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 60000.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Michael Kelly may be deemed to beneficially own 60,000 shares of Class A Common Stock consisting of 41,303 Class B Units held directly by HLMI on behalf of Mr. Kelly, and 18,697 Class C Units held directly by HLMI on behalf of Mr. Kelly." }, { "accession_no": "0001273303-26-000004", "person_seq": 23, "reporting_person_cik": 1698030, "reporting_person_name": "Thomas Kerr", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 179670.0, "sole_dispositive_power": 179670.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 179670.0, "percent_of_class": 0.4, "type_of_reporting_person": "IN", "comment_content": "Thomas Kerr may be deemed to beneficially own 179,670 shares of Class A Common Stock consisting of 49,190 shares of Class A Common Stock held directly, 117,436 Class B Units held directly by HLMI on behalf of Mr. Kerr, and 13,044 shares of Performance Stock." }, { "accession_no": "0001273303-26-000004", "person_seq": 24, "reporting_person_cik": 1332122, "reporting_person_name": "David Helgerson", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 189912.0, "sole_dispositive_power": 189912.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 189912.0, "percent_of_class": 0.4, "type_of_reporting_person": "IN", "comment_content": "David Helgerson may be deemed to beneficially own 189,912 shares of Class A Common Stock consisting of 25,886 shares of Class A Common Stock held directly, 154,049 Class B Units held directly by HL Management Investors, LLC on behalf of Mr. Helgerson, and 9,997 Class C Units held directly by HL Management Investors, LLC on behalf of Mr. Helgerson." }, { "accession_no": "0001273303-26-000004", "person_seq": 25, "reporting_person_cik": 1698304, "reporting_person_name": "Michael Donohue", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 59368.0, "sole_dispositive_power": 59368.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 59368.0, "percent_of_class": 0.1, "type_of_reporting_person": "IN", "comment_content": "Michael Donohue may be deemed to beneficially own 59,368 shares of Class A Common Stock consisting of 29,345 shares of Class A Common Stock held directly, 26,819 Class B Units held directly by HL Management Investors, LLC on behalf of Mr. Donohue, and 3,204 Class C Units held directly by HL Management Investors, LLC on behalf of Mr. Donohue." }, { "accession_no": "0001273303-26-000004", "person_seq": 26, "reporting_person_cik": null, "reporting_person_name": "Margaret McAllister", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 359006.0, "sole_dispositive_power": 359006.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 359006.0, "percent_of_class": 0.8, "type_of_reporting_person": "IN", "comment_content": "Margaret McAllister may be deemed to beneficially own 359,006 shares of Class A Common Stock consisting of 59,006 shares of Class A Common Stock held directly and 300,000 Class B Units held directly." }, { "accession_no": "0001294357-26-000002", "person_seq": 0, "reporting_person_cik": 1294357, "reporting_person_name": "Barry John F", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 130184416.49, "shared_voting_power": 426119.38, "sole_dispositive_power": 130184416.49, "shared_dispositive_power": 426119.38, "aggregate_amount_owned": 130610615.87, "percent_of_class": 26.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001294357-26-000002", "person_seq": 1, "reporting_person_cik": 2009659, "reporting_person_name": "John & Daria Barry Foundation", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 43727065.61, "shared_voting_power": 0.0, "sole_dispositive_power": 43727065.61, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 43727065.61, "percent_of_class": 8.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001294357-26-000013", "person_seq": 0, "reporting_person_cik": 1294357, "reporting_person_name": "Barry John F", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 1075346.23, "shared_voting_power": 0.0, "sole_dispositive_power": 1075346.23, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1075346.23, "percent_of_class": 85.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001294357-26-000013", "person_seq": 1, "reporting_person_cik": 2009659, "reporting_person_name": "John & Daria Barry Foundation", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 1075346.23, "shared_voting_power": 0.0, "sole_dispositive_power": 1075346.23, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1075346.23, "percent_of_class": 85.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001297602-26-000032", "person_seq": 0, "reporting_person_cik": 1297602, "reporting_person_name": "Vishal Garg", "fund_type": "OO", "citizenship_or_org": null, "sole_voting_power": 2029224.0, "shared_voting_power": null, "sole_dispositive_power": 2029224.0, "shared_dispositive_power": null, "aggregate_amount_owned": 2029224.0, "percent_of_class": 13.5, "type_of_reporting_person": "IN", "comment_content": "Note to Row 7, 9 and 11: Includes (1) 118,260 shares of Class A Common Stock directly held by Mr. Garg; and (2) (a) 927,855 shares of Class A Common Stock directly held by Mr. Garg that may be obtained upon the conversion of 927,855 shares of Class B Common Stock, (b) 387,137 currently exercisable options to purchase shares of Class B Common Stock directly held by Mr. Garg; (3) 130,455 shares of Class A Common Stock that may be obtained upon the conversion of 130,455 shares of Class B Common Stock held by 1/0 Real Estate, LLC, which is wholly-owned by 1/0 Holdco, LLC. Mr. Garg is the controlling member of 1/0 Holdco, LLC. Therefore, Mr. Garg may be deemed to have voting power and dispositive power over the shares held by 1/0 Real Estate, LLC, for which Mr. Garg disclaims beneficial ownership except to the extent of his pecuniary interest therein; and (4) 465,517 shares of Class A Common Stock that may be obtained upon the conversion of 465,517 shares of Class B Common Stock held by The 718 4Ever Trust I. Mr. Garg is the investment adviser of the trust, and members of Mr. Garg's immediate family are the sole beneficiaries of the trust. Therefore, Mr. Garg may be deemed to have voting power and dispositive power over the shares held by the trust for which Mr. Garg disclaims beneficial ownership except to the extent of his pecuniary interest therein.\n\nNote to Row 13: Calculated based upon 13,086,244 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on May 11, 2026." }, { "accession_no": "0001297602-26-000032", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "1/0 Real Estate, LLC", "fund_type": "OO", "citizenship_or_org": null, "sole_voting_power": 130455.0, "shared_voting_power": null, "sole_dispositive_power": 130455.0, "shared_dispositive_power": null, "aggregate_amount_owned": 130455.0, "percent_of_class": 1.0, "type_of_reporting_person": "OO", "comment_content": "Note to Row 7, 9 and 11: Includes 130,455 shares of Class A Common Stock that may be obtained upon the conversion of 130,455 shares of Class B Common Stock held by 1/0 Real Estate, LLC, which is wholly-owned by 1/0 Holdco, LLC. Mr. Garg is the controlling member of 1/0 Holdco, LLC. Therefore, Mr. Garg may be deemed to have voting power and dispositive power over the shares held by 1/0 Real Estate, LLC, for which Mr. Garg disclaims beneficial ownership except to the extent of his pecuniary interest therein.\n\nNote to Row 13: Calculated based upon 13,086,244 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 11, 2026." }, { "accession_no": "0001297602-26-000032", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "1/0 Real Estate, LLC", "fund_type": "OO", "citizenship_or_org": null, "sole_voting_power": 130455.0, "shared_voting_power": null, "sole_dispositive_power": 130455.0, "shared_dispositive_power": null, "aggregate_amount_owned": 130455.0, "percent_of_class": 1.0, "type_of_reporting_person": "OO", "comment_content": "Note to Row 7, 9 and 11: Includes 130,455 shares of Class A Common Stock that may be obtained upon the conversion of 130,455 shares of Class B Common Stock held by 1/0 Real Estate, LLC, which is wholly-owned by 1/0 Holdco, LLC. Mr. Garg is the controlling member of 1/0 Holdco, LLC. Therefore, Mr. Garg may be deemed to have voting power and dispositive power over the shares held by 1/0 Real Estate, LLC, for which Mr. Garg disclaims beneficial ownership except to the extent of his pecuniary interest therein.\n\nNote to Row 13: Calculated based upon 13,086,244 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 11, 2026." }, { "accession_no": "0001297602-26-000032", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "The 718 4Ever Trust I", "fund_type": "OO", "citizenship_or_org": null, "sole_voting_power": 465517.0, "shared_voting_power": null, "sole_dispositive_power": 465517.0, "shared_dispositive_power": null, "aggregate_amount_owned": 465517.0, "percent_of_class": 3.4, "type_of_reporting_person": "OO", "comment_content": "Note to Row 7, 9 and 11: Includes 465,517 shares of Class A Common Stock that may be obtained upon the conversion of 465,517 shares of Class B Common Stock held by The 718 4Ever Trust I. Mr. Garg is the investment adviser of the trust, and members of Mr. Garg's immediate family are the sole beneficiaries of the trust. Therefore, Mr. Garg may be deemed to have voting power and dispositive power over the shares held by the trust for which Mr. Garg disclaims beneficial ownership except to the extent of his pecuniary interest therein.\n\nNote to Row 13: Calculated based upon 13,086,244 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the SEC on May 11, 2026." }, { "accession_no": "0001302110-26-000020", "person_seq": 0, "reporting_person_cik": 1302110, "reporting_person_name": "Ming Hsieh", "fund_type": "OO", "citizenship_or_org": null, "sole_voting_power": 8650723.0, "shared_voting_power": 221816.0, "sole_dispositive_power": 8650723.0, "shared_dispositive_power": 221816.0, "aggregate_amount_owned": 8872539.0, "percent_of_class": 32.26, "type_of_reporting_person": "IN", "comment_content": "In reference to Row 4 above, the shares of common stock, par value $0.0001 per share (the \"Common Stock\"), of Fulgent Genetics, Inc. (the \"Issuer\") acquired by Ming Hsieh (the \"Reporting Person\") since the Reporting Person's last amendment to this Schedule 13D were acquired through equity award vestings in connection with the Reporting Person's services as Chief Executive Officer of the Issuer. No cash consideration was paid by the Reporting Person in connection with these acquisitions. See Item 3 of this Schedule 13D for additional information.\n\nIn reference to Rows 7 and 9 above, sole voting and dispositive power consists of (i) 7,895,115 shares of Common Stock of the Issuer held of record by The Ming Hsieh Trust (the \"Trust\"), of which Mr. Hsieh possesses sole voting and dispositive power as the trustee, of which 1,000,000 shares of Common Stock of the Issuer are pledged as security pursuant to a pre-paid forward arrangement as disclosed on that certain Form 4 filed by the Reporting Person with the U.S. Securities and Exchange Commission (the \"SEC\") on March 12, 2024, and 5,760,733 shares of Common Stock are pledged as collateral account for a credit facility, (ii) 746,423 shares of Common Stock of the Issuer held of record by Mr. Hsieh, (iii) 1,000 shares of Common Stock of the Issuer held of record by a minor child under a Uniform Transfers to Minors Act account, of which Mr. Hsieh possesses sole voting and dispositive power as the sole custodian of the account, and (iv) 8,185 shares of Common Stock of the Issuer subject to Restricted Stock Unit awards granted to Mr. Hsieh that will vest or settle within 60 days after May 27, 2026. This 8,185 shares of Common Stock presumes no shares are withheld for the purposes of withholding taxes.\n\nIn reference to Rows 8 and 10 above, shared voting and dispositive power consists of (i) 220,816 shares of Common Stock of the Issuer held by the Dynasty Trust. Mr. Hsieh is the grantor of the Dynasty Trust and he and his spouse, Eva Hsieh, serve on the investment committee of the Dynasty Trust and (ii) 1,000 shares of Common Stock of the Issuer held by an immediate family member of Mr. Hsieh residing in the same household which were previously held in a custodial account under the Uniform Transfers to Minors Act, over which Mr. Hsieh served as sole custodian, and were transferred to this immediate family member upon this individual reaching the age of majority. Mr. Hsieh may be deemed to share voting and dispositive power over these 1,000 shares by virtue of this family member's residence in his household. Mr. Hsieh disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.\n\nIn reference to Row 13 above, the percent of class represented by amount in Row 11 was calculated based on 27,493,435 shares of Common Stock of the Issuer issued and outstanding as of May 22, 2026, based on information provided to the Reporting Person by the Issuer." }, { "accession_no": "0001302110-26-000020", "person_seq": 1, "reporting_person_cik": 1836339, "reporting_person_name": "The Ming Hsieh Trust", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 7895115.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7895115.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7895115.0, "percent_of_class": 28.72, "type_of_reporting_person": "OO", "comment_content": "In reference to Row 4 above, the Trust has not acquired any shares of Common Stock since the Reporting Person's last amendment to this Schedule 13D. All shares of Common Stock currently held by the Trust were acquired through transfers from the Reporting Person as previously reported. See Item 3 of Amendment No. 4 to Schedule 13D previously filed with the SEC on March 31, 2026, for additional information.\n\nIn reference to Rows 7 and 9 above, sole voting and dispositive power consists of 7,895,115 shares of Common Stock of the Issuer held of record by the Trust, over which the Reporting Person possesses sole voting and dispositive power as the trustee of the Trust.\n\nIn reference to Row 13 above, the percent of class represented by amount in Row 11 was calculated based on 27,493,435 shares of Common Stock of the Issuer issued and outstanding as of May 22, 2026, based on information provided to the Reporting Person by the Issuer." }, { "accession_no": "0001346824-26-000129", "person_seq": 0, "reporting_person_cik": 1346824, "reporting_person_name": "RA Capital Management, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16377468.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16377468.0, "aggregate_amount_owned": 16377468.0, "percent_of_class": 33.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001346824-26-000129", "person_seq": 1, "reporting_person_cik": 1384859, "reporting_person_name": "Peter Kolchinsky", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 16377468.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16377468.0, "aggregate_amount_owned": 16377468.0, "percent_of_class": 33.7, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000129", "person_seq": 2, "reporting_person_cik": 1619841, "reporting_person_name": "Rajeev Shah", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 16377468.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16377468.0, "aggregate_amount_owned": 16377468.0, "percent_of_class": 33.7, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000129", "person_seq": 3, "reporting_person_cik": 1315082, "reporting_person_name": "RA Capital Healthcare Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 15203995.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 15203995.0, "aggregate_amount_owned": 15203995.0, "percent_of_class": 31.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001346824-26-000131", "person_seq": 0, "reporting_person_cik": 1346824, "reporting_person_name": "RA Capital Management, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6116140.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6116140.0, "aggregate_amount_owned": 6116140.0, "percent_of_class": 12.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001346824-26-000131", "person_seq": 1, "reporting_person_cik": 1384859, "reporting_person_name": "Peter Kolchinsky", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6116140.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6116140.0, "aggregate_amount_owned": 6116140.0, "percent_of_class": 12.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000131", "person_seq": 2, "reporting_person_cik": 1619841, "reporting_person_name": "Rajeev Shah", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6116140.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6116140.0, "aggregate_amount_owned": 6116140.0, "percent_of_class": 12.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000131", "person_seq": 3, "reporting_person_cik": 1315082, "reporting_person_name": "RA Capital Healthcare Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5709858.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5709858.0, "aggregate_amount_owned": 5709858.0, "percent_of_class": 11.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001346824-26-000173", "person_seq": 0, "reporting_person_cik": 1346824, "reporting_person_name": "RA Capital Management, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17811623.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17811623.0, "aggregate_amount_owned": 17811623.0, "percent_of_class": 36.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001346824-26-000173", "person_seq": 1, "reporting_person_cik": 1384859, "reporting_person_name": "Peter Kolchinsky", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 17811623.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17811623.0, "aggregate_amount_owned": 17811623.0, "percent_of_class": 36.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000173", "person_seq": 2, "reporting_person_cik": 1619841, "reporting_person_name": "Rajeev Shah", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 17811623.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17811623.0, "aggregate_amount_owned": 17811623.0, "percent_of_class": 36.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000173", "person_seq": 3, "reporting_person_cik": 1315082, "reporting_person_name": "RA Capital Healthcare Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 16638150.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 16638150.0, "aggregate_amount_owned": 16638150.0, "percent_of_class": 34.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001346824-26-000175", "person_seq": 0, "reporting_person_cik": 1346824, "reporting_person_name": "RA Capital Management, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5138703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5138703.0, "aggregate_amount_owned": 5138703.0, "percent_of_class": 10.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001346824-26-000175", "person_seq": 1, "reporting_person_cik": 1384859, "reporting_person_name": "Peter Kolchinsky", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 5138703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5138703.0, "aggregate_amount_owned": 5138703.0, "percent_of_class": 10.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000175", "person_seq": 2, "reporting_person_cik": 1619841, "reporting_person_name": "Rajeev Shah", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 5138703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5138703.0, "aggregate_amount_owned": 5138703.0, "percent_of_class": 10.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000175", "person_seq": 3, "reporting_person_cik": 1315082, "reporting_person_name": "RA Capital Healthcare Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4797350.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4797350.0, "aggregate_amount_owned": 4797350.0, "percent_of_class": 9.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001346824-26-000178", "person_seq": 0, "reporting_person_cik": 1346824, "reporting_person_name": "RA Capital Management, L.P.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 28933371.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28933371.0, "aggregate_amount_owned": 28933371.0, "percent_of_class": 23.8, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001346824-26-000178", "person_seq": 1, "reporting_person_cik": 1384859, "reporting_person_name": "Peter Kolchinsky", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 28933371.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28933371.0, "aggregate_amount_owned": 28933371.0, "percent_of_class": 23.8, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001346824-26-000178", "person_seq": 2, "reporting_person_cik": 1619841, "reporting_person_name": "Rajeev Shah", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 28933371.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 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"sole_voting_power": 0.0, "shared_voting_power": 6513000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6513000.0, "aggregate_amount_owned": 6513000.0, "percent_of_class": 9.55, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001398344-26-012572", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Wafic Rida Said", "fund_type": "PF", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 6513000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6513000.0, "aggregate_amount_owned": 6513000.0, "percent_of_class": 9.55, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001398344-26-012888", "person_seq": 0, "reporting_person_cik": 1504304, "reporting_person_name": "Bulldog Investors, LLP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 76216.0, "shared_voting_power": 593705.0, "sole_dispositive_power": 76216.0, "shared_dispositive_power": 593705.0, "aggregate_amount_owned": 669921.0, "percent_of_class": 3.03, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001398344-26-012888", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Phillip Goldstein", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 76216.0, "shared_voting_power": 729567.0, "sole_dispositive_power": 76216.0, "shared_dispositive_power": 729567.0, "aggregate_amount_owned": 805783.0, "percent_of_class": 3.64, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001398344-26-012888", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Andrew Dakos", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 630705.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 630705.0, "aggregate_amount_owned": 630705.0, "percent_of_class": 2.85, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001418812-26-000002", "person_seq": 0, "reporting_person_cik": 1418812, "reporting_person_name": "VA Partners I, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1195247.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1195247.0, "aggregate_amount_owned": 1195247.0, "percent_of_class": 4.7, "type_of_reporting_person": "OO", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5\n(14) LLC" }, { "accession_no": "0001418812-26-000002", "person_seq": 1, "reporting_person_cik": 1464912, "reporting_person_name": "ValueAct Capital Master Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 1195247.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1195247.0, "aggregate_amount_owned": 1195247.0, "percent_of_class": 4.7, "type_of_reporting_person": "PN", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5" }, { "accession_no": "0001418812-26-000002", "person_seq": 2, "reporting_person_cik": 1351069, "reporting_person_name": "ValueAct Capital Management, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1275273.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1275273.0, "aggregate_amount_owned": 1275273.0, "percent_of_class": 4.9, "type_of_reporting_person": "PN", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5" }, { "accession_no": "0001418812-26-000002", "person_seq": 3, "reporting_person_cik": 1351073, "reporting_person_name": "ValueAct Capital Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1275273.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1275273.0, "aggregate_amount_owned": 1275273.0, "percent_of_class": 4.9, "type_of_reporting_person": "OO", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5\n(14) LLC" }, { "accession_no": "0001418812-26-000002", "person_seq": 4, "reporting_person_cik": 1418814, "reporting_person_name": "ValueAct Holdings, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1275273.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1275273.0, "aggregate_amount_owned": 1275273.0, "percent_of_class": 4.9, "type_of_reporting_person": "PN", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5" }, { "accession_no": "0001418812-26-000002", "person_seq": 5, "reporting_person_cik": 1763309, "reporting_person_name": "ValueAct Holdings II, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1275273.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1275273.0, "aggregate_amount_owned": 1275273.0, "percent_of_class": 4.9, "type_of_reporting_person": "PN", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5" }, { "accession_no": "0001418812-26-000002", "person_seq": 6, "reporting_person_cik": 1418813, "reporting_person_name": "ValueAct Holdings GP, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1275273.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1275273.0, "aggregate_amount_owned": 1275273.0, "percent_of_class": 4.9, "type_of_reporting_person": "OO", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5\n(14) LLC" }, { "accession_no": "0001418812-26-000002", "person_seq": 7, "reporting_person_cik": 2066791, "reporting_person_name": "ValueAct Strategic Global Master Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 80026.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 80026.0, "aggregate_amount_owned": 80026.0, "percent_of_class": 0.3, "type_of_reporting_person": "PN", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5" }, { "accession_no": "0001418812-26-000002", "person_seq": 8, "reporting_person_cik": 2066798, "reporting_person_name": "VA Partners Strategic Global, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 80026.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 80026.0, "aggregate_amount_owned": 80026.0, "percent_of_class": 0.3, "type_of_reporting_person": "OO", "comment_content": "(4) See Item 3\n(8, 10, 11) See Item 2 and 5\n(14) LLC" }, { "accession_no": "0001437749-26-017178", "person_seq": 0, "reporting_person_cik": 2052913, "reporting_person_name": "North Run Strategic Opportunities Fund I, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10319347.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10319347.0, "aggregate_amount_owned": 10319347.0, "percent_of_class": 14.7, "type_of_reporting_person": "PN", "comment_content": "*Consists of (i) 2,990,112 shares of Class A Common Stock, par value $0.01 per share (the \"Shares\") of LightPath Technologies, Inc. (the \"Issuer\") and (ii) 7,329,235 Shares issuable upon the conversion of 14,171.6 shares of Series G Convertible Preferred Stock (\"Series G Preferred\"). The reported shares of the Series G Preferred are currently exercisable.\n\nThe aggregate percentage of Shares reported owned by each person named herein is based upon 62,789,407 Shares outstanding as of May 4, 2026, which is the total number of Shares outstanding as of such date as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001437749-26-017178", "person_seq": 1, "reporting_person_cik": 2058804, "reporting_person_name": "North Run Strategic Opportunities Fund I GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10319347.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10319347.0, "aggregate_amount_owned": 10319347.0, "percent_of_class": 14.7, "type_of_reporting_person": "OO", "comment_content": "*Consists of (i) 2,990,112 Shares and (ii) 7,329,235 Shares issuable upon the conversion of 14,171.6 shares of Series G Preferred. The reported shares of Series G Preferred are currently exercisable.\n\nThe aggregate percentage of Shares reported owned by each person named herein is based upon 62,789,407 Shares outstanding as of May 4, 2026, which is the total number of Shares outstanding as of such date as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001437749-26-017178", "person_seq": 2, "reporting_person_cik": 1283774, "reporting_person_name": "ELLIS THOMAS B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 10319347.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10319347.0, "aggregate_amount_owned": 10319347.0, "percent_of_class": 14.7, "type_of_reporting_person": "IN", "comment_content": "*Consists of (i) 2,990,112 shares of Class A Common Stock, par value $0.01 per share (the \"Shares\") of LightPath Technologies, Inc. (the \"Issuer\") and (ii) 7,329,235 Shares issuable upon the conversion of 14,171.6 shares of Series G Convertible Preferred Stock (\"Series G Preferred\"). The reported shares of the Series G Preferred are currently exercisable.\n\nThe aggregate percentage of Shares reported owned by each person named herein is based upon 62,789,407 Shares outstanding as of May 4, 2026, which is the total number of Shares outstanding as of such date as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001437749-26-017178", "person_seq": 3, "reporting_person_cik": 1283775, "reporting_person_name": "HAMMER TODD B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 10319347.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10319347.0, "aggregate_amount_owned": 10319347.0, "percent_of_class": 14.7, "type_of_reporting_person": "IN", "comment_content": "*Consists of (i) 2,990,112 shares of Class A Common Stock, par value $0.01 per share (the \"Shares\") of LightPath Technologies, Inc. (the \"Issuer\") and (ii) 7,329,235 Shares issuable upon the conversion of 14,171.6 shares of Series G Convertible Preferred Stock (\"Series G Preferred\"). The reported shares of the Series G Preferred are currently exercisable.\n\nThe aggregate percentage of Shares reported owned by each person named herein is based upon 62,789,407 Shares outstanding as of May 4, 2026, which is the total number of Shares outstanding as of such date as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001437749-26-017858", "person_seq": 0, "reporting_person_cik": 1990517, "reporting_person_name": "R01 Fund LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33429230.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33429230.0, "aggregate_amount_owned": 33429230.0, "percent_of_class": 47.4, "type_of_reporting_person": "PN", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,735,994 shares, representing 20% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,021,850 shares of Common Stock underlying pre-funded warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom may also be deemed to beneficially own the shares held by R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-017858", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "R01 Capital LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33429230.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33429230.0, "aggregate_amount_owned": 33429230.0, "percent_of_class": 47.4, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,735,994 shares, representing 20% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,021,850 shares of Common Stock underlying pre-funded warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom may also be deemed to beneficially own the shares held by R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-017858", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "R01 Capital Manager LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33429230.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33429230.0, "aggregate_amount_owned": 33429230.0, "percent_of_class": 47.4, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,735,994 shares, representing 20% of the total number of shares issuable upon the exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,021,850 shares of Common Stock underlying pre-funded warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom may also be deemed to beneficially own the shares held by R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-017858", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Michael Kazley", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33429230.0, "sole_dispositive_power": 4118828.0, "shared_dispositive_power": 33429230.0, "aggregate_amount_owned": 37548058.0, "percent_of_class": 50.3, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,735,994 shares, representing 20% of the total number of shares issuable upon the exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,021,850 shares of Common Stock underlying pre-funded warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom may also be deemed to beneficially own the shares held by R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-017859", "person_seq": 0, "reporting_person_cik": 2028474, "reporting_person_name": "Framework Ventures IV L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32715086.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32715086.0, "aggregate_amount_owned": 32715086.0, "percent_of_class": 46.4, "type_of_reporting_person": "PN", "comment_content": "This Amendment No. 4 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,021,850 shares, representing 20% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,735,994 shares of Common Stock underlying pre-funded warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom may also be deemed to beneficially own the shares held by Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-017859", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Framework Ventures Management LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32715086.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32715086.0, "aggregate_amount_owned": 32715086.0, "percent_of_class": 46.4, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 4 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,021,850 shares, representing 20% of the total number of shares issuable upon the exercise of pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,735,994 shares of Common Stock underlying pre-funded warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom may also be deemed to beneficially own the shares held by Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-017859", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Framework Ventures IV GP LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32715086.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32715086.0, "aggregate_amount_owned": 32715086.0, "percent_of_class": 46.4, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 4 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,021,850 shares, representing 20% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,735,994 shares of Common Stock underlying pre-funded warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom may also be deemed to beneficially own the shares held by Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-017859", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Vance Spencer", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32715086.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32715086.0, "aggregate_amount_owned": 32715086.0, "percent_of_class": 46.4, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 4 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,021,850 shares, representing 20% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,735,994 shares of Common Stock underlying pre-funded warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom may also be deemed to beneficially own the shares held by Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-017859", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Michael Ernest Anderson", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32715086.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32715086.0, "aggregate_amount_owned": 32715086.0, "percent_of_class": 46.4, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 4 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of pre-funded warrants to purchase 10,021,850 shares, representing 20% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 27,115,646 shares of Common Stock outstanding as of May 17, 2026 and also contemplates the vesting of 10,735,994 shares of Common Stock underlying pre-funded warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom may also be deemed to beneficially own the shares held by Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. Each of the foregoing parties disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-018547", "person_seq": 0, "reporting_person_cik": 2137030, "reporting_person_name": "Sky Frontier Foundation", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3009502.0, "percent_of_class": 9.9, "type_of_reporting_person": "OO", "comment_content": "Non-U.S. Foundation" }, { "accession_no": "0001437749-26-018746", "person_seq": 0, "reporting_person_cik": 1251368, "reporting_person_name": "SMITH WILLIAM W JR", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 293520.0, "shared_voting_power": 11402307.0, "sole_dispositive_power": 293520.0, "shared_dispositive_power": 11402307.0, "aggregate_amount_owned": 11695827.0, "percent_of_class": 37.3, "type_of_reporting_person": "IN", "comment_content": "(Explanatory Note) This is Amendment No. 3 (this \"Amendment\") to Schedule 13D (as previously amended, the \"Schedule\") filed on November 17, 2025 by William W. Smith, Jr., relating to the ownership of shares of Common Stock, par value $0.001 per share (the \"Common Stock\") of Smith Micro Software, Inc., a Delaware corporation (the \"Issuer\"). The purpose of this Amendment is to reflect changes resulting from (i) the May 26, 2026 approval by the Issuer's shareholders of matters related to that certain warrant dated November 7, 2025 held by the Smith Living Trust, which warrant became exercisable for 2,236,136 shares upon such shareholder approval; (ii) the May 26, 2026 approval by the Issuer's shareholders of matters related to warrants dated September 11 and September 17, 2025 held by the Smith Living Trust, which warrants were originally exercisable for 986,342 shares of Common Stock and became exercisable for an additional 87,048 shares upon such shareholder approval, such that they are now exercisable for 1,073,390 shares of Common Stock; and (iii) certain other changes in beneficial ownership and reporting information since the filing of the last amendment to the Schedule. Except as specifically set forth herein, the Schedule otherwise remains unmodified. Capitalized terms used herein and not otherwise defined shall have the respective meanings ascribed to them in the Schedule.\n\n(1) The shared voting power and aggregate amount beneficially owned by the Reporting Person includes 11,402,307 shares held in the name of the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees, including 5,884,633 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants.\n\n(2) The percent of class beneficially owned by the Reporting Person is based on 25,433,247 shares of common stock outstanding as of May 26, 2026, as reflected in the records of the Issuer's transfer agent and 5,884,633 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants, in accordance with Rule 13d-3(d)(1)(i)." }, { "accession_no": "0001437749-26-019619", "person_seq": 0, "reporting_person_cik": 2052913, "reporting_person_name": "North Run Strategic Opportunities Fund I, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6717376.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6717376.0, "aggregate_amount_owned": 6717376.0, "percent_of_class": 9.6, "type_of_reporting_person": "PN", "comment_content": "*Consists of (i) 2,934,828 shares of Class A Common Stock, par value $0.01 per share (the \"Shares\") of LightPath Technologies, Inc. (the \"Issuer\") and (ii) 3,782,548 Shares issuable upon the conversion of 6,493.08 shares of Series G Convertible Preferred Stock (\"Series G Preferred\"). The reported shares of the Series G Preferred are currently exercisable.\n\nThe aggregate percentage of Shares reported owned by each person named herein is based upon 62,789,407 Shares outstanding as of May 4, 2026, which is the total number of Shares outstanding as of such date as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026, in addition to 3,571,400 Shares issued to North Run Strategic Opportunities Fund I, LP (\"NR-SOF\") on June 2, 2026 upon its conversion of 7,678.51 shares of Series G Preferred." }, { "accession_no": "0001437749-26-019619", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "North Run Strategic Opportunities Fund I GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6717376.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6717376.0, "aggregate_amount_owned": 6717376.0, "percent_of_class": 9.6, "type_of_reporting_person": "OO", "comment_content": "*Consists of (i) 2,934,828 Shares and (ii) 3,782,548 Shares issuable upon the conversion of 6,493.08 shares of Series G Preferred. The reported shares of the Series G Preferred are currently exercisable.\n\nThe aggregate percentage of Shares reported owned by each person named herein is based upon 62,789,407 Shares outstanding as of May 4, 2026, which is the total number of Shares outstanding as of such date as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026, in addition to 3,571,400 Shares issued to NR-SOF on June 2, 2026 upon its conversion of 7,678.51 shares of Series G Preferred." }, { "accession_no": "0001437749-26-019619", "person_seq": 2, "reporting_person_cik": 1283774, "reporting_person_name": "ELLIS THOMAS B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6717376.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6717376.0, "aggregate_amount_owned": 6717376.0, "percent_of_class": 9.6, "type_of_reporting_person": "IN", "comment_content": "*Consists of (i) 2,934,828 Shares and (ii) 3,782,548 Shares issuable upon the conversion of 6,493.08 shares of Series G Preferred. The reported shares of the Series G Preferred are currently exercisable.\n\nThe aggregate percentage of Shares reported owned by each person named herein is based upon 62,789,407 Shares outstanding as of May 4, 2026, which is the total number of Shares outstanding as of such date as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026, in addition to 3,571,400 Shares issued to NR-SOF on June 2, 2026 upon its conversion of 7,678.51 shares of Series G Preferred." }, { "accession_no": "0001437749-26-019619", "person_seq": 3, "reporting_person_cik": 1283775, "reporting_person_name": "HAMMER TODD B", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 6717376.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6717376.0, "aggregate_amount_owned": 6717376.0, "percent_of_class": 9.6, "type_of_reporting_person": "IN", "comment_content": "*Consists of (i) 2,934,828 Shares and (ii) 3,782,548 Shares issuable upon the conversion of 6,493.08 shares of Series G Preferred. The reported shares of the Series G Preferred are currently exercisable.\n\nThe aggregate percentage of Shares reported owned by each person named herein is based upon 62,789,407 Shares outstanding as of May 4, 2026, which is the total number of Shares outstanding as of such date as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026, in addition to 3,571,400 Shares issued to NR-SOF on June 2, 2026 upon its conversion of 7,678.51 shares of Series G Preferred." }, { "accession_no": "0001437749-26-019891", "person_seq": 0, "reporting_person_cik": 1251368, "reporting_person_name": "SMITH WILLIAM W JR", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 58704.0, "shared_voting_power": 2576497.0, "sole_dispositive_power": 58704.0, "shared_dispositive_power": 2576497.0, "aggregate_amount_owned": 2635201.0, "percent_of_class": 40.2, "type_of_reporting_person": "IN", "comment_content": "(Explanatory Note) This is Amendment No. 4 (this \"Amendment\") to Schedule 13D (as previously amended, the \"Schedule\") filed on November 17, 2025 by William W. Smith, Jr., relating to the ownership of shares of Common Stock, par value $0.001 per share (the \"Common Stock\") of Smith Micro Software, Inc., a Delaware corporation (the \"Issuer\"). The Issuer completed a 1 for 5 reverse stock split with a market effective date of June 5, 2026 (\"Reverse Stock Split\"). On the market effective date of the Reverse Stock Split, the Issuer's common stock commenced trading under a new CUSIP number, 832154504. All share numbers contained in this Form 13D/A reflect the effectiveness of the Reverse Stock Split. The purpose of this Amendment is to reflect changes resulting from a common stock purchase warrant purchased on February 3, 2026 for investment purposes by the Smith Living Trust, for which William W. Smith, Jr. serves as co-trustee, having become exercisable within 60 days. Except as specifically set forth herein, the Schedule otherwise remains unmodified. Capitalized terms used herein and not otherwise defined shall have the respective meanings ascribed to them in the Schedule.\n\n(1) The shared voting power and aggregate amount beneficially owned by the Reporting Person includes 2,576,497 shares held in the name of the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees, including 1,472,962 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants.\n\n(2) The percent of class beneficially owned by the Reporting Person is based on 5,086,650 shares of common stock outstanding following the Reverse Stock Split (which is based on 25,433,247 shares of common stock outstanding prior to the Reverse Stock Split, as reflected in the records of the Issuer's transfer agent) and 1,472,962 shares of common stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants, in accordance with Rule 13d-3(d)(1)(i)." }, { "accession_no": "0001437749-26-020667", "person_seq": 0, "reporting_person_cik": 2005138, "reporting_person_name": "Bradley & Daytona Railway and Land Co. LLC", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 15508.0, "shared_voting_power": 38717.0, "sole_dispositive_power": 15508.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15508.0, "percent_of_class": 4.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001437749-26-020667", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Alexander Kachmar", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 9898.0, "shared_voting_power": 38717.0, "sole_dispositive_power": 9898.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9898.0, "percent_of_class": 2.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001437749-26-020667", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "D & C Cacciapaglia Living Trust, U/A DTD 02/01/2013", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 9439.0, "shared_voting_power": 38717.0, "sole_dispositive_power": 9439.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9439.0, "percent_of_class": 2.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001437749-26-020667", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "David Cacciapaglia Family Trust, U/A DTD 11/25/2020", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 3872.0, "shared_voting_power": 38717.0, "sole_dispositive_power": 3872.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3872.0, "percent_of_class": 1.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001437749-26-020667", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "David Cacciapaglia", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 13311.0, "shared_voting_power": 38717.0, "sole_dispositive_power": 13311.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13311.0, "percent_of_class": 4.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001437749-26-020692", "person_seq": 0, "reporting_person_cik": 1197023, "reporting_person_name": "BOGER JOSHUA S", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2204143.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2204143.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2204143.0, "percent_of_class": 20.0, "type_of_reporting_person": "IN", "comment_content": "(1) The Reporting Person (together with his affiliates and other attribution parties) holds (i) 216,817 shares of common stock, par value $0.001 per share (\"Common Stock\"), of CervoMed Inc. (the \"Issuer\") owned directly by the Reporting Person, (ii) 1,600,117 shares of Common Stock held by The Joshua S. Boger 2021 Trust DTD 12/09/2021 (the \"JSB 2021 Trust\"), of which the Reporting Person is the sole trustee, (iii) 195,748 shares of Common Stock held by The Amy S. Boger 2021 Trust, of which the Reporting Person is the sole trustee, (iv) 955,414 shares of Common Stock underlying Series B Warrants (as defined in Item 3 below) held by the JSB 2021 Trust, (v) 955,414 shares of Common Stock underlying Series C Warrants (as defined in Item 3 below) held by the JSB 2021 Trust, and (vi) 32,000 shares of Common Stock underlying stock options granted to the Reporting Person for service on the Issuer's board of directors. The Series B Warrants and the Series C Warrants each contain a provision (the \"Maximum Ownership Limitation\") which precludes exercise of the applicable Warrants to the extent that, following exercise, the holder, together with its affiliates and other attribution parties, would own more than 19.99% of the Common Stock outstanding. Accordingly, the securities reported as beneficially owned by the Reporting Person consist of (i) 2,012,682 shares of Common Stock, (ii) 23,541 shares of Common Stock underlying options exercisable within 60 days of June 11, 2026, and (ii) an aggregate of 167,920 shares of Common Stock that may be acquired upon the exercise of Series B Warrants and/or Series C Warrants, as limited by the Maximum Ownership Limitation. The Reporting Person is currently prohibited from exercising the Series B Warrants and/or Series C Warrants to the extent that such exercise would result in its beneficial ownership of more than 2,204,143 shares of Common Stock. The Reporting Person disclaims beneficial ownership of the securities held by the ASB 2021 Trust and the JSB 2021 Trust, except as to his pecuniary interest therein (if any), and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 13 or for any other purpose.\n\n(2) Percentage ownership is based on an aggregate of 11,026,233 shares of Common Stock outstanding based on (i) 9,258,719 shares of Common Stock as of May 6, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission (the \"SEC\") on May 15, 2026, and (ii) 1,767,514 shares of Common Stock issued in the Issuer's private placement completed June 11, 2026, as reported in the Issuer's Current Report on Form 8-K filed with the SEC on June 10, 2026." }, { "accession_no": "0001437749-26-021022", "person_seq": 0, "reporting_person_cik": 1990517, "reporting_person_name": "R01 Fund LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33404510.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33404510.0, "aggregate_amount_owned": 33404510.0, "percent_of_class": 46.9, "type_of_reporting_person": "PN", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of common stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom are considered to be in a \"group\" with R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021022", "person_seq": 1, "reporting_person_cik": 2091715, "reporting_person_name": "R01 Capital LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33404510.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33404510.0, "aggregate_amount_owned": 33404510.0, "percent_of_class": 46.9, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom are considered to be in a \"group\" with R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021022", "person_seq": 2, "reporting_person_cik": 2091724, "reporting_person_name": "R01 Capital Manager LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33404510.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 33404510.0, "aggregate_amount_owned": 33404510.0, "percent_of_class": 46.9, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom are considered to be in a \"group\" with R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021022", "person_seq": 3, "reporting_person_cik": 2091727, "reporting_person_name": "Kazley Michael John", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 33404510.0, "sole_dispositive_power": 4118828.0, "shared_dispositive_power": 33404510.0, "aggregate_amount_owned": 37523338.0, "percent_of_class": 49.8, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom are considered to be in a \"group\" with R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021023", "person_seq": 0, "reporting_person_cik": 2028474, "reporting_person_name": "Framework Ventures IV L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32690366.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32690366.0, "aggregate_amount_owned": 32690366.0, "percent_of_class": 45.9, "type_of_reporting_person": "PN", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021023", "person_seq": 1, "reporting_person_cik": 2091751, "reporting_person_name": "Framework Ventures Management LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32690366.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32690366.0, "aggregate_amount_owned": 32690366.0, "percent_of_class": 45.9, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021023", "person_seq": 2, "reporting_person_cik": 2092591, "reporting_person_name": "Framework Ventures IV GP LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32690366.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32690366.0, "aggregate_amount_owned": 32690366.0, "percent_of_class": 45.9, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021023", "person_seq": 3, "reporting_person_cik": 2092030, "reporting_person_name": "Spencer Vance", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32690366.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32690366.0, "aggregate_amount_owned": 32690366.0, "percent_of_class": 45.9, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021023", "person_seq": 4, "reporting_person_cik": 2093174, "reporting_person_name": "Anderson Michael Ernest", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 32690366.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32690366.0, "aggregate_amount_owned": 32690366.0, "percent_of_class": 45.9, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 5 is being filed to update the beneficial ownership of the Reporting Persons to reflect exercise in full of the 11,332,020 shares of Common Stock issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on October 16, 2025 (the \"Pre-Funded Warrants,\" and such shares issuable upon their exercise, the \"Warrant Shares\"). The Reporting Persons paid the exercise price on a cashless basis, resulting in the withholding of 24,720 of the Warrant Shares to pay the exercise price and issuing to the Reporting Persons the remaining 11,307,300 Warrant Shares. The percentage calculation set forth above is based on 27,835,180 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the cashless exercise of 11,332,020 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-021169", "person_seq": 0, "reporting_person_cik": 2012707, "reporting_person_name": "Galperin Trust /SD", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3400136.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3400136.0, "aggregate_amount_owned": 3400136.0, "percent_of_class": 6.7, "type_of_reporting_person": "OO", "comment_content": "*The Reporting Person reported on this Schedule 13D as a member of a \"group\" with the other Reporting Persons. The group beneficially owns 3,400,136 shares of Common Stock in the aggregate, representing approximately 6.70% of the outstanding shares of Common Stock. See Item 5." }, { "accession_no": "0001437749-26-021169", "person_seq": 1, "reporting_person_cik": 2026945, "reporting_person_name": "Meliga No. 1 Corp.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 3400136.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3400136.0, "aggregate_amount_owned": 3400136.0, "percent_of_class": 6.7, "type_of_reporting_person": "CO", "comment_content": "*The Reporting Person reported on this Schedule 13D as a member of a \"group\" with the other Reporting Persons. The group beneficially owns 3,400,136 shares of Common Stock in the aggregate, representing approximately 6.70% of the outstanding shares of Common Stock. See Item 5." }, { "accession_no": "0001437749-26-021169", "person_seq": 2, "reporting_person_cik": 1515083, "reporting_person_name": "Meliga No. 1 LP", "fund_type": "OO", "citizenship_or_org": "Q2", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001437749-26-021169", "person_seq": 3, "reporting_person_cik": 2020988, "reporting_person_name": "Corpag Trust South Dakota Inc.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3400136.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3400136.0, "aggregate_amount_owned": 3400136.0, "percent_of_class": 6.7, "type_of_reporting_person": "CO", "comment_content": "*The Reporting Person reported on this Schedule 13D as a member of a \"group\" with the other Reporting Persons. The group beneficially owns 3,400,136 shares of Common Stock in the aggregate, representing approximately 6.70% of the outstanding shares of Common Stock. See Item 5." }, { "accession_no": "0001437749-26-021169", "person_seq": 4, "reporting_person_cik": 1515090, "reporting_person_name": "Volorama Stichting", "fund_type": "OO", "citizenship_or_org": "P7", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001437749-26-021656", "person_seq": 0, "reporting_person_cik": 1609580, "reporting_person_name": "Stachowiak Raymond C", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 120678.0, "shared_voting_power": 2099527.0, "sole_dispositive_power": 120678.0, "shared_dispositive_power": 2099527.0, "aggregate_amount_owned": 2220205.0, "percent_of_class": 33.0, "type_of_reporting_person": "IN", "comment_content": "(1)\tIncludes 95,678 shares of common stock, no par value (the \"Common Stock\"), of American Shares Hospital Services (the \"Issuer\") that are issuable to Mr. Stachowiak upon the vesting of restricted stock units (\"RSUs\") within 60 days of June 24, 2026, the filing date of this Schedule 13D/A (the \"Filing Date\").\n\n(2)\tIncludes 752,500 shares of Common Stock owned by RCS Investments, Inc. (\"RCS\"), of which Mr. Stachowiak is the president. RCS is wholly owned by the Raymond C Stachowiak Revocable Trust dated November 19, 1998 (the \"Stachowiak Trust\"), of which Mr. Stachowiak is the sole trustee and, in such capacity, may direct the voting and investment of the securities held by RCS. In his capacity as owner-president of RCS, Mr. Stachowiak may be deemed to have or share beneficial ownership of the shares of Common Stock held of record by RCS.\n\n(3)\tIncludes 760,559 shares of Common Stock owned by Stachowiak Equity Fund, LLC (\"Stachowiak Equity\"), of which Mr. Stachowiak is the manager. Stachowiak Equity is owned 60% by the Stachowiak Trust, of which Mr. Stachowiak is the sole trustee, and 20% by each of two trusts established for Mr. Stachowiak's children, of which Mr. Stachowiak's spouse is the sole trustee. In his capacity as owner-manager of Stachowiak Equity, Mr. Stachowiak may be deemed to have or share beneficial ownership of the shares of Common Stock held of record by Stachowiak Equity.\n\n(4)\tIncludes 586,468 shares of Common Stock owned by RCS/TIG Holdings LLC (\"RCS/TIG\"), of which Mr. Stachowiak is the manager. RCS/TIG is wholly owned by the Stachowiak Trust, of which Mr. Stachowiak is the sole trustee and, in such capacity, may direct the voting and investment of the securities held by RCS/TIG. In his capacity as owner-manager of RCS/TIG, Mr. Stachowiak may be deemed to have or share beneficial ownership of the shares of Common Stock held of record by RCS/TIG.\n\n(5)\tThis percentage was calculated in accordance with the U.S. Securities and Exchange Commission (the \"SEC\") rules for calculating percentages of beneficial ownership, based on the Issuer having an aggregate of 6,625,000 shares of Common Stock issued and outstanding as of May 11, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026 (the \"Quarterly Report\"), and includes 95,678 shares of Common Stock that Mr. Stachowiak has the right to acquire within 60 days of the Filing Date upon the vesting of RSUs." }, { "accession_no": "0001437749-26-021656", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "RCS Investments, Inc.", "fund_type": "WC", "citizenship_or_org": "IL", "sole_voting_power": 0.0, "shared_voting_power": 752500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 752500.0, "aggregate_amount_owned": 752500.0, "percent_of_class": 11.4, "type_of_reporting_person": "CO", "comment_content": "(1)\tThis percentage is based on the Issuer having an aggregate of 6,625,000 shares of Common Stock issued and outstanding as of May 11, 2026, as reported in the Issuer's Quarterly Report." }, { "accession_no": "0001437749-26-021656", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Stachowiak Equity Fund, LLC", "fund_type": "OO", "citizenship_or_org": "IL", "sole_voting_power": 0.0, "shared_voting_power": 760559.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 760559.0, "aggregate_amount_owned": 760559.0, "percent_of_class": 11.5, "type_of_reporting_person": "OO", "comment_content": "(1)\tThis percentage is based on the Issuer having an aggregate of 6,625,000 shares of Common Stock issued and outstanding as of May 11, 2026, as reported in the Issuer's Quarterly Report." }, { "accession_no": "0001437749-26-021656", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "RCS/TIG Holdings LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 586468.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 586468.0, "aggregate_amount_owned": 586468.0, "percent_of_class": 8.9, "type_of_reporting_person": "OO", "comment_content": "(1)\tThis percentage is based on the Issuer having an aggregate of 6,625,000 shares of Common Stock issued and outstanding as of May 11, 2026, as reported in the Issuer's Quarterly Report." }, { "accession_no": "0001437749-26-021661", "person_seq": 0, "reporting_person_cik": 1247606, "reporting_person_name": "HOROWITZ RICHARD M", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 902353.0, "shared_voting_power": 0.0, "sole_dispositive_power": 902353.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 902353.0, "percent_of_class": 8.6, "type_of_reporting_person": "IN", "comment_content": "(1) Note to Row 7, 9 and 11: Includes 664,784 shares of the Issuer's common stock, no par value (\"Common Stock\") and options to purchase 237,569 shares of Common Stock exercisable within 60 days of the date of this report.\n\n(2) Note to Row 13: Based on 10,298,449 shares of the Common Stock issued and outstanding as of June 18, 2026, based on corporate records of the Issuer." }, { "accession_no": "0001437749-26-021873", "person_seq": 0, "reporting_person_cik": 2005138, "reporting_person_name": "Bradley & Daytona Railway & Land Co. LLC", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 15670.0, "shared_voting_power": 39281.0, "sole_dispositive_power": 15670.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15670.0, "percent_of_class": 4.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001437749-26-021873", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Alexander Kachmar", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 10300.0, "shared_voting_power": 39281.0, "sole_dispositive_power": 10300.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 10300.0, "percent_of_class": 3.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001437749-26-021873", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "D & C Cacciapaglia Living Trust, U/A DTD 02/01/2013", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 9439.0, "shared_voting_power": 39281.0, "sole_dispositive_power": 9439.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9439.0, "percent_of_class": 2.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001437749-26-021873", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "David Cacciapaglia Family Trust, U/A DTD 11/25/2020", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 3872.0, "shared_voting_power": 39281.0, "sole_dispositive_power": 3872.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3872.0, "percent_of_class": 1.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001437749-26-021873", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "David Cacciapaglia", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 13311.0, "shared_voting_power": 39281.0, "sole_dispositive_power": 13311.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13311.0, "percent_of_class": 4.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001437749-26-022352", "person_seq": 0, "reporting_person_cik": 1678731, "reporting_person_name": "Rosenberg J. David", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 58250.0, "shared_voting_power": 0.0, "sole_dispositive_power": 58250.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 58250.0, "percent_of_class": 5.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001437749-26-022852", "person_seq": 0, "reporting_person_cik": 1106486, "reporting_person_name": "HANNA DAVID G", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 259392.0, "shared_voting_power": 7788072.0, "sole_dispositive_power": 259392.0, "shared_dispositive_power": 7788072.0, "aggregate_amount_owned": 8047464.0, "percent_of_class": 42.1, "type_of_reporting_person": "IN", "comment_content": "Rows 7, 9 and 11: Includes 259,392 shares of Atlanticus Holdings Corporation's (the Issuer) common stock held directly by David G. Hanna.\n\nRows 8, 10 and 11: Includes (i) 4,000,000 shares of the Issuer's common stock underlying Series A Convertible Preferred Stock held by Dove Ventures, LLC (Dove), (ii) 3,463,072 shares of the Issuer's common stock held by DKH Capital, LLC (DKH) and (iii) 325,000 shares of the Issuer's common stock held by Bravo Two Company, Inc. as Trustee for Rainbow Trust Two Nevada (Rainbow Trust). David G. Hanna shares voting and dispositive power over the 4,000,000 shares of the Issuer's common stock underlying Series A Convertible Preferred Stock held by Dove with his brother Frank J. Hanna. The governing documents for DKH provide Kimberly M. Hanna with sole voting and dispositive power over the 3,463,072 shares of common stock held by DKH. Given Mr. Hanna's position as Executive Chairman of the Board of Directors of the Issuer, this Amendment No. 6 to Schedule 13D (this Amendment) attributes shared voting and dispositive power for these shares of common stock to David G. Hanna and Kimberly M. Hanna. Bravo Two Company, Inc. (Bravo) is the trustee for the Rainbow Trust. David G. Hanna is the President, Secretary, and Treasurer and the sole owner of Bravo.\n\nRow 11: Excludes 3,598,072 shares of the Issuer's common stock that have been pledged to an entity controlled by David G. Hanna (the Pledgee) to secure a loan to an entity controlled by Frank J. Hanna and members of Frank J. Hanna's immediate family. The pledge agreement, prior to default, does not grant to the Pledgee (i) the power to vote or to direct the vote of the pledged shares or (ii) the power to dispose or direct the disposition of the pledged shares.\n\nRow 13: Based on 15,117,997 shares of the Issuer's common stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q for the quarter ended March 31, 2026, filed with the Securities and Exchange Commission (the \"SEC\") on May 7, 2026. Beneficial ownership is determined in accordance with the rules of the SEC, which deem a person to beneficially own any shares of the Issuer's common stock the person has or shares voting or dispositive power over and any additional shares of the Issuer's common stock obtainable within 60 days through the conversion or exercise of preferred stock, options or other purchase rights. Shares of the Issuer's common stock subject to preferred stock, options or other purchase rights that are currently exercisable or are exercisable within 60 days of July 1, 2026 (including shares subject to restrictions that lapse within 60 days of July 1, 2026) are deemed outstanding for purposes of computing the percentage ownership of the person holding such preferred stock, options or other purchase rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person." }, { "accession_no": "0001437749-26-022852", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Kimberly M. Hanna", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3463072.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3463072.0, "aggregate_amount_owned": 3463072.0, "percent_of_class": 22.9, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10 and 11: Includes 3,463,072 shares of the Issuer's common stock held by DKH. The governing documents for DKH provide Kimberly M. Hanna with sole voting and dispositive power over the 3,463,072 shares of common stock held by DKH. Given David G. Hanna's position as Executive Chairman of the Board of Directors of the Issuer, this Amendment attributes shared voting and dispositive power for these shares of common stock to David G. Hanna and Kimberly M. Hanna.\n\nRow 11: Excludes 3,598,072 shares of the Issuer's common stock that have been pledged to an entity controlled by David G. Hanna (the Pledgee) to secure a loan to an entity controlled by Frank J. Hanna and members of Frank J. Hanna's immediate family. The pledge agreement, prior to default, does not grant to the Pledgee (i) the power to vote or to direct the vote of the pledged shares or (ii) the power to dispose or direct the disposition of the pledged shares.\n\nRow 13: Based on 15,117,997 shares of the Issuer's common stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 7, 2026. Beneficial ownership is determined in accordance with the rules of the SEC, which deem a person to beneficially own any shares of the Issuer's common stock the person has or shares voting or dispositive power over and any additional shares of the Issuer's common stock obtainable within 60 days through the conversion or exercise of preferred stock, options or other purchase rights. Shares of the Issuer's common stock subject to preferred stock, options or other purchase rights that are currently exercisable or are exercisable within 60 days of July 1, 2026 (including shares subject to restrictions that lapse within 60 days of July 1, 2026) are deemed outstanding for purposes of computing the percentage ownership of the person holding such preferred stock, options or other purchase rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person." }, { "accession_no": "0001437749-26-022852", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "DKH Capital, LLC", "fund_type": "AF", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 3463072.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3463072.0, "aggregate_amount_owned": 3463072.0, "percent_of_class": 22.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11: Includes 3,463,072 shares of the Issuer's common stock held by DKH.\n\nRow 13: Based on 15,117,997 shares of the Issuer's common stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 7, 2026. Beneficial ownership is determined in accordance with the rules of the SEC, which deem a person to beneficially own any shares of the Issuer's common stock the person has or shares voting or dispositive power over and any additional shares of the Issuer's common stock obtainable within 60 days through the conversion or exercise of preferred stock, options or other purchase rights. Shares of the Issuer's common stock subject to preferred stock, options or other purchase rights that are currently exercisable or are exercisable within 60 days of July 1, 2026 (including shares subject to restrictions that lapse within 60 days of July 1, 2026) are deemed outstanding for purposes of computing the percentage ownership of the person holding such preferred stock, options or other purchase rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person." }, { "accession_no": "0001437749-26-022852", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Dove Ventures, LLC", "fund_type": "AF", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 4000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4000000.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 20.9, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11: Includes 4,000,000 shares of the Issuer's common stock underlying Series A Convertible Preferred Stock held by Dove.\n\nRow 13: Based on 15,117,997 shares of the Issuer's common stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 7, 2026. Beneficial ownership is determined in accordance with the rules of the SEC, which deem a person to beneficially own any shares of the Issuer's common stock the person has or shares voting or dispositive power over and any additional shares of the Issuer's common stock obtainable within 60 days through the conversion or exercise of preferred stock, options or other purchase rights. Shares of the Issuer's common stock subject to preferred stock, options or other purchase rights that are currently exercisable or are exercisable within 60 days of July 1, 2026 (including shares subject to restrictions that lapse within 60 days of July 1, 2026) are deemed outstanding for purposes of computing the percentage ownership of the person holding such preferred stock, options or other purchase rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person." }, { "accession_no": "0001437749-26-022852", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Bravo Two Company, Inc. as Trustee for Rainbow Trust Two Nevada", "fund_type": "AF", "citizenship_or_org": "GA", "sole_voting_power": 0.0, "shared_voting_power": 325000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 325000.0, "aggregate_amount_owned": 325000.0, "percent_of_class": 2.1, "type_of_reporting_person": "OO", "comment_content": "Rows 8, 10 and 11: Includes 325,000 shares of the Issuer's common stock held by Rainbow Trust.\n\nRow 13: Based on 15,117,997 shares of the Issuer's common stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q for the quarter ended March 31, 2026, filed with the SEC on May 7, 2026. Beneficial ownership is determined in accordance with the rules of the SEC, which deem a person to beneficially own any shares of the Issuer's common stock the person has or shares voting or dispositive power over and any additional shares of the Issuer's common stock obtainable within 60 days through the conversion or exercise of preferred stock, options or other purchase rights. Shares of the Issuer's common stock subject to preferred stock, options or other purchase rights that are currently exercisable or are exercisable within 60 days of July 1, 2026 (including shares subject to restrictions that lapse within 60 days of July 1, 2026) are deemed outstanding for purposes of computing the percentage ownership of the person holding such preferred stock, options or other purchase rights, but are not deemed outstanding for purposes of computing the percentage ownership of any other person." }, { "accession_no": "0001437749-26-023580", "person_seq": 0, "reporting_person_cik": 1251368, "reporting_person_name": "SMITH WILLIAM W JR", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 58704.0, "shared_voting_power": 5689613.0, "sole_dispositive_power": 58704.0, "shared_dispositive_power": 5689613.0, "aggregate_amount_owned": 5748317.0, "percent_of_class": 56.5, "type_of_reporting_person": "IN", "comment_content": "(Explanatory Note) This is Amendment No. 5 (this \"Amendment\") to Schedule 13D (as previously amended, the \"Schedule\") filed on November 17, 2025 by William W. Smith, Jr., relating to the ownership of shares of common stock, par value $0.001 per share (the \"Common Stock\") of Smith Micro Software, Inc., a Delaware corporation (the \"Issuer\"). The Issuer completed a 1-for-5 reverse stock split with a market effective date of June 5, 2026 (\"Reverse Stock Split\"). On the market effective date of the Reverse Stock Split, the Issuer's Common Stock commenced trading under a new CUSIP number, 832154504. All share numbers contained in this Form 13D/A reflect the effectiveness of the Reverse Stock Split.\n\nThe purpose of this Amendment is to reflect changes resulting from a common stock purchase warrant and a convertible note purchased on March 10, 2026 for investment purposes by the Smith Living Trust, for which William W. Smith, Jr. serves as co-trustee, having become exercisable or convertible within sixty (60) days. Except as specifically set forth herein, the Schedule otherwise remains unmodified. Capitalized terms used herein and not otherwise defined shall have the respective meanings ascribed to them in the Schedule.\n\n(1) The shared voting power and aggregate amount beneficially owned by the Reporting Person includes 5,689,613 shares held in the name of the Smith Living Trust, for which Mr. Smith and his spouse are co-trustees, including 4,586,078 shares of Common Stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants or conversion of convertible notes (as applicable).\n\n(2) The percent of class beneficially owned by the Reporting Person is based on 5,589,914 shares of Common Stock outstanding (as reflected in the records of the Issuer's transfer agent) and 4,586,078 shares of Common Stock not outstanding which the Smith Living Trust has the right to acquire within sixty (60) days upon the exercise of warrants or conversion of convertible notes (as applicable), in accordance with Rule 13d-3(d)(1)(i) and without regard to any exercise or conversion limitations contained therein.\n\n(3) Under the terms of the convertible note and warrant purchased on March 10, 2026 for investment purposes, the Smith Living Trust may not convert the convertible note or exercise any portion of this warrant to the extent such conversion or exercise (as the case may be) would cause the Reporting Person to beneficially own more than 49.99% of the Issuer's outstanding Common Stock immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion of such convertible note or upon exercise of such warrant (as the case may be)." }, { "accession_no": "0001437749-26-023739", "person_seq": 0, "reporting_person_cik": 1090391, "reporting_person_name": "BARTELS WILLIAM H", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001437749-26-023888", "person_seq": 0, "reporting_person_cik": 50471, "reporting_person_name": "ReposiTrak, Inc.", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 8900406.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8900406.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8900406.0, "percent_of_class": 31.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001437749-26-024423", "person_seq": 0, "reporting_person_cik": 1990517, "reporting_person_name": "R01 Fund LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 49508502.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 49508502.0, "aggregate_amount_owned": 49508502.0, "percent_of_class": 48.4, "type_of_reporting_person": "PN", "comment_content": "This Amendment No. 7 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 16,103,992 shares, representing 30% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 25,054,625 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom are considered to be in a \"group\" with R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024423", "person_seq": 1, "reporting_person_cik": 2091715, "reporting_person_name": "R01 Capital LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 49508502.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 49508502.0, "aggregate_amount_owned": 49508502.0, "percent_of_class": 48.4, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 7 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 16,103,992 shares, representing 30% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 25,054,625 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom are considered to be in a \"group\" with R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024423", "person_seq": 2, "reporting_person_cik": 2091724, "reporting_person_name": "R01 Capital Manager LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 49508502.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 49508502.0, "aggregate_amount_owned": 49508502.0, "percent_of_class": 48.4, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 7 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 16,103,992 shares, representing 30% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 25,054,625 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom are considered to be in a \"group\" with R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024423", "person_seq": 3, "reporting_person_cik": 2091727, "reporting_person_name": "Kazley Michael John", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 49508502.0, "sole_dispositive_power": 4118828.0, "shared_dispositive_power": 49508502.0, "aggregate_amount_owned": 53627330.0, "percent_of_class": 52.4, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 7 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 16,103,992 shares, representing 30% of the total number of shares issuable upon exercise of the pre-funded warrants issued by the Issuer to R01 Fund LP and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 25,054,625 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to Framework Ventures IV L.P., Framework Ventures Management LLC, Framework Ventures IV GP LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom are considered to be in a \"group\" with R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Kazley for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024424", "person_seq": 0, "reporting_person_cik": 2028474, "reporting_person_name": "Framework Ventures IV L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 47723141.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 47723141.0, "aggregate_amount_owned": 47723141.0, "percent_of_class": 46.6, "type_of_reporting_person": "PN", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 15,032,775 shares, representing 30% of the total number of shares issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 26,839,986 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024424", "person_seq": 1, "reporting_person_cik": 2091751, "reporting_person_name": "Framework Ventures Management LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 47723141.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 47723141.0, "aggregate_amount_owned": 47723141.0, "percent_of_class": 46.6, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 15,032,775 shares, representing 30% of the total number of shares issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 26,839,986 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024424", "person_seq": 2, "reporting_person_cik": 2092591, "reporting_person_name": "Framework Ventures IV GP LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 47723141.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 47723141.0, "aggregate_amount_owned": 47723141.0, "percent_of_class": 46.6, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 15,032,775 shares, representing 30% of the total number of shares issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 26,839,986 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024424", "person_seq": 3, "reporting_person_cik": 2092030, "reporting_person_name": "Spencer Vance", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 47723141.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 47723141.0, "aggregate_amount_owned": 47723141.0, "percent_of_class": 46.6, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 15,032,775 shares, representing 30% of the total number of shares issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 26,839,986 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024424", "person_seq": 4, "reporting_person_cik": 2093174, "reporting_person_name": "Anderson Michael Ernest", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 47723141.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 47723141.0, "aggregate_amount_owned": 47723141.0, "percent_of_class": 46.6, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 6 is being filed to update the beneficial ownership of the Reporting Persons to reflect the vesting of the second tranche of pre-funded warrants to purchase 15,032,775 shares, representing 30% of the total number of shares issuable upon the exercise of the pre-funded warrants issued by the Issuer to Framework Ventures IV L.P. and other investors on January 16, 2026 (the \"Pre-Funded Warrants\"). The percentage calculation set forth above is based on 50,449,780 shares of Common Stock outstanding as of June 15, 2026 and also contemplates the vesting of an aggregate of 26,839,986 shares of Common Stock underlying the Pre-Funded Warrants issued by the Issuer to R01 Fund LP, R01 Capital LLC, R01 Capital Manager LLC and Michael Kazley, each of which or whom are considered to be in a group with Framework Ventures IV L.P., Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson for purposes of Rule 13d-3 under the Exchange Act. The reported securities may also be deemed to be beneficially owned by Framework Ventures IV GP LLC, Framework Ventures Management LLC, Vance Spencer and Michael Ernest Anderson, each of which or whom disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein." }, { "accession_no": "0001437749-26-024641", "person_seq": 0, "reporting_person_cik": 1334933, "reporting_person_name": "URANIUM ENERGY CORP", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 28967375.0, "shared_voting_power": 0.0, "sole_dispositive_power": 28967375.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 28967375.0, "percent_of_class": 7.7, "type_of_reporting_person": "CO", "comment_content": "The above numbers under items 7, 9 and 11 above are comprised of 28,967,375 shares of Common Stock of the Issuer held by the Reporting Person. The percentage provided for under item 13 above is based on 377,210,623 shares of Common Stock of the Issuer's common stock issued and outstanding as of July 27, 2026." }, { "accession_no": "0001437749-26-024897", "person_seq": 0, "reporting_person_cik": 1228922, "reporting_person_name": "DONDERO JAMES D", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 1744.39, "shared_voting_power": 5217131.34, "sole_dispositive_power": 1744.39, "shared_dispositive_power": 5217131.34, "aggregate_amount_owned": 5218875.74, "percent_of_class": 9.6, "type_of_reporting_person": "HC", "comment_content": "The percentages used herein are calculated based upon 54,647,995 Common Shares outstanding as of 7/27/26." }, { "accession_no": "0001437749-26-024897", "person_seq": 1, "reporting_person_cik": 1622148, "reporting_person_name": "HIGHLAND GLOBAL ALLOCATION FUND", "fund_type": "WC", "citizenship_or_org": "MA", "sole_voting_power": 0.0, "shared_voting_power": 3115253.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3115253.0, "aggregate_amount_owned": 3115253.0, "percent_of_class": 5.7, "type_of_reporting_person": "IV", "comment_content": "The percentages used herein are calculated based upon 54,647,995 Common Shares outstanding as of 7/27/26." }, { "accession_no": "0001437749-26-024897", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Drugcrafters, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 72082.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 72082.0, "aggregate_amount_owned": 72082.0, "percent_of_class": 0.1, "type_of_reporting_person": "PN", "comment_content": "The percentages used herein are calculated based upon 54,647,995 Common Shares outstanding as of 7/27/26." }, { "accession_no": "0001437749-26-024897", "person_seq": 3, "reporting_person_cik": 1469877, "reporting_person_name": "NEXPOINT ASSET MANAGEMENT, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3115253.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3115253.0, "aggregate_amount_owned": 3115253.0, "percent_of_class": 5.7, "type_of_reporting_person": "IA", "comment_content": "The percentages used herein are calculated based upon 54,647,995 Common Shares outstanding as of 7/27/26." }, { "accession_no": "0001437749-26-024897", "person_seq": 4, "reporting_person_cik": 1656757, "reporting_person_name": "DONDERO NANCY MARIE", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2029796.34, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2029796.34, "aggregate_amount_owned": 2029796.34, "percent_of_class": 3.7, "type_of_reporting_person": "IN", "comment_content": "The percentages used herein are calculated based upon 54,647,995 Common Shares outstanding as of 7/27/26." }, { "accession_no": "0001437749-26-025133", "person_seq": 0, "reporting_person_cik": 1609580, "reporting_person_name": "Stachowiak Raymond C", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 120678.0, "shared_voting_power": 2319527.0, "sole_dispositive_power": 120678.0, "shared_dispositive_power": 2319527.0, "aggregate_amount_owned": 2440205.0, "percent_of_class": 35.3, "type_of_reporting_person": "IN", "comment_content": "(1) Includes 70,678 shares of common stock, no par value (the \"Common Stock\"), of American Shares Hospital Services (the \"Issuer\") that are issuable to Mr. Stachowiak upon the vesting of restricted stock units (\"RSUs\") within 60 days of July 24, 2026, the filing date of this Schedule 13D/A (the \"Filing Date\").\n\n(2) Includes 752,500 shares of Common Stock owned by RCS Investments, Inc. (\"RCS\"), of which Mr. Stachowiak is the president. RCS is wholly owned by the Raymond C Stachowiak Revocable Trust dated November 19, 1998 (the \"Stachowiak Trust\"), of which Mr. Stachowiak is the sole trustee and, in such capacity, may direct the voting and investment of the securities held by RCS. In his capacity as owner-president of RCS, Mr. Stachowiak may be deemed to have or share beneficial ownership of the shares of Common Stock held of record by RCS.\n\n(3) Includes 760,559 shares of Common Stock owned by Stachowiak Equity Fund, LLC (\"Stachowiak Equity\"), of which Mr. Stachowiak is the manager. Stachowiak Equity is owned 60% by the Stachowiak Trust, of which Mr. Stachowiak is the sole trustee, and 20% by each of two trusts established for Mr. Stachowiak's children, of which Mr. Stachowiak's spouse is the sole trustee. In his capacity as owner-manager of Stachowiak Equity, Mr. Stachowiak may be deemed to have or share beneficial ownership of the shares of Common Stock held of record by Stachowiak Equity.\n\n(4) Includes 586,468 shares of Common Stock owned by RCS/TIG Holdings LLC (\"RCS/TIG\"), of which Mr. Stachowiak is the manager. RCS/TIG is wholly owned by the Stachowiak Trust, of which Mr. Stachowiak is the sole trustee and, in such capacity, may direct the voting and investment of the securities held by RCS/TIG. In his capacity as owner-manager of RCS/TIG, Mr. Stachowiak may be deemed to have or share beneficial ownership of the shares of Common Stock held of record by RCS/TIG.\n\n(5) Includes 220,000 shares of Common Stock that RCS/TIG has the right to acquire within 60 days of the Filing Date pursuant to a warrant issued by the Company to RCS/TIG on July 22, 2026 (the \"Warrant\").\n\n(6) This percentage was calculated in accordance with the U.S. Securities and Exchange Commission (the \"SEC\") rules for calculating percentages of beneficial ownership, based on the Issuer having an aggregate of 6,625,000 shares of Common Stock issued and outstanding as of May 11, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the SEC on May 14, 2026 (the \"Quarterly Report\"), and includes 70,678 shares of Common Stock that Mr. Stachowiak has the right to acquire within 60 days of the Filing Date upon the vesting of RSUs and 220,000 shares of Common Stock that RCS/TIG has the right to acquire upon the exercise of the Warrant." }, { "accession_no": "0001437749-26-025133", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "RCS Investments, Inc.", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 752500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 752500.0, "aggregate_amount_owned": 752500.0, "percent_of_class": 11.4, "type_of_reporting_person": "CO", "comment_content": "(1) This percentage is based on the Issuer having an aggregate of 6,625,000 shares of Common Stock issued and outstanding as of May 11, 2026, as reported in the Issuer's Quarterly Report." }, { "accession_no": "0001437749-26-025133", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Stachowiak Equity Fund, LLC", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 760559.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 760559.0, "aggregate_amount_owned": 760559.0, "percent_of_class": 11.5, "type_of_reporting_person": "OO", "comment_content": "(1) This percentage is based on the Issuer having an aggregate of 6,625,000 shares of Common Stock issued and outstanding as of May 11, 2026, as reported in the Issuer's Quarterly Report." }, { "accession_no": "0001437749-26-025133", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "RCS/TIG Holdings LLC", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 806468.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 806468.0, "aggregate_amount_owned": 806468.0, "percent_of_class": 11.8, "type_of_reporting_person": "OO", "comment_content": "(1) Includes 220,000 shares of Common Stock that RCS/TIG has the right to acquire within 60 days of the Filing Date pursuant to a warrant issued by the Company to RCS/TIG.\n\n(2) This percentage is based on the Issuer having an aggregate of 6,625,000 shares of Common Stock issued and outstanding as of May 11, 2026, as reported in the Issuer's Quarterly Report and 220,000 shares of Common Stock that RCS/TIG has the right to acquire upon the exercise of the Warrant." }, { "accession_no": "0001441449-26-000006", "person_seq": 0, "reporting_person_cik": 1441449, "reporting_person_name": "Qatar Investment Authority", "fund_type": "OO", "citizenship_or_org": "S3", "sole_voting_power": 2122383.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2122383.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2122383.0, "percent_of_class": 17.7, "type_of_reporting_person": "OO", "comment_content": "The reported percentage is calculated based upon 11,984,588 shares of Common Stock outstanding as of March 23, 2026, as reported in the Issuer's Current Report on Form 8-K filed with the SEC on March 23, 2026." }, { "accession_no": "0001441449-26-000009", "person_seq": 0, "reporting_person_cik": 1441449, "reporting_person_name": "Qatar Investment Authority", "fund_type": "OO", "citizenship_or_org": "S3", "sole_voting_power": 11801103.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11801103.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11801103.0, "percent_of_class": 8.9, "type_of_reporting_person": "OO", "comment_content": "The reported percentage is calculated based upon 132,811,490 shares of Class A Common Stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q filed with the SEC on May 6, 2026." }, { "accession_no": "0001472375-26-000183", "person_seq": 0, "reporting_person_cik": null, "reporting_person_name": "Boreta Lifetime Trust", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 1546390.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1546390.0, "aggregate_amount_owned": 1546390.0, "percent_of_class": 11.9, "type_of_reporting_person": "OO", "comment_content": "(13) Percentage ownership is based on 13,047,037 shares of common stock of the Issuer outstanding as of June 26, 2026, as confirmed by the Issuer's transfer agent on that date." }, { "accession_no": "0001472375-26-000183", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "All-American Golf Center, Inc.", "fund_type": "WC", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": "(13) Percentage ownership is based on 13,047,037 shares of common stock of the Issuer outstanding as of June 26, 2026, as confirmed by the Issuer's transfer agent on that date." }, { "accession_no": "0001472375-26-000183", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Boreta Enterprises", "fund_type": "AF", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 360784.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 360784.0, "aggregate_amount_owned": 360784.0, "percent_of_class": 2.8, "type_of_reporting_person": null, "comment_content": "(13) Percentage ownership is based on 13,047,037 shares of common stock of the Issuer outstanding as of June 26, 2026, as confirmed by the Issuer's transfer agent on that date." }, { "accession_no": "0001472375-26-000183", "person_seq": 3, "reporting_person_cik": 941962, "reporting_person_name": "BORETA RONALD S", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 602229.0, "shared_voting_power": 1907174.0, "sole_dispositive_power": 602229.0, "shared_dispositive_power": 1907174.0, "aggregate_amount_owned": 2509403.0, "percent_of_class": 19.2, "type_of_reporting_person": "IN", "comment_content": "(13) Percentage ownership is based on 13,047,037 shares of common stock of the Issuer outstanding as of June 26, 2026, as confirmed by the Issuer's transfer agent on that date." }, { "accession_no": "0001477932-26-003642", "person_seq": 0, "reporting_person_cik": 2136086, "reporting_person_name": "KGPLA HOLDINGS LLC", "fund_type": "BK", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1798500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1798500.0, "aggregate_amount_owned": 1798500.0, "percent_of_class": 19.9, "type_of_reporting_person": "OO", "comment_content": "(13) Based on 7,197,228 shares of common stock issued and outstanding as of May 12, 2026, as set forth on the cover page of the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed on May 15, 2026.\r \r Includes 1,798,500 shares of Common Stock (described in 1(a) below) issuable upon conversion of Series B-1 Convertible Preferred Stock shares. As more fully described in Item 4, these shares of preferred stock are subject to a 19.99% beneficial ownership blocker and the percentage set forth on row (13) and the number of shares of Common Stock set forth on rows (8), (10) and (11) give effect to such blocker." }, { "accession_no": "0001477932-26-003642", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "KOMARANSKY MICHAEL", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1798500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1798500.0, "aggregate_amount_owned": 1798500.0, "percent_of_class": 19.9, "type_of_reporting_person": "IN", "comment_content": "(13) Based on 7,197,228 shares of common stock issued and outstanding as of May 12, 2026, as set forth on the cover page of the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed on May 15, 2026.\r \r Includes 1,798,500 shares of Common Stock (described in 1(a) below) issuable upon conversion of Series B-1 Convertible Preferred Stock shares. As more fully described in Item 4, these shares of preferred stock are subject to a 19.99% beneficial ownership blocker and the percentage set forth on row (13) and the number of shares of Common Stock set forth on rows (8), (10) and (11) give effect to such blocker." }, { "accession_no": "0001477932-26-003934", "person_seq": 0, "reporting_person_cik": 1672837, "reporting_person_name": "Anthony Brian Goodman", "fund_type": "OO", "citizenship_or_org": "C3", "sole_voting_power": 808673.0, "shared_voting_power": 453463.0, "sole_dispositive_power": 808673.0, "shared_dispositive_power": 453463.0, "aggregate_amount_owned": 1262136.0, "percent_of_class": 9.96, "type_of_reporting_person": "IN", "comment_content": "(13) Based solely for the purposes of such calculation on a total of 12,669,479 shares of common stock outstanding as of April 28, 2026, as confirmed by the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the Securities and Exchange Commission on April 28, 2026." }, { "accession_no": "0001477932-26-003934", "person_seq": 1, "reporting_person_cik": 1852146, "reporting_person_name": "Luxor Capital, LLC", "fund_type": "OO", "citizenship_or_org": "NV", "sole_voting_power": 0.0, "shared_voting_power": 453463.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 453463.0, "aggregate_amount_owned": 453463.0, "percent_of_class": 3.58, "type_of_reporting_person": "OO", "comment_content": "(13) Based solely for the purposes of such calculation on a total of 12,669,479 shares of common stock outstanding as of April 28, 2026, as confirmed by the cover page of the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed with the Securities and Exchange Commission on April 28, 2026." }, { "accession_no": "0001477932-26-004692", "person_seq": 0, "reporting_person_cik": 2136079, "reporting_person_name": "Johnny Chen", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 724224643.0, "shared_voting_power": 0.0, "sole_dispositive_power": 724224643.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 724224643.0, "percent_of_class": 11.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001477932-26-004693", "person_seq": 0, "reporting_person_cik": 2133079, "reporting_person_name": "Huang Ximing", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 4103939641.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4103939641.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4103939641.0, "percent_of_class": 65.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001486180-26-000002", "person_seq": 0, "reporting_person_cik": 1486180, "reporting_person_name": "RIVER GLOBAL INVESTORS LLP", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 6529027.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6529027.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6529027.0, "percent_of_class": 6.1, "type_of_reporting_person": "IV", "comment_content": null }, { "accession_no": "0001486180-26-000003", "person_seq": 0, "reporting_person_cik": 1486180, "reporting_person_name": "RIVER GLOBAL INVESTORS LLP", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 834100.0, "shared_voting_power": 0.0, "sole_dispositive_power": 834100.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 834100.0, "percent_of_class": 0.8, "type_of_reporting_person": "IV", "comment_content": null }, { "accession_no": "0001491567-26-000007", "person_seq": 0, "reporting_person_cik": 1491567, "reporting_person_name": "Olesen Value Fund L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 216508.0, "shared_voting_power": 0.0, "sole_dispositive_power": 216508.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 216508.0, "percent_of_class": 10.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001491567-26-000007", "person_seq": 1, "reporting_person_cik": 1758043, "reporting_person_name": "Olesen Value Fund GP LLC", "fund_type": "OO", "citizenship_or_org": "PA", "sole_voting_power": 0.0, "shared_voting_power": 216508.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 216508.0, "aggregate_amount_owned": 216508.0, "percent_of_class": 10.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001491567-26-000007", "person_seq": 2, "reporting_person_cik": 1758002, "reporting_person_name": "Olesen Christian", "fund_type": "OO", "citizenship_or_org": "G7", "sole_voting_power": 0.0, "shared_voting_power": 216508.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 216508.0, "aggregate_amount_owned": 216508.0, "percent_of_class": 10.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-022569", "person_seq": 0, "reporting_person_cik": 1144879, "reporting_person_name": "Applied Digital Corporation", "fund_type": "AF", "citizenship_or_org": "NV", "sole_voting_power": 139528227.0, "shared_voting_power": 0.0, "sole_dispositive_power": 139528227.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 139528227.0, "percent_of_class": 97.5, "type_of_reporting_person": "CO", "comment_content": "See Item 5 for additional information." }, { "accession_no": "0001493152-26-023060", "person_seq": 0, "reporting_person_cik": 2134293, "reporting_person_name": "STARTEEPO Invest, investicni fond s promennym zakladnim kapitalem, a.s.", "fund_type": "OO", "citizenship_or_org": "2N", "sole_voting_power": 0.0, "shared_voting_power": 5200000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5200000.0, "aggregate_amount_owned": 5200000.0, "percent_of_class": 3.98, "type_of_reporting_person": "OO", "comment_content": "Row 13: Based on 130,779,611 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026, as filed with the Securities and Exchange Commission (the \"SEC\") on May 7, 2026." }, { "accession_no": "0001493152-26-023060", "person_seq": 1, "reporting_person_cik": 2134654, "reporting_person_name": "Frantisek Bostl", "fund_type": "PF", "citizenship_or_org": "2N", "sole_voting_power": 1540000.0, "shared_voting_power": 5200000.0, "sole_dispositive_power": 1540000.0, "shared_dispositive_power": 5200000.0, "aggregate_amount_owned": 6740000.0, "percent_of_class": 5.15, "type_of_reporting_person": "IN", "comment_content": "Row 7, Row 9, and Row 11: Consists of (i) 1,400,000 shares of Common Stock and (ii) 140,000 shares of Common Stock underlying call options, as described in Item 6, held directly by Mr. Bostl.\n\nRow 8, Row 10, and Row 11: Represents 5,200,000 shares of Common Stock held of record by the Fund for which Mr. Bostl may be deemed to be a beneficial owner as the Chief Investment Officer and Chairman of the Board of Directors of the Fund and owner of all of the voting shares of the Fund. Mr. Bostl disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his direct pecuniary interest therein.\n\nRow 13: Based on 130,779,611 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026, as filed with the SEC on May 7, 2026." }, { "accession_no": "0001493152-26-023385", "person_seq": 0, "reporting_person_cik": 2041970, "reporting_person_name": "Abundant Glory Investment L.P.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 617538082.0, "shared_voting_power": 0.0, "sole_dispositive_power": 617538082.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 617538082.0, "percent_of_class": 0.9, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7: Represents 617,538,082 Class A Ordinary Shares of the Issuer held by Abundant Glory Investment L.P. (\"Glory\"). Note to Row 13: Percentage ownership is calculated based on a total of 65,994,078,379 Class A Ordinary Shares outstanding (excluding Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as of April 25, 2026." }, { "accession_no": "0001493152-26-023385", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Fame Dragon Global Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 4914884125.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4914884125.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4914884125.0, "percent_of_class": 7.4, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7: Represents 4,914,884,125 Class A Ordinary Shares of the Issuer held by Fame Dragon Global Limited (\"Fame\"). Note to Row 13: Percentage ownership is calculated based on a total of 65,994,078,379 Class A Ordinary Shares outstanding (excluding Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as of April 25, 2026." }, { "accession_no": "0001493152-26-023385", "person_seq": 2, "reporting_person_cik": 1852124, "reporting_person_name": "Eve One Fund II L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 9515225999.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9515225999.0, "aggregate_amount_owned": 9515225999.0, "percent_of_class": 14.4, "type_of_reporting_person": "PN", "comment_content": "Note to Row 8: Eve One Fund II L.P. (\"Eve One II\") holds 25.3% voting rights of Abundant Grace Investment Limited(\"Grace\"), which directly holds 18,212,814,010 Class A Ordinary Shares of the Issuer. Accordingly, Eve One II is deemed to be the beneficial owner of 23.3% of the 18,212,814,010 Class A Ordinary Shares, or 4,600,341,874 Class A Ordinary Shares, of the Issuer directly held by Grace. In addition, Fame is majority-owned by Eve One II, and therefore Eve One II is deemed to be the beneficial owner of 4,914,884,125 Class A Ordinary Shares of the Issuer directly held by Fame. Note to Row 13: Percentage ownership is calculated based on a total of 65,994,078,379 Class A Ordinary Shares outstanding (excluding Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as of April 25, 2026." }, { "accession_no": "0001493152-26-023385", "person_seq": 3, "reporting_person_cik": 2062743, "reporting_person_name": "Nio Capital II LLC", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 10700474904.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10700474904.0, "aggregate_amount_owned": 10700474904.0, "percent_of_class": 16.2, "type_of_reporting_person": "CO", "comment_content": "Note to Row 8: NIO Capital II LLC (\"NIO Capital\") is the general partner of Eve One II, EVE ONE FUND II (PARALLEL) L.P. and Glory. Accordingly, NIO Capital is deemed to be the beneficial owner of 9,515,225,999 Class A Ordinary Shares of the Issuer ascribed to Eve One II, 567,710,822 Class A Ordinary Shares of the Issuer ascribed to EVE ONE FUND II (PARALLEL) L.P. and 617,538,082 Class A Ordinary Shares of the Issuer ascribed to Glory. Note to Row 13: Percentage ownership is calculated based on a total of 65,994,078,379 Class A Ordinary Shares outstanding (excluding Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as of April 25, 2026." }, { "accession_no": "0001493152-26-023386", "person_seq": 0, "reporting_person_cik": 2041632, "reporting_person_name": "Abundant Grace Investment Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 18212814010.0, "shared_voting_power": 0.0, "sole_dispositive_power": 18212814010.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 18212814010.0, "percent_of_class": 27.6, "type_of_reporting_person": "CO", "comment_content": "Note to Row 7: Represents 18,212,814,010 Class A Ordinary Shares of the Issuer held by Abundant Grace Investment Limited (\"Grace\"). Note to Row 13: Percentage ownership is calculated based on a total of 65,994,078,379 Class A Ordinary Shares outstanding (excluding Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as of April 25, 2026." }, { "accession_no": "0001493152-26-023386", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "NBNW Investment Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 12992558760.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12992558760.0, "aggregate_amount_owned": 12992558760.0, "percent_of_class": 19.7, "type_of_reporting_person": "CO", "comment_content": "Note to Row 8: NBNW Investment Limited (\"NBNW\") holds 71.3% of Grace's voting rights. Accordingly, NBNW is deemed to be the beneficial owner of 71.3% of the 18,212,814,010 Class A Ordinary Shares, or 12,992,558,760 Class A Ordinary Shares, of the Issuer directly held by Grace. Note to Row 13: Percentage ownership is calculated based on a total of 65,994,078,379 Class A Ordinary Shares outstanding (excluding Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as of April 25, 2026." }, { "accession_no": "0001493152-26-023386", "person_seq": 2, "reporting_person_cik": 1314235, "reporting_person_name": "Bin Li", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 12992558760.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12992558760.0, "aggregate_amount_owned": 12992558760.0, "percent_of_class": 19.7, "type_of_reporting_person": "IN", "comment_content": "Note to Row 8: Bin Li indirectly controls NBNW, which holds 71.3% of Grace's voting rights. Accordingly, each of Bin Li and NBNW is deemed to be the beneficial owner of 71.3% of the 18,212,814,010 Class A Ordinary Shares, or 12,992,558,760 Class A Ordinary Shares, of the Issuer directly held by Grace. Note to Row 13: Percentage ownership is calculated based on a total of 65,994,078,379 Class A Ordinary Shares outstanding (excluding Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as of April 25, 2026." }, { "accession_no": "0001493152-26-023390", "person_seq": 0, "reporting_person_cik": 1710572, "reporting_person_name": "Patrick L. Norris", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 78122675.0, "shared_voting_power": 0.0, "sole_dispositive_power": 78122675.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 78122675.0, "percent_of_class": 72.17, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-023402", "person_seq": 0, "reporting_person_cik": 2047276, "reporting_person_name": "Astral Success Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 17496912310.0, "shared_voting_power": 0.0, "sole_dispositive_power": 17496912310.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 17496912310.0, "percent_of_class": 26.5, "type_of_reporting_person": "CO", "comment_content": "Note to 7 and 9: Represents 17,496,912,310 Class A Ordinary Shares of the Issuer held of record by Astral.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 1, "reporting_person_cik": 1757920, "reporting_person_name": "Joy Capital Opportunity, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 17496912310.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17496912310.0, "aggregate_amount_owned": 17496912310.0, "percent_of_class": 26.5, "type_of_reporting_person": "PN", "comment_content": "Note to 8 and 10: Represents 17,496,912,310 Class A Ordinary Shares of the Issuer held of record by Astral.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 2, "reporting_person_cik": 1757900, "reporting_person_name": "Joy Capital Opportunity GP, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 17496912310.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17496912310.0, "aggregate_amount_owned": 17496912310.0, "percent_of_class": 26.5, "type_of_reporting_person": "PN", "comment_content": "Note to 8 and 10: Represents 17,496,912,310 Class A Ordinary Shares of the Issuer held of record by Astral.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 3, "reporting_person_cik": 1715080, "reporting_person_name": "Joy Capital II, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 17496912310.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17496912310.0, "aggregate_amount_owned": 17496912310.0, "percent_of_class": 26.5, "type_of_reporting_person": "PN", "comment_content": "Note to 8 and 10: Represents 17,496,912,310 Class A Ordinary Shares of the Issuer held of record by Astral.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Joy Capital II GP, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 17496912310.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17496912310.0, "aggregate_amount_owned": 17496912310.0, "percent_of_class": 26.5, "type_of_reporting_person": "PN", "comment_content": "Note to 8 and 10: Represents 17,496,912,310 Class A Ordinary Shares of the Issuer held of record by Astral.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 5, "reporting_person_cik": 1782835, "reporting_person_name": "Joy Capital III, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 1263486900.0, "shared_voting_power": 17496912310.0, "sole_dispositive_power": 1263486900.0, "shared_dispositive_power": 17496912310.0, "aggregate_amount_owned": 18760399210.0, "percent_of_class": 28.4, "type_of_reporting_person": "PN", "comment_content": "Note to 7 and 9: Represents 1,263,486,900 Class A Ordinary Shares of the Issuer held of record by Joy III.\n\nNote to 8 and 10: Represents 17,496,912,310 Class A Ordinary Shares of the Issuer held of record by Astral.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 6, "reporting_person_cik": 1782893, "reporting_person_name": "Joy Capital III GP, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 18760399210.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 18760399210.0, "aggregate_amount_owned": 18760399210.0, "percent_of_class": 28.4, "type_of_reporting_person": "PN", "comment_content": "Note to 8 and 10: Represents 18,760,399,210 Class A Ordinary Shares of the Issuer held of record by Astral and Joy III, respectively, which is the sum of (i) 17,496,912,310 Class A Ordinary Shares held by Astral, and (ii) 1,263,486,900 Class A Ordinary Shares held by Joy III.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "Joy Capital GP, Ltd.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 20579308546.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20579308546.0, "aggregate_amount_owned": 20579308546.0, "percent_of_class": 31.2, "type_of_reporting_person": "OO", "comment_content": "Note to 8 and 10: Represents 20,579,308,546 Class A Ordinary Shares of the Issuer held of record by Astral, Joy III and Brightest, respectively, which is the sum of (i) 17,496,912,310 Class A Ordinary Shares held by Astral, (ii) 1,263,486,900 Class A Ordinary Shares held by Joy III, and (iii) 1,818,909,336 Class A Ordinary Shares held by Brightest.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 8, "reporting_person_cik": 1926452, "reporting_person_name": "Joy Capital IV, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 19315821646.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19315821646.0, "aggregate_amount_owned": 19315821646.0, "percent_of_class": 29.3, "type_of_reporting_person": "PN", "comment_content": "Note to 8 and 10: Represents 19,315,821,646 Class A Ordinary Shares of the Issuer held of record by Astral and Brightest, respectively, which is the sum of (i) 17,496,912,310 Class A Ordinary Shares held by Astral, and (ii) 1,818,909,336 Class A Ordinary Shares held by Brightest.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 9, "reporting_person_cik": 1926404, "reporting_person_name": "Joy Capital IV GP, L.P.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 19315821646.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 19315821646.0, "aggregate_amount_owned": 19315821646.0, "percent_of_class": 29.3, "type_of_reporting_person": "PN", "comment_content": "Note to 8 and 10: Represents 19,315,821,646 Class A Ordinary Shares of the Issuer held of record by Astral and Brightest, respectively, which is the sum of (i) 17,496,912,310 Class A Ordinary Shares held by Astral, and (ii) 1,818,909,336 Class A Ordinary Shares held by Brightest.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023402", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "BRIGHTEST SKY LIMITED", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 1818909336.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1818909336.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1818909336.0, "percent_of_class": 2.8, "type_of_reporting_person": "CO", "comment_content": "Note to 7 and 9: Represents 1,818,909,336 Class A Ordinary Shares of the Issuer held of record by Brightest.\n\nNote to 13: The calculation assumes that there is a total of 65,953,268,518 Class A Ordinary Shares outstanding (excluding 1,632,099,892 Class A Ordinary Shares issued to the Issuer's depositary bank for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of awards granted under the Issuer's share incentive plan) as disclosed by the Issuer on its Form 20-F filed with the U.S. Securities and Exchange Commission on April 30, 2026." }, { "accession_no": "0001493152-26-023999", "person_seq": 0, "reporting_person_cik": 2130680, "reporting_person_name": "Andrew Karos", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 29533018.0, "shared_voting_power": 0.0, "sole_dispositive_power": 29533018.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 29533018.0, "percent_of_class": 48.08, "type_of_reporting_person": "IN", "comment_content": "In reference to Items 11 and 13, consists of 29,533,018 shares of Class B Common Stock. Each share of Class B Common Stock is convertible into one share of Class A Common Stock. Shares of Class B common stock held by the Reporting Person will automatically convert into an equal number of shares of Class A common stock upon (i) any sale, assignment, transfer or other disposition of such shares, other than certain permitted transfers, (ii) his cessation as an executive officer or director of the Company, or (iii) the date on which he ceases to beneficially own at least 40% of the shares of Class B common stock he held immediately following the closing, in each case subject to specified exceptions. Soley for purposes of this line item, the aggregate number of shares of Class B Common Stock beneficially owned by the Reporting Person is treated as converted into shares of Class A Common Stock." }, { "accession_no": "0001493152-26-024004", "person_seq": 0, "reporting_person_cik": 2130097, "reporting_person_name": "Harilaos Georgakopoulos", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 8016095.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8016095.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8016095.0, "percent_of_class": 25.13, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-024004", "person_seq": 1, "reporting_person_cik": 2135593, "reporting_person_name": "A23 Revocable Trust No.1, Dated January 26, 2026", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 8016095.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8016095.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8016095.0, "percent_of_class": 25.13, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-024014", "person_seq": 0, "reporting_person_cik": 1543122, "reporting_person_name": "B. Luke Weil", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3288511.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3288511.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3288511.0, "percent_of_class": 9.97, "type_of_reporting_person": "IN", "comment_content": "Note to Row 11: Reflects the sum of (i) 4,628,674 shares of class A common stock, par value $0.0001 (\"Class A Common Stock\"), of Boost Run Inc. (the \"Issuer\") held by Willow Lane Sponsor, LLC (\"Willow Lane Sponsor\"), a limited liability company of which Mr. Weil is the managing member, which include 1,272,885 shares of Class A Common Stock that may be purchased by Goodrich ILMJS LLC (the \"SPV\") within six (6) months after May 8, 2026, and (ii) 4,007,222 shares of Class A Common Stock issuable upon the exercise of warrants of the Issuer that are held by Willow Lane Sponsor, which warrants become exercisable beginning 30 days after May 8, 2026, which include 1,101,986 shares of Class A Common Stock issuable upon the exercise of warrants that may be purchased by the SPV within six (6) months after May 8, 2026, less (iii) 3,355,786 shares of Class A Common Stock (including 913,632 shares to Mr. Weil) and 2,905,231 shares of Class A Common Stock issuable upon the exercise of warrants of the Issuer that were transferred by Willow Lane Sponsor to certain individuals and entities who were members of Willow Lane Sponsor on May 12, 2026 (the \"Sponsor Distribution\"), plus (iv) 913,632 shares of Class A Common Stock that were transferred by Willow Lane Sponsor to Mr. Weil on May 12, 2026 as a result of the Sponsor Distribution.\n\nNote to Row 13: Based on an aggregate of 31,895,656 Class A Common Stock outstanding as of May 8, 2026 according to records of the Issuer. In computing the number of shares beneficially owned by a person and the percentage ownership of that person, all shares subject to warrants held by such person were deemed outstanding if such warrants are currently exercisable or will become exercisable within 60 days of the date of this report. These shares were not deemed outstanding, however, for the purpose of computing the percentage ownership of any other person." }, { "accession_no": "0001493152-26-024014", "person_seq": 1, "reporting_person_cik": 2038246, "reporting_person_name": "Willow Lane Sponsor, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2374879.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2374879.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2374879.0, "percent_of_class": 7.2, "type_of_reporting_person": "OO", "comment_content": "Note to Row 11: Reflects the sum of (i) 4,628,674 shares of Class A Common Stock of the Issuer held by Willow Lane Sponsor, a limited liability company of which Mr. Weil is the sole managing member, which include 1,272,885 shares of Class A Common Stock that may be purchased by the SPV within six (6) months after May 8, 2026, and (ii) 4,007,222 shares of Class A Common Stock issuable upon the exercise of warrants of the Issuer that are held by Willow Lane Sponsor, which warrants become exercisable beginning 30 days after May 8, 2026, which include 1,101,986 shares of Class A Common Stock issuable upon the exercise of warrants that may be purchased by the SPV within six (6) months after May 8, 2026, less (iii) 3,355,786 shares of Class A Common Stock (including 913,632 shares to Mr. Weil) and 2,905,231 shares of Class A Common Stock issuable upon the exercise of warrants of the Issuer that were transferred by Willow Lane Sponsor to certain individuals and entities who were members of Willow Lane Sponsor on May 12, 2026.\n\nNote to Row 13: Based on an aggregate of 31,895,656 Class A Common Stock outstanding as of May 8, 2026 according to records of the Issuer. In computing the number of shares beneficially owned by a person and the percentage ownership of that person, all shares subject to warrants held by such person were deemed outstanding if such warrants are currently exercisable or will become exercisable within 60 days of the date of this report. These shares were not deemed outstanding, however, for the purpose of computing the percentage ownership of any other person." }, { "accession_no": "0001493152-26-024022", "person_seq": 0, "reporting_person_cik": 2028811, "reporting_person_name": "Sean Goodrich", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2065385.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2065385.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2065385.0, "percent_of_class": 6.48, "type_of_reporting_person": "IN", "comment_content": "In reference to Items 7, 9, 11 and 13, Goodrich ILMJS LLC is the record hold of such securities. Mr. Goodrich is the managing member of Goodrich ILMJS LLC and holds and holds voting and investment discretion with respect to the shares of Pubco Class A Common Stock held of record by Goodrich ILMJS LLC. Goodrich ILMJS LLC is attributed beneficial ownership over the 1,272,885 shares of Class A Common Stock and 1,101,986 Warrants which may be transferred pursuant to the Amended and Restated Transfer Agreement, dated as of April 24, 2026, between Willow Lane Sponsor, LLC and Goodrich ILMJS LLC." }, { "accession_no": "0001493152-26-024308", "person_seq": 0, "reporting_person_cik": 2135709, "reporting_person_name": "Goodrich ILMJS LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2065385.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2065385.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2065385.0, "percent_of_class": 6.48, "type_of_reporting_person": "OO", "comment_content": "In reference to Items 7, 9, 11 and 13, Goodrich ILMJS LLC is the record hold of such securities. Sean Goodrich is the managing member of Goodrich ILMJS LLC and holds and holds voting and investment discretion with respect to the shares of Pubco Class A Common Stock held of record by Goodrich ILMJS LLC. Goodrich ILMJS LLC is attributed beneficial ownership over the 1,272,885 shares of Class A Common Stock and 1,101,986 Warrants which may be transferred pursuant to the Amended and Restated Transfer Agreement, dated as of April 24, 2026, between Willow Lane Sponsor, LLC and Goodrich ILMJS LLC." }, { "accession_no": "0001493152-26-024317", "person_seq": 0, "reporting_person_cik": 2133757, "reporting_person_name": "OR SHAN SHAN", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 137790.0, "shared_voting_power": 0.0, "sole_dispositive_power": 137790.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 137790.0, "percent_of_class": 13.81, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-024349", "person_seq": 0, "reporting_person_cik": 2083841, "reporting_person_name": "Viking Cake BR, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-024349", "person_seq": 1, "reporting_person_cik": 2084799, "reporting_person_name": "Viking Cake Fuel, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-024349", "person_seq": 2, "reporting_person_cik": 2079952, "reporting_person_name": "Daniel Brand", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-024349", "person_seq": 3, "reporting_person_cik": 2083544, "reporting_person_name": "Jeffrey Hernandez", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-024349", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Demi I. Winters", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3754151.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3754151.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3754151.0, "percent_of_class": 14.8, "type_of_reporting_person": "IN", "comment_content": "Amount in rows 7 and 9 consists of (a) 743,180 membership units (\"LLC Units\") of Black Rock Coffee Holdings, LLC (\"Black Rock OpCo\") and an equal number of shares of Class C Common Stock of Black Rock Coffee Bar, Inc. (the \"Issuer\") held by the Jeffrey R. Hernandez 2021 Trust and (b) 3,010,971 LLC Units and an equal number of shares of Class C Common Stock held by the Tiffany S. Hernandez 2021 Trust (together with the Jeffrey R. Hernandez 2021 Trust, the \"Hernandez Irrevocable Trusts\"). Ms. Winters serves as the investment advisor for the Hernandez Irrevocable Trusts. As investment advisor, Ms. Winters may be deemed to hold voting and investment power with respect to the shares held by the Hernandez Irrevocable Trusts. Ms. Winters disclaims beneficial ownership of the shares held by the Hernandez Irrevocable Trusts except to the extent of her pecuniary interest therein.\n\nHolders of LLC Units may elect to have Black Rock OpCo redeem their LLC Units for either shares of Class A Common Stock on a one-for-one basis or, at the Issuer's election (determined solely by the Issuer's independent directors who are disinterested), to effect such transaction as a direct exchange with the relevant holder. Upon any such redemption or exchange of LLC Units, the corresponding shares of Class C Common Stock will be cancelled.\n\nThe total outstanding shares of Class A Common Stock used in calculating the percent of class assumes the conversion of all of the Reporting Person's LLC Units into Class A Common Stock, resulting in a total of 25,327,044 shares of Class A Common Stock outstanding (which reflects the sum of (i) 21,572,893 shares of Class A Common Stock outstanding as of May 11, 2026 and (ii) 3,754,151 shares of Class A Common Stock issuable upon conversion of the Reporting Person's LLC Units)." }, { "accession_no": "0001493152-26-024469", "person_seq": 0, "reporting_person_cik": 1312824, "reporting_person_name": "A. Scott Dockter", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 36643795.0, "shared_voting_power": 72837839.0, "sole_dispositive_power": 36643795.0, "shared_dispositive_power": 72837839.0, "aggregate_amount_owned": 109481634.0, "percent_of_class": 39.4, "type_of_reporting_person": "IN", "comment_content": "The aggregate total number of shares beneficially owned includes 72,837,839 shares of Common Stock (as defined in Item 1), that are beneficially owned indirectly by Mr. Dockter as the owner and managing member of CoreTer, LLC." }, { "accession_no": "0001493152-26-025463", "person_seq": 0, "reporting_person_cik": 1972219, "reporting_person_name": "Blue & Silver Ventures, Ltd.", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 6332582.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6332582.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6332582.0, "percent_of_class": 6.73, "type_of_reporting_person": "PN", "comment_content": "(1) Consists of (i) 5,997,620 shares of Common Stock held directly by Blue & Silver, including 1,371,439 shares of Common Stock formerly held by Goff Jones and distributed to Blue & Silver and (ii) 334,962 shares of Common Stock issuable upon the exercise of warrants held by Blue & Silver, including 205,716 shares of Common Stock issuable upon the exercise of PIPE warrants formerly held by Goff Jones and assigned to Blue & Silver. Blue & Silver is a member of Goff Jones and, as a result, received a share of the securities held by Goff Jones prior to the dissolution of Goff Jones, which no longer holds any Common Stock or securities exercisable for Common Stock of the Issuer. (2) The percentage of class was calculated based on 93,696,723 Common Stock outstanding, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 14, 2026, and assuming the conversion of the warrants of the Issuer held by the Reporting Person into Common Stock, in accordance with Rule 13d-3(d)(1)(i) under the Act." }, { "accession_no": "0001493152-26-025463", "person_seq": 1, "reporting_person_cik": 1974099, "reporting_person_name": "Goff Jones Strategic Partners, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "(1) Prior to its dissolution, Goff Jones distributed its Common Stock and securities exercisable for Common Stock on May 22, 2026 to its members, including Blue & Silver, and no longer holds any Common Stock or securities exercisable for Common Stock of the Issuer. No securities were sold by Goff Jones as part of the dissolution." }, { "accession_no": "0001493152-26-025631", "person_seq": 0, "reporting_person_cik": 1278951, "reporting_person_name": "GoldenTree Asset Management LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23071760.31, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23071760.31, "aggregate_amount_owned": 23071760.31, "percent_of_class": 74.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001493152-26-025631", "person_seq": 1, "reporting_person_cik": 1435627, "reporting_person_name": "GoldenTree Asset Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23071760.31, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23071760.31, "aggregate_amount_owned": 23071760.31, "percent_of_class": 74.2, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001493152-26-025631", "person_seq": 2, "reporting_person_cik": 2074865, "reporting_person_name": "GoldenVest LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1986843.31, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1986843.31, "aggregate_amount_owned": 1986843.31, "percent_of_class": 6.4, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001493152-26-025631", "person_seq": 3, "reporting_person_cik": 1435626, "reporting_person_name": "Steven A. Tananbaum", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25058603.62, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25058603.62, "aggregate_amount_owned": 25058603.62, "percent_of_class": 80.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-026366", "person_seq": 0, "reporting_person_cik": 1715783, "reporting_person_name": "Grace & Mercy Foundation, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 2500000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2500000.0, "percent_of_class": 19.1, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-026459", "person_seq": 0, "reporting_person_cik": 2136301, "reporting_person_name": "Allen Family Digital, LLC", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 40000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 40000000.0, "aggregate_amount_owned": 40000000.0, "percent_of_class": 52.4, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001493152-26-026459", "person_seq": 1, "reporting_person_cik": 2105544, "reporting_person_name": "Byron Allen Folks", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 40000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 40000000.0, "aggregate_amount_owned": 40000000.0, "percent_of_class": 52.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 0, "reporting_person_cik": 1065521, "reporting_person_name": "SoftBank Group Corp.", "fund_type": "OO", "citizenship_or_org": "M0", "sole_voting_power": 0.0, "shared_voting_power": 39825312.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 39825312.0, "aggregate_amount_owned": 39825312.0, "percent_of_class": 31.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 1, "reporting_person_cik": 1730859, "reporting_person_name": "SB Investment Advisers (US) Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 2, "reporting_person_cik": 1838428, "reporting_person_name": "SVF Sponsor III (DE) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 3, "reporting_person_cik": 1883884, "reporting_person_name": "SB Global Advisers Limited", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 20000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000000.0, "aggregate_amount_owned": 20000000.0, "percent_of_class": 15.7, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 4, "reporting_person_cik": 1787613, "reporting_person_name": "SoftBank Vision Fund II-2 L.P.", "fund_type": "OO", "citizenship_or_org": "Y9", "sole_voting_power": 0.0, "shared_voting_power": 20000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000000.0, "aggregate_amount_owned": 20000000.0, "percent_of_class": 15.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 5, "reporting_person_cik": 1883559, "reporting_person_name": "SVF II Aggregator (Jersey) L.P.", "fund_type": "OO", "citizenship_or_org": "Y9", "sole_voting_power": 0.0, "shared_voting_power": 20000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000000.0, "aggregate_amount_owned": 20000000.0, "percent_of_class": 15.7, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 6, "reporting_person_cik": 1883900, "reporting_person_name": "SVF II Holdings (DE) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000000.0, "aggregate_amount_owned": 20000000.0, "percent_of_class": 15.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 7, "reporting_person_cik": 1934312, "reporting_person_name": "SVF II SPAC Investment 3 (DE) LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 20000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000000.0, "aggregate_amount_owned": 20000000.0, "percent_of_class": 15.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 8, "reporting_person_cik": 1991269, "reporting_person_name": "Silver Brick Management PTE. LTD.", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 2000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2000000.0, "aggregate_amount_owned": 2000000.0, "percent_of_class": 1.6, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 9, "reporting_person_cik": 1818296, "reporting_person_name": "SB Northstar LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2000000.0, "aggregate_amount_owned": 2000000.0, "percent_of_class": 1.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001493152-26-026480", "person_seq": 10, "reporting_person_cik": 1986690, "reporting_person_name": "SVF II Strategic Investments AIV LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 17825312.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 17825312.0, "aggregate_amount_owned": 17825312.0, "percent_of_class": 14.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-026513", "person_seq": 0, "reporting_person_cik": 2099450, "reporting_person_name": "Kwai Hoi MA", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 7667555.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7667555.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7667555.0, "percent_of_class": 97.71, "type_of_reporting_person": "IN", "comment_content": "(1) Comprised of (i) 5,137,680 Class B Ordinary Shares owned by Bloomington DH Holdings Limited, a holding company owned and controlled by Kwai Hoi MA; (ii) 1,129,875 Class A Ordinary Shares converted from promissory notes; and (iii) 1,200,000 Class B Ordinary Shares and 200,000 Class A Ordinary Shares owned by Edinburgh DH Holdings Limited, a holding company owned and controlled by the spouse of Kwai Hoi, Ma. Therefore, Kwai Hoi MA has the voting and dispositive control over the shares held by each of these entities. The aforementioned 200,000 Class A Ordinary Shares consists of 100,000 Class A ordinary shares transferred from Nova Pulsar Holdings Limited and 100,000 Class A ordinary shares issued upon the conversion of a 2023 Convertible Note purchased in the 2023 Private Placement. (2) Pursuant to the Class Meeting and Annual General Meeting of the Issuer on May 5, 2026 during which the shareholders have approved the increase of voting rights attached to each Class B Ordinary Share, each holder of Class A Ordinary Shares is entitled to one (1) vote per share and each holder of Class B Ordinary Shares is entitled to twenty-five (25) votes per share on all matters submitted to them for vote. Class B Ordinary Shares are convertible at any time by the holder thereof into Class A Ordinary Shares on a one-for-one basis. (3) Percentage of class is calculated based on 11,408,961 Ordinary Shares, consisting of 5,071,281 Class A Ordinary Shares and 6,337,680 Class B Ordinary Shares outstanding (including 450,000 Class B Ordinary Shares that were holdback shares which were released from escrow on May 19, 2026, being eighteen months from the closing of the Business Combination ) as of June 1, 2026, which information was provided by the Issuer to the Reporting Persons on June 1, 2026." }, { "accession_no": "0001493152-26-026513", "person_seq": 1, "reporting_person_cik": 2099449, "reporting_person_name": "Bloomington DH Holdings Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 6267555.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6267555.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6267555.0, "percent_of_class": 79.24, "type_of_reporting_person": "CO", "comment_content": "(1) Comprised of (i) 5,137,680 Class B Ordinary Shares; and (ii) 1,129,875 Class A Ordinary Shares converted from promissory notes. Bloomington DH Holdings Limited is 100% owned and controlled by Kwai Hoi MA. Therefore, Kwai Hoi MA has the sole voting and dispositive power over these shares. (2) Pursuant to the Class Meeting and Annual General Meeting of the Issuer on May 5, 2026 during which the shareholders have approved the increase of voting rights attached to each Class B Ordinary Share, each holder of Class A Ordinary Shares is entitled to one (1) vote per share and each holder of Class B Ordinary Shares is entitled to twenty-five (25) votes per share on all matters submitted to them for vote. Class B Ordinary Shares are convertible at any time by the holder thereof into Class A Ordinary Shares on a one-for-one basis. (3) Percentage of class is calculated based on 11,408,961 Ordinary Shares, consisting of 5,071,281 Class A Ordinary Shares and 6,337,680 Class B Ordinary Shares outstanding (including 450,000 Class B Ordinary Shares that were holdback shares which were release from escrow on May 19, 2026, being eighteen months from the closing of the Business Combination) as of June 1, 2026, which information was provided by the Issuer to the Reporting Persons on June 1, 2026." }, { "accession_no": "0001493152-26-026642", "person_seq": 0, "reporting_person_cik": 1860885, "reporting_person_name": "Kyri K. Van Hoose", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 384352.0, "shared_voting_power": 0.0, "sole_dispositive_power": 384352.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 384352.0, "percent_of_class": 9.0, "type_of_reporting_person": "IN", "comment_content": "See Item 5 for additional information." }, { "accession_no": "0001493152-26-026690", "person_seq": 0, "reporting_person_cik": 1843661, "reporting_person_name": "David Bailey", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 3175476.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3175476.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3175476.0, "percent_of_class": 18.25, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-026729", "person_seq": 0, "reporting_person_cik": 1576035, "reporting_person_name": "LEE CHONG KUANG", "fund_type": "PF", "citizenship_or_org": "N8", "sole_voting_power": 1875293.0, "shared_voting_power": 165915.0, "sole_dispositive_power": 1875293.0, "shared_dispositive_power": 165915.0, "aggregate_amount_owned": 2041208.0, "percent_of_class": 11.3, "type_of_reporting_person": "IN", "comment_content": "Includes 1,875,293 shares of Common Stock held directly by the Reporting Person and 165,915 shares of Common Stock held directly by the Reporting Person's spouse, Yap Pei Ling. The Reporting Person may be deemed to share voting and dispositive power over the shares held by his spouse." }, { "accession_no": "0001493152-26-027042", "person_seq": 0, "reporting_person_cik": 2134293, "reporting_person_name": "STARTEEPO Invest, investicni fond s promennym zakladnim kapitalem, a.s.", "fund_type": "OO", "citizenship_or_org": "2N", "sole_voting_power": 0.0, "shared_voting_power": 6500000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6500000.0, "aggregate_amount_owned": 6500000.0, "percent_of_class": 4.97, "type_of_reporting_person": "OO", "comment_content": "Row 13: Based on 130,779,611 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026, as filed with the Securities and Exchange Commission (the \"SEC\") on May 7, 2026." }, { "accession_no": "0001493152-26-027042", "person_seq": 1, "reporting_person_cik": 2134654, "reporting_person_name": "Frantisek Bostl", "fund_type": "PF", "citizenship_or_org": "2N", "sole_voting_power": 1640000.0, "shared_voting_power": 6500000.0, "sole_dispositive_power": 1640000.0, "shared_dispositive_power": 6500000.0, "aggregate_amount_owned": 8140000.0, "percent_of_class": 6.22, "type_of_reporting_person": "IN", "comment_content": "Row 7, Row 9, and Row 11: Consists of (i) 1,500,000 shares of Common Stock and (ii) 140,000 shares of Common Stock underlying call options, as described in Item 6, held directly by Mr. Bostl.\n\nRow 8, Row 10, and Row 11: Represents 6,500,000 shares of Common Stock held of record by the Fund for which Mr. Bostl may be deemed to be a beneficial owner as the Chief Investment Officer and Chairman of the Board of Directors of the Fund and owner of all of the voting shares of the Fund. Mr. Bostl disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his direct pecuniary interest therein.\n\nRow 13: Based on 130,779,611 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026, as filed with the SEC on May 7, 2026." }, { "accession_no": "0001493152-26-027423", "person_seq": 0, "reporting_person_cik": 2085538, "reporting_person_name": "Apex Cyber Capital Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 85229652.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85229652.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85229652.0, "percent_of_class": 19.9, "type_of_reporting_person": "CO", "comment_content": "1. Note to Row 1: Mr. Kee Wee Kiang, Kenneth, Ms. FANG Wenwen and Ms. SHEN Yue Lei each indirectly holds one-third of the shares of the Reporting Person.\n\n2. Each of Row 7, 9, and 11 represents 85,229,652 Class A Ordinary Shares held by Apex Cyber Capital Limited.\n\n3. Note to Row 13: The percentage of class of securities beneficially owned by the Reporting Person is calculated based on a total of 427,860,564 Class A Ordinary Shares issued and outstanding (consisting of (i) 365,280,890 Class A Ordinary Shares issued and outstanding as of March 31, 2026, as reported in the Reporting Person's 20-F filed with the Securities and Exchange Commission on April 30, 2026; plus (ii) 62,579,674 Class A Ordinary Shares issued to certain persons, including the Reporting Person, as the consideration of the Transaction (as defined herein below) on May 29, 2026, as reported in Exhibit 99.1 of the Issuer's Form 6-K filed with the Securities and Exchange Commission on June 2, 2026.\n\nThe voting power of the shares beneficially owned by the Reporting Person represents 4.1% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power beneficially owned by the Reporting Person by the voting power of (i) a total of 427,860,564 Class A Ordinary Shares issued and outstanding as described above, and, (ii) 51,900,121 Class B1 Ordinary Shares issued and outstanding and 31,534,504 Class B2 Ordinary Shares issued and outstanding as of March 31, 2026, as reported in the Reporting Person's 20-F filed with the Securities and Exchange Commission on April 30, 2026. In respect of all matters subject to a shareholders' vote, each Class A ordinary share is entitled to one vote, each Class B1 ordinary share is entitled to 20 votes, and each Class B2 ordinary share is entitled to 20 votes, voting together as one class." }, { "accession_no": "0001493152-26-027424", "person_seq": 0, "reporting_person_cik": 2085245, "reporting_person_name": "Prosperity Oak Holdings Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 57965652.0, "shared_voting_power": 0.0, "sole_dispositive_power": 57965652.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 57965652.0, "percent_of_class": 13.6, "type_of_reporting_person": "CO", "comment_content": "1. Note to Row 1: Mr. CHIU Chang-Wei holds 100% of the voting power of the shares of Prosperity Oak Holdings Limited.\n\n2. Each of Row 7, 9, and 11 represents 57,965,652 Class A Ordinary Shares held by Prosperity Oak Holdings Limited.\n\n3. Note to Row 13: The percentage of class of securities beneficially owned by Prosperity Oak Holdings Limited is calculated based on a total of 427,860,564 Class A Ordinary Shares issued and outstanding (consisting of (i) 365,280,890 Class A Ordinary Shares issued and outstanding as of March 31, 2026, as reported in the Reporting Person's 20-F filed with the Securities and Exchange Commission on April 30, 2026; plus (ii) 62,579,674 Class A Ordinary shares issued to certain persons as the consideration of the Transaction (as defined herein below) on May 29, 2026, as reported in Exhibit 99.1 of the Issuer's Form 6-K filed with the Securities and Exchange Commission on June 2, 2026. The voting power of the shares beneficially owned by Prosperity Oak Holdings Limited represents 2.8% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power beneficially owned by Prosperity Oak Holdings Limited by the voting power of (i) a total of 427,860,564 Class A Ordinary Shares issued and outstanding as described above, and (ii) 51,900,121 Class B1 Ordinary Shares issued and outstanding and 31,534,504 Class B2 Ordinary Shares issued and outstanding as of March 31, 2026, as reported in the Reporting Person's 20-F filed with the Securities and Exchange Commission on April 30, 2026. In respect of all matters subject to a shareholders' vote, each Class A ordinary share is entitled to one vote, each Class B1 ordinary share is entitled to 20 votes, and each Class B2 ordinary share is entitled to 20 votes, voting together as one class." }, { "accession_no": "0001493152-26-027424", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "CHIU Chang-Wei", "fund_type": "OO", "citizenship_or_org": "F5", "sole_voting_power": 57965652.0, "shared_voting_power": 0.0, "sole_dispositive_power": 57965652.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 57965652.0, "percent_of_class": 13.6, "type_of_reporting_person": "IN", "comment_content": "1. Note to Row 1: Mr. CHIU Chang-Wei holds 100% of the voting power of the shares of Prosperity Oak Holdings Limited.\n\n2. Each of Row 7, 9, and 11 represents 57,965,652 Class A Ordinary Shares held by Prosperity Oak Holdings Limited.\n\n3. Note to Row 13: The percentage of class of securities beneficially owned by Mr. CHIU Chang-Wei through Prosperity Oak Holdings Limited is calculated based on a total of 427,860,564 Class A Ordinary Shares issued and outstanding (consisting of (i) 365,280,890 Class A Ordinary Shares issued and outstanding as of March 31, 2026, as reported in the Reporting Person's 20-F filed with the Securities and Exchange Commission on April 30, 2026; plus (ii) 62,579,674 Class A Ordinary shares issued to certain persons as the consideration of the Transaction (as defined herein below) on May 29, 2026, as reported in Exhibit 99.1 of the Issuer's Form 6-K filed with the Securities and Exchange Commission on June 2, 2026). The voting power of the shares beneficially owned by Prosperity Oak Holdings Limited represents 2.8% of the total outstanding voting power. The percentage of voting power is calculated by dividing the voting power beneficially owned by Prosperity Oak Holdings Limited by the voting power of (i) a total of 427,860,564 Class A Ordinary Shares issued and outstanding as described above, and (ii) 51,900,121 Class B1 Ordinary Shares issued and outstanding and 31,534,504 Class B2 Ordinary Shares issued and outstanding as of March 31, 2026, the Reporting Person's 20-F filed with the Securities and Exchange Commission on April 30, 2026. In respect of all matters subject to a shareholders' vote, each Class A ordinary share is entitled to one vote, each Class B1 ordinary share is entitled to 20 votes, and each Class B2 ordinary share is entitled to 20 votes, voting together as one class." }, { "accession_no": "0001493152-26-027596", "person_seq": 0, "reporting_person_cik": 1980084, "reporting_person_name": "DENG, SHUFEN", "fund_type": "AF", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 5995422.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5995422.0, "aggregate_amount_owned": 6363069.0, "percent_of_class": 53.5, "type_of_reporting_person": "IN", "comment_content": "Rows 7-10: Deng Shufen is one of D&D's director designees to the board of directors of the Issuer. Her beneficial ownership arises from becoming an authorized signatory of D&D on May 20, 2026. Row 11: the 367,647 shares held directly by ERM are attributed to Shufen Deng solely by virtue of the Reporting Persons' status as a group under Rule 13d-5(b)(1), yielding an aggregate of 6,363,069 shares; Shufen Deng disclaims beneficial ownership of all shares reported hereunder as beneficially owned except to the extent of any pecuniary interest therein. Does not include 1,250,000 warrant shares, which are not beneficially owned because they are subject to a 4.99% exercise blocker (see Item 5)." }, { "accession_no": "0001493152-26-027596", "person_seq": 1, "reporting_person_cik": 2053961, "reporting_person_name": "Era Regenerative Medicine Ltd", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 367647.0, "shared_voting_power": 5995422.0, "sole_dispositive_power": 367647.0, "shared_dispositive_power": 5995422.0, "aggregate_amount_owned": 6363069.0, "percent_of_class": 53.5, "type_of_reporting_person": "HC", "comment_content": "Rows 7-11: ERM holds sole voting and dispositive power over 367,647 shares held directly by ERM, and shares voting and dispositive power over 5,956,737 shares plus 38,685 warrant shares held by D&D, of which ERM is the sole shareholder. Aggregate of 6,363,069 shares. Does not include 1,250,000 warrant shares, which are not beneficially owned because they are subject to a 4.99% exercise blocker (see Item 5)." }, { "accession_no": "0001493152-26-027596", "person_seq": 2, "reporting_person_cik": 1979652, "reporting_person_name": "D&D Source of Life Holding Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 5995422.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5995422.0, "aggregate_amount_owned": 6363069.0, "percent_of_class": 53.5, "type_of_reporting_person": "OO", "comment_content": "Rows 7-10: D&D shares voting and dispositive power over 5,956,737 shares plus 38,685 warrant shares held directly by D&D (5,995,422 shares). Row 11: the 367,647 shares held directly by ERM are attributed to D&D solely by virtue of the Reporting Persons' status as a group under Rule 13d-5(b)(1), yielding an aggregate of 6,363,069 shares; D&D disclaims beneficial ownership of those 367,647 shares except to the extent of any pecuniary interest therein. Does not include 1,250,000 warrant shares, which are not beneficially owned because they are subject to a 4.99% exercise blocker (see Item 5)." }, { "accession_no": "0001493152-26-027596", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "DAI, SIQI", "fund_type": "AF", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 5995422.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5995422.0, "aggregate_amount_owned": 6363069.0, "percent_of_class": 53.5, "type_of_reporting_person": "IN", "comment_content": "Rows 7-10: Dai Siqi's beneficial ownership arises by virtue of being the sole director and shareholder of ERM (which is the sole shareholder of D&D) and being an authorized signatory of D&D; Dai Siqi disclaims beneficial ownership of all shares reported hereunder as beneficially owned except to the extent of any pecuniary interest therein. Does not include 1,250,000 warrant shares, which are not beneficially owned because they are subject to a 4.99% exercise blocker (see Item 5)." }, { "accession_no": "0001493152-26-027909", "person_seq": 0, "reporting_person_cik": 1512158, "reporting_person_name": "Jeffrey E. Holman", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2664899.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2664899.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2664899.0, "percent_of_class": 8.99, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person percent of class owned is calculated based on 29,642,378 shares of Common Stock outstanding as of June 2, 2026." }, { "accession_no": "0001493152-26-027919", "person_seq": 0, "reporting_person_cik": 1564870, "reporting_person_name": "Christopher Santi", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1568604.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1568604.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1568604.0, "percent_of_class": 5.29, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person percent of class owned is calculated based on 29,642,378 shares of Class A Common Stock outstanding as of June 2, 2026." }, { "accession_no": "0001493152-26-027988", "person_seq": 0, "reporting_person_cik": 1261725, "reporting_person_name": "Heng Fai Ambrose Chan", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 1002600.0, "shared_voting_power": 6264319.0, "sole_dispositive_power": 1002600.0, "shared_dispositive_power": 6264319.0, "aggregate_amount_owned": 6264319.0, "percent_of_class": 80.6, "type_of_reporting_person": "IN", "comment_content": "Aggregate amount includes (i) 535,475 shares and warrants convertible into 47,375 shares of the Issuer's common stock, $0.0001 par value held by Alset Acquisition Sponsor, LLC; (ii) 1,002,600 shares of common stock owned directly by Mr. Chan; (iii) 1,891,279 shares of common stock held by Alset International Limited; and (iv) 2,787,590 shares of common stock held by Alset Inc., over which Mr. Chan may be deemed to possess indirect beneficial ownership as the Chief Executive Officer and Chairman of Alset Inc. and Alset International Limited. This percentage is based on 7,726,400 shares of the Issuer's common stock outstanding as of June 8, 2026." }, { "accession_no": "0001493152-26-027988", "person_seq": 1, "reporting_person_cik": 1750106, "reporting_person_name": "Alset Inc.", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 5261719.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5261719.0, "aggregate_amount_owned": 5261719.0, "percent_of_class": 67.7, "type_of_reporting_person": "CO", "comment_content": "Aggregate amount includes (i) 535,475 shares and warrants convertible into 47,375 shares of the Issuer's common stock, $0.0001 par value held by Alset Acquisition Sponsor, LLC, a majority owned subsidiary of Alset Inc.; (ii) 1,891,279 shares held by Alset International Limited, a majority owned subsidiary of Alset Inc; and (iii) 2,787,590 shares held by Alset Inc. directly. This percentage is based on 7,726,400 shares of the Issuer's common stock outstanding as of June 8, 2026." }, { "accession_no": "0001493152-26-027988", "person_seq": 2, "reporting_person_cik": 1660984, "reporting_person_name": "Alset International Limited", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 1891279.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1891279.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1891279.0, "percent_of_class": 24.5, "type_of_reporting_person": "CO", "comment_content": "This percentage is based on 7,726,400 shares of the Issuer's common stock outstanding as of June 8, 2026." }, { "accession_no": "0001493152-26-027988", "person_seq": 3, "reporting_person_cik": 1908910, "reporting_person_name": "Alset Acquisition Sponsor, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 582850.0, "shared_voting_power": 0.0, "sole_dispositive_power": 582850.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 582850.0, "percent_of_class": 7.5, "type_of_reporting_person": "CO", "comment_content": "Aggregate amount includes 535,475 shares and warrants convertible into 47,375 shares of the Issuer's common stock. This percentage is based on 7,726,400 shares of the Issuer's common stock outstanding as of June 8, 2026." }, { "accession_no": "0001493152-26-028278", "person_seq": 0, "reporting_person_cik": 1021412, "reporting_person_name": "SCHULER JACK W", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 6536.0, "shared_voting_power": 4046051.0, "sole_dispositive_power": 6536.0, "shared_dispositive_power": 4046051.0, "aggregate_amount_owned": 4052587.0, "percent_of_class": 8.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-028278", "person_seq": 1, "reporting_person_cik": 1661351, "reporting_person_name": "Jack W. Schuler Living Trust", "fund_type": "WC", "citizenship_or_org": "IL", "sole_voting_power": 0.0, "shared_voting_power": 4046051.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4046051.0, "aggregate_amount_owned": 4046051.0, "percent_of_class": 8.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-028282", "person_seq": 0, "reporting_person_cik": 1715783, "reporting_person_name": "Grace & Mercy Foundation, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 2500000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2500000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2500000.0, "percent_of_class": 12.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-028290", "person_seq": 0, "reporting_person_cik": 1278951, "reporting_person_name": "GoldenTree Asset Management LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23570899.38, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23570899.38, "aggregate_amount_owned": 23570899.38, "percent_of_class": 74.1, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001493152-26-028290", "person_seq": 1, "reporting_person_cik": 1435627, "reporting_person_name": "GoldenTree Asset Management LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23570899.38, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23570899.38, "aggregate_amount_owned": 23570899.38, "percent_of_class": 74.1, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001493152-26-028290", "person_seq": 2, "reporting_person_cik": 2074865, "reporting_person_name": "GoldenVest LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1986843.31, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1986843.31, "aggregate_amount_owned": 1986843.31, "percent_of_class": 6.2, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001493152-26-028290", "person_seq": 3, "reporting_person_cik": 1435626, "reporting_person_name": "Steven A. Tananbaum", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 25557742.69, "sole_dispositive_power": 0.0, "shared_dispositive_power": 25557742.69, "aggregate_amount_owned": 25557742.69, "percent_of_class": 80.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-028688", "person_seq": 0, "reporting_person_cik": 1934204, "reporting_person_name": "Chan Wai Ho", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-028689", "person_seq": 0, "reporting_person_cik": 1934205, "reporting_person_name": "Chen Sze Hon Johnson", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-028722", "person_seq": 0, "reporting_person_cik": 1982492, "reporting_person_name": "Albion River Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 287034.0, "shared_voting_power": 0.0, "sole_dispositive_power": 287034.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 287034.0, "percent_of_class": 4.01, "type_of_reporting_person": "IA", "comment_content": "* Shares reported herein represent Common Stock of National Presto Industries Inc. (the \"Issuer\") held by Ignium II, LP, a Delaware limited partnership (the \"Fund\"). The Fund is a private investment vehicle for which Albion River Management LLC, a Delaware limited liability company (the \"Investment Manager\"), serves as the investment manager. Darren Farber serves as the sole managing partner of the Investment Manager (each of the foregoing, a \"Reporting Person\" and, collectively, the \"Reporting Persons\"). (1) Represents 287,034 shares of Common Stock held by the Reporting Persons. (2) Based on 7,166,043 shares of Common Stock of the Issuer that were outstanding as of May 3, 2026. The amount of shares outstanding was based upon a statement in the Issuer's Form 10-Q, filed on April 5, 2026." }, { "accession_no": "0001493152-26-028722", "person_seq": 1, "reporting_person_cik": 2068814, "reporting_person_name": "Ignium II, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 287034.0, "shared_voting_power": 0.0, "sole_dispositive_power": 287034.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 287034.0, "percent_of_class": 4.01, "type_of_reporting_person": "PN", "comment_content": "* Shares reported herein represent Common Stock of the Issuer held by the Fund. The Fund is a private investment vehicle for which the Investment Manager, serves as the investment manager. Darren Farber serves as the sole managing partner of the Investment Manager. (1) Represents 287,034 shares of Common Stock held by the Reporting Persons. (2) Based on 7,166,043 shares of Common Stock of the Issuer that were outstanding as of May 3, 2026. The amount of shares outstanding was based upon a statement in the Issuer's Form 10-Q, filed on April 5, 2026." }, { "accession_no": "0001493152-26-028722", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Darren Farber", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 287034.0, "shared_voting_power": 0.0, "sole_dispositive_power": 287034.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 287034.0, "percent_of_class": 4.01, "type_of_reporting_person": "IN", "comment_content": "* Shares reported herein represent Common Stock of the Issuer held by the Fund. The Fund is a private investment vehicle for which the Investment Manager, serves as the investment manager. Darren Farber serves as the sole managing partner of the Investment Manager. (1) Represents 287,034 shares of Common Stock held by the Reporting Persons. (2) Based on 7,166,043 shares of Common Stock of the Issuer that were outstanding as of May 3, 2026. The amount of shares outstanding was based upon a statement in the Issuer's Form 10-Q, filed on April 5, 2026." }, { "accession_no": "0001493152-26-028729", "person_seq": 0, "reporting_person_cik": 1543122, "reporting_person_name": "B. Luke Weil", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2038632.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2038632.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3906023.0, "percent_of_class": 12.25, "type_of_reporting_person": "IN", "comment_content": "(1) In reference to Items 7 and 9, this represents 2,038,632 shares of Class A Common Stock held directly by Mr. Weil or attributable to Mr. Weil through the Sponsor following distributions, including 1,125,000 Sponsor Earnout Shares. Does not include up to 336,000 shares issuable pursuant to the Weil Consulting Agreement or shares underlying Private Warrants.\n\n(2) In reference to Item 9, this consists of (i) 2,038,632 shares of Class A Common Stock held directly or through the Sponsor (including 1,125,000 Sponsor Earnout Shares), (ii) up to 336,000 shares of Class A Common Stock issuable pursuant to the Weil Consulting Agreement, and (iii) 1,531,391 shares of Class A Common Stock underlying Private Warrants held by the Sponsor that are attributable to Mr. Weil.\n\n(3) In reference to Item 12, this is based on a total of 31,895,656 shares of Class A Common Stock of the Issuer as of June 1, 2026 reported in the Issuer's Quarterly Report on Form 10-Q filed on June 1, 2026 with the Securities and Exchange Commission." }, { "accession_no": "0001493152-26-028729", "person_seq": 1, "reporting_person_cik": 2038246, "reporting_person_name": "Willow Lane Sponsor, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2038632.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2038632.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2038632.0, "percent_of_class": 6.39, "type_of_reporting_person": "OO", "comment_content": "(4) In reference to Items 7, 9 and 11, this represents 2,038,632 shares of Class A Common Stock retained by the Sponsor after the transfer of 1,272,885 shares to the SPV on June 9, 2026, including 1,125,000 Sponsor Earnout Shares received on June 11, 2026. Mr. Weil, as sole managing member of the Sponsor, directs voting and dispositive decisions with respect to securities held by the Sponsor. Excludes 2,905,236 Private Warrants retained by Sponsor.\n\n(5) In reference to Item 13, this is based on a total of 31,895,656 shares of Class A Common Stock of the Issuer as of June 1, 2026 reported in the Issuer's Quarterly Report on Form 10-Q filed on June 1, 2026 with the Securities and Exchange Commission." }, { "accession_no": "0001493152-26-028736", "person_seq": 0, "reporting_person_cik": 2028811, "reporting_person_name": "Sean Goodrich", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4034135.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4034135.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4034135.0, "percent_of_class": 12.65, "type_of_reporting_person": "IN", "comment_content": "(1) In reference to Items 7, 9 and 11, represents 4,034,135 shares of Class A Common Stock held by Goodrich ILMJS LLC, consisting of (i) 2,065,385 shares of Class A Common Stock and (ii) 1,968,750 SPV Earnout Shares. Mr. Goodrich, as managing member of the SPV, holds voting and investment discretion over such securities.\n\n(2) In reference to Item 11, excludes 1,101,986 shares of Class A Common Stock issuable upon the exercise of 1,101,986 Private Warrants, which are subject to a 4.9% (or 9.8% at the holder's election) beneficial ownership limitation.\n\n(3) In reference to Item 13, based on a total of 31,895,656 shares of Class A Common Stock of the Issuer as of June 1, 2026 reported in the Issuer's Quarterly Report on Form 10-Q filed on June 1, 2026 with the Securities and Exchange Commission." }, { "accession_no": "0001493152-26-028736", "person_seq": 1, "reporting_person_cik": 2135709, "reporting_person_name": "Goodrich ILMJS LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 4034135.0, "shared_voting_power": 0.0, "sole_dispositive_power": 4034135.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4034135.0, "percent_of_class": 12.65, "type_of_reporting_person": "OO", "comment_content": "(4) In reference to Items 7, 9 and 11, consists of 4,034,135 shares of Class A Common Stock held directly by the SPV, including (i) 2,065,385 shares of Class A Common Stock and (ii) 1,968,750 SPV Earnout Shares. Excludes 1,101,986 Private Warrants subject to the 4.9% (or 9.8% at the holder's election) beneficial ownership limitation. Mr. Goodrich, as managing member of the SPV, directs voting and dispositive decisions with respect to securities held by the SPV.\n\n(5) In reference to Item 13, based on a total of 31,895,656 shares of Class A Common Stock of the Issuer as of June 1, 2026 reported in the Issuer's Quarterly Report on Form 10-Q filed on June 1, 2026 with the Securities and Exchange Commission." }, { "accession_no": "0001493152-26-028790", "person_seq": 0, "reporting_person_cik": 1682829, "reporting_person_name": "Hangzhou Lianluo Interactive Information Technology Co., Ltd.", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 11147329.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11147329.0, "aggregate_amount_owned": 11147329.0, "percent_of_class": 53.13, "type_of_reporting_person": "CO", "comment_content": "The 11,147,329 Common Shares reflected on lines 8, 10 and 11 consist of (i) 11,141,079 Common Shares held by Digital Grid, through Hangzhou Lianluo's 100% ownership of Digital Grid and (ii) warrants to purchase 6,250 Common Shares at an exercise price of $352.00 per share owned by Hangzhou Lianluo that are exercisable within 60 days. The percentage reflected on line 13 is calculated based on 20,973,423 Common Shares outstanding as of May 26, 2026, as reported in the Registration Statement on Form F-3 filed by the Issuer on June 1, 2026, as amended." }, { "accession_no": "0001493152-26-028790", "person_seq": 1, "reporting_person_cik": 2114022, "reporting_person_name": "Digital Grid (Hong Kong) Technology Co., Limited", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 11141079.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11141079.0, "aggregate_amount_owned": 11141079.0, "percent_of_class": 53.12, "type_of_reporting_person": "CO", "comment_content": "The percentage reflected on line 13 is calculated based on 20,973,423 Common Shares outstanding as of May 26, 2026, as reported in the Registration Statement on Form F-3 filed by the Issuer on June 1, 2026, as amended." }, { "accession_no": "0001493152-26-028790", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Hyperfinite Galaxy Holding Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 2946.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2946.0, "aggregate_amount_owned": 2946.0, "percent_of_class": 0.01, "type_of_reporting_person": "CO", "comment_content": "The percentage reflected on line 13 is calculated based on 20,973,423 Common Shares outstanding as of May 26, 2026, as reported in the Registration Statement on Form F-3 filed by the Issuer on June 1, 2026, as amended." }, { "accession_no": "0001493152-26-028790", "person_seq": 3, "reporting_person_cik": 1965303, "reporting_person_name": "He Zhitao", "fund_type": "PF", "citizenship_or_org": "F4", "sole_voting_power": 684869.0, "shared_voting_power": 11150275.0, "sole_dispositive_power": 684869.0, "shared_dispositive_power": 11150275.0, "aggregate_amount_owned": 11835144.0, "percent_of_class": 54.63, "type_of_reporting_person": "IN", "comment_content": "The 11,150,275 Common Shares reflected on lines 8 and 10 consist of (i) 11,141,079 Common Shares held by Digital Grid, through Hangzhou Lianluo's 100% ownership of Digital Grid, (ii) warrants to purchase 6,250 Common Shares at an exercise price of $352.00 per share held by Hangzhou Lianluo that are exercisable within 60 days, and (iii) 2,946 Common Shares held by Hyperfinite, through Mr. Zhitao He's 100% ownership of Hyperfinite. The 684,869 Common Shares reflected on lines 7 and 9 consist of vested stock options held by Mr. Zhitao He that are exercisable within 60 days for 684,869 Common Shares at an exercise price of $10.95 per share. The 11,835,144 Common Shares reflected on line 11 consist of (i) 11,141,079 Common Shares held by Digital Grid, through Hangzhou Lianluo's 100% ownership of Digital Grid, (ii) warrants to purchase 6,250 Common Shares at an exercise price of $352.00 per share held by Hangzhou Lianluo that are exercisable within 60 days, (iii) 2,946 Common Shares held by Hyperfinite, through Mr. Zhitao He's 100% ownership of Hyperfinite, and (iv) vested stock options held by Mr. Zhitao He that are exercisable within 60 days for 684,869 Common Shares at an exercise price of $10.95 per share. The percentage reflected on line 13 is calculated based on 20,973,423 Common Shares outstanding as of May 26, 2026, as reported in the Registration Statement on Form F-3 filed by the Issuer on June 1, 2026, as amended." }, { "accession_no": "0001493152-26-029221", "person_seq": 0, "reporting_person_cik": 1264473, "reporting_person_name": "Nicholas Reyland Liuzza Jr.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8157844.0, "shared_voting_power": 0.0, "sole_dispositive_power": 8157844.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8157844.0, "percent_of_class": 22.8, "type_of_reporting_person": "IN", "comment_content": "11. Represents outstanding shares of the Issuer's common stock over which the Reporting Person has dispositive and voting control. Gives effect to Warrants which are or may be exercisable within 60 days. See Item 5. Based on 32,060,466 shares of common stock outstanding as of June 15, 2026, and gives effect to shares of common stock underlying Warrants held by the Reporting Person which are or may become exercisable within 60 days. The shares of common stock underlying the Warrants may be adjusted due to price protection adjustment provisions set forth in such securities and based on lower priced sales of common stock or common stock equivalents by the Company or if the Company obtains waivers to such adjustment provisions from the holders of these securities. Also gives effect to gifts which were reported on Form 4 filed on June 18, 2026." }, { "accession_no": "0001493152-26-029250", "person_seq": 0, "reporting_person_cik": 2121714, "reporting_person_name": "WU RUI", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 100167.0, "shared_voting_power": 0.0, "sole_dispositive_power": 100167.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 100167.0, "percent_of_class": 9.71, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-029375", "person_seq": 0, "reporting_person_cik": 2139956, "reporting_person_name": "Xu Xiaoxi", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 342973.0, "shared_voting_power": 0.0, "sole_dispositive_power": 342973.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 342973.0, "percent_of_class": 6.77, "type_of_reporting_person": "IN", "comment_content": "This represents (i) 212,973 Class A Ordinary Shares and (ii) 130,000 Class B Ordinary Shares. Each Class B Ordinary Share is convertible into one Class A Ordinary Share at any time at the option of the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares under any circumstances. Each holder of Class A Ordinary Shares is entitled to one vote per share and each holder of Class B Ordinary Shares is entitled to twenty votes per share on all matters subject to vote at general meetings of the Company. The percent of class stated above is based on the assumption of conversion of all outstanding Class B Ordinary Shares into the same number of Class A Ordinary Shares." }, { "accession_no": "0001493152-26-029375", "person_seq": 1, "reporting_person_cik": 2139924, "reporting_person_name": "Fu Kam Holdings Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 1002535.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1002535.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1002535.0, "percent_of_class": 19.8, "type_of_reporting_person": "CO", "comment_content": "This represents (i) 622,535 Class A Ordinary Shares and (ii) 380,000 Class B Ordinary Shares. Each Class B Ordinary Share is convertible into one Class A Ordinary Share at any time at the option of the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares under any circumstances. Each holder of Class A Ordinary Shares is entitled to one vote per share and each holder of Class B Ordinary Shares is entitled to twenty votes per share on all matters subject to vote at general meetings of the Company. The percent of class stated above is based on the assumption of conversion of all outstanding Class B Ordinary Shares into the same number of Class A Ordinary Shares." }, { "accession_no": "0001493152-26-029375", "person_seq": 2, "reporting_person_cik": 2139841, "reporting_person_name": "Easefound Investment Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 527650.0, "shared_voting_power": 0.0, "sole_dispositive_power": 527650.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 527650.0, "percent_of_class": 10.42, "type_of_reporting_person": "CO", "comment_content": "This represents (i) 327,650 Class A Ordinary Shares and (ii) 200,000 Class B Ordinary Shares. Each Class B Ordinary Share is convertible into one Class A Ordinary Share at any time at the option of the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares under any circumstances. Each holder of Class A Ordinary Shares is entitled to one vote per share and each holder of Class B Ordinary Shares is entitled to twenty votes per share on all matters subject to vote at general meetings of the Company. The percent of class stated above is based on the assumption of conversion of all outstanding Class B Ordinary Shares into the same number of Class A Ordinary Shares." }, { "accession_no": "0001493152-26-029375", "person_seq": 3, "reporting_person_cik": 2139842, "reporting_person_name": "Jming International Trade Company Limited", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 395737.0, "shared_voting_power": 0.0, "sole_dispositive_power": 395737.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 395737.0, "percent_of_class": 7.81, "type_of_reporting_person": "CO", "comment_content": "This represents (i) 245,737 Class A Ordinary Shares and (ii) 150,000 Class B Ordinary Shares. Each Class B Ordinary Share is convertible into one Class A Ordinary Share at any time at the option of the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares under any circumstances. Each holder of Class A Ordinary Shares is entitled to one vote per share and each holder of Class B Ordinary Shares is entitled to twenty votes per share on all matters subject to vote at general meetings of the Company. The percent of class stated above is based on the assumption of conversion of all outstanding Class B Ordinary Shares into the same number of Class A Ordinary Shares." }, { "accession_no": "0001493152-26-029375", "person_seq": 4, "reporting_person_cik": 2139843, "reporting_person_name": "Quick Cash Technology Limited", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 369355.0, "shared_voting_power": 0.0, "sole_dispositive_power": 369355.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 369355.0, "percent_of_class": 7.29, "type_of_reporting_person": "CO", "comment_content": "This represents (i) 229,355 Class A Ordinary Shares and (ii) 140,000 Class B Ordinary Shares. Each Class B Ordinary Share is convertible into one Class A Ordinary Share at any time at the option of the holder thereof. Class A Ordinary Shares are not convertible into Class B Ordinary Shares under any circumstances. Each holder of Class A Ordinary Shares is entitled to one vote per share and each holder of Class B Ordinary Shares is entitled to twenty votes per share on all matters subject to vote at general meetings of the Company. The percent of class stated above is based on the assumption of conversion of all outstanding Class B Ordinary Shares into the same number of Class A Ordinary Shares." }, { "accession_no": "0001493152-26-029650", "person_seq": 0, "reporting_person_cik": 2136301, "reporting_person_name": "Allen Family Digital, LLC", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 44000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 44000000.0, "aggregate_amount_owned": 44000000.0, "percent_of_class": 53.0, "type_of_reporting_person": "OO", "comment_content": "Limited Liability Company" }, { "accession_no": "0001493152-26-029650", "person_seq": 1, "reporting_person_cik": 2105544, "reporting_person_name": "Byron Allen Folks", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 44000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 44000000.0, "aggregate_amount_owned": 44000000.0, "percent_of_class": 53.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-029689", "person_seq": 0, "reporting_person_cik": 1680225, "reporting_person_name": "Abel Avellan", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 78252625.0, "shared_voting_power": 0.0, "sole_dispositive_power": 78252625.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 78252625.0, "percent_of_class": 20.8, "type_of_reporting_person": "IN", "comment_content": "(1) The Aggregate Amount Beneficially Owned by Each Reporting Person in Row (11) with Sole Voting Power in Row (7) and Sole Dispositive Power in Row (9) comprised of (i) 89,547 shares of Class A Common Stock of AST SpaceMobile, Inc. (the \"Issuer\") and (ii) 78,163,078 shares of Class A Common Stock of the Issuer that may be issued upon redemption by the Reporting Person of 78,163,078 common units (the \"AST Common Units\") of AST & Science, LLC (\"AST\"). In addition, the Reporting Person beneficially owns 78,163,078 shares of Class C Common Stock of the Issuer (the \"Class C Common Stock\"). Each share of Class A Common Stock carries one vote per share, and each share of Class C Common Stock carries ten votes per share and no economic rights. From and after April 6, 2022, the Reporting Person may redeem or exchange one AST Common Unit for one share of Class A Common Stock or, under certain circumstances and at the election of the Issuer, a cash payment based on the value of Class A Common Stock. At the time of any redemption or exchange, the Reporting Person would forfeit an equivalent number of shares of Class C Common Stock to the Issuer.\n\nAs discussed in Item 2 of the Original Filing (as defined herein), the other Stockholder Parties (as defined in the Original Filing) are not included as reporting persons in this Schedule 13D, and the Reporting Persons expressly disclaim beneficial ownership of the shares of Class A Common Stock beneficially held by the other Stockholders Parties.\n\n(2) The Percent of Class Represented by Amount in Row (11) in Row (13) is based upon approximately 376,909,461 shares of Class A Common Stock outstanding comprised of (i) 298,746,383 shares of Class A Common Stock outstanding as of May 7, 2026, and (ii) approximately 78,163,078 shares of Class A Common Stock issuable upon the redemption or exchange of the AST Common Units owned by the Reporting Person. This percentage does not represent the Reporting Person's current voting interest in the Issuer, as the Reporting Person has an 71.6% voting interest in the Issuer by virtue of his ownership of all of the shares of Class C Common Stock of the Issuer.\n\nAMENDMENT NO. 18 TO SCHEDULE 13D\n\nThis Amendment No. 18 to Schedule 13D (this \"Amendment No. 18\") amends and supplements the initial Schedule 13D filed by Mr. Abel Avellan with the Securities and Exchange Commission (the \"SEC\") on March 11, 2022 (the \"Original Filing\"), as amended by Amendment No. 17 to Schedule 13D filed by Mr. Avellan with the SEC on March 3, 2026 (\"Amendment No. 17\"), as amended by Amendment No. 16 to Schedule 13D filed by Mr. Avellan with the SEC on November 21, 2025 (\"Amendment No. 16\"), as amended by Amendment No. 15 to Schedule 13D filed by Mr. Avellan with the SEC on October 31, 2025 (\"Amendment No. 15\"), as amended by Amendment No. 14 to Schedule 13D filed by Mr. Avellan with the SEC on July 15, 2025 (\"Amendment No. 14\"), as amended by Amendment No. 13 to Schedule 13D filed by Mr. Avellan with the SEC on June 20, 2025 (\"Amendment No. 13\"), Amendment No. 12 to Schedule 13D filed by Mr. Avellan with the SEC on January 27, 2025 (\"Amendment No. 12\"), as amended by Amendment No. 11 to Schedule 13D filed by Mr. Avellan with the SEC on November 20, 2024 (\"Amendment No. 11\"), as amended by Amendment No. 10 to Schedule 13D filed by Mr. Avellan with the SEC on October 15, 2024 (\"Amendment No. 10\"), as amended by Amendment No. 9 to Schedule 13D filed by Mr. Avellan with the SEC on September 26, 2024 (\"Amendment No. 9\"), Amendment No. 8 to Schedule 13D filed by Mr. Avellan with the SEC on August 26, 2024 (\"Amendment No. 8\"), Amendment No. 7 to Schedule 13D filed by Mr. Avellan with the SEC on July 11, 2024 (\"Amendment No. 7\"), Amendment No. 6 to Schedule 13D filed by Mr. Avellan with the SEC on June 14, 2024 (\"Amendment No. 6\"), Amendment No. 5 to Schedule 13D filed by Mr. Avellan with the SEC on March 6, 2024 (\"Amendment No. 5\"), Amendment No. 4 to Schedule 13D filed by Mr. Avellan with the SEC on January 25, 2024 (\"Amendment No. 4\"), Amendment No. 3 to Schedule 13D filed by Mr. Avellan with the SEC on July 6, 2023 (\"Amendment No. 3\"), Amendment No. 2 to Schedule 13D filed by Mr. Avellan with the SEC on May 2, 2023 (\"Amendment No. 2\") and Amendment No. 1 to Schedule 13D filed by Mr. Avellan with the SEC on December 13, 2022 (\"Amendment No. 1\").\n\nThis Amendment No. 18 amends and supplements the Original Filing, Amendment No. 1, Amendment No. 2, Amendment No. 3, Amendment No. 4, Amendment No. 5, Amendment No. 6, Amendment No. 7, Amendment No. 8, Amendment No. 9, Amendment No. 10, Amendment No. 11, Amendment No. 12, Amendment No. 13, Amendment No. 14, Amendment No. 15, Amendment No. 16 and Amendment No. 17 as specifically set forth herein, and except as set forth herein no other changes have been made to the prior filings.\n\nAll capitalized terms contained herein but not otherwise defined shall have the meanings ascribed as such terms in the Original Filing. Information given in response to each item shall be deemed incorporated by reference in all other items, as applicable." }, { "accession_no": "0001493152-26-029872", "person_seq": 0, "reporting_person_cik": 1834051, "reporting_person_name": "Salva Francisco D.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5421039.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5421039.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5421039.0, "percent_of_class": 9.99, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-030373", "person_seq": 0, "reporting_person_cik": 1144879, "reporting_person_name": "Applied Digital Corporation", "fund_type": "AF", "citizenship_or_org": "NV", "sole_voting_power": 139528227.0, "shared_voting_power": 0.0, "sole_dispositive_power": 139528227.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 139528227.0, "percent_of_class": 96.1, "type_of_reporting_person": "CO", "comment_content": "See Item 5 for additional information." }, { "accession_no": "0001493152-26-031580", "person_seq": 0, "reporting_person_cik": 2064570, "reporting_person_name": "DR NICLAS ADLER", "fund_type": "WC", "citizenship_or_org": "V7", "sole_voting_power": 1260246354.0, "shared_voting_power": 29.45, "sole_dispositive_power": 1260246354.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1260246354.0, "percent_of_class": 29.45, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001493152-26-032043", "person_seq": 0, "reporting_person_cik": 2039927, "reporting_person_name": "Project Nickel LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3250131126.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3250131126.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3250131126.0, "percent_of_class": 51.87, "type_of_reporting_person": "OO", "comment_content": "* Includes (i) 3,250,131,126 shares of Common Stock held directly by Project Nickel, and (ii) 0 shares of the 3,250,000 Series E Convertible Preferred Stock held directly by Project Nickel. Each share of Series E Convertible Preferred Stock is convertible at any time into 1,000 shares of Common Stock; however, the Series E Convertible Preferred Stock is subject to a 9.99% beneficial ownership limitation. Because Project Nickel already beneficially owns more than 9.99% of the outstanding Common Stock, the Reporting Persons do not have the present right to acquire any shares of Common Stock upon conversion of the Series E Preferred Stock within 60 days. Accordingly, no shares underlying the Series E Preferred Stock are included in the beneficial ownership calculation pursuant to Rule 13d-3(d)(1).\n\n** Based on 6,265,802,029 shares of Common Stock outstanding as of June 30, 2026, as reported to the Reporting Persons by the Issuer." }, { "accession_no": "0001493152-26-032043", "person_seq": 1, "reporting_person_cik": 2044627, "reporting_person_name": "DAXvest LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3250131126.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3250131126.0, "aggregate_amount_owned": 3250131126.0, "percent_of_class": 51.87, "type_of_reporting_person": "OO", "comment_content": "* Includes (i) 3,250,131,126 shares of Common Stock held directly by Project Nickel, and (ii) 0 shares of the 3,250,000 Series E Convertible Preferred Stock held directly by Project Nickel. Each share of Series E Convertible Preferred Stock is convertible at any time into 1,000 shares of Common Stock; however, the Series E Convertible Preferred Stock is subject to a 9.99% beneficial ownership limitation. Because Project Nickel already beneficially owns more than 9.99% of the outstanding Common Stock, the Reporting Persons do not have the present right to acquire any shares of Common Stock upon conversion of the Series E Preferred Stock within 60 days. Accordingly, no shares underlying the Series E Preferred Stock are included in the beneficial ownership calculation pursuant to Rule 13d-3(d)(1).\n\n** Based on 6,265,802,029 shares of Common Stock outstanding as of June 30, 2026, as reported to the Reporting Persons by the Issuer." }, { "accession_no": "0001493152-26-032043", "person_seq": 2, "reporting_person_cik": 1765416, "reporting_person_name": "Grady Dowling Kittrell", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 200000.0, "shared_voting_power": 3250131126.0, "sole_dispositive_power": 200000.0, "shared_dispositive_power": 3250131126.0, "aggregate_amount_owned": 3250331126.0, "percent_of_class": 51.87, "type_of_reporting_person": "IN", "comment_content": "* Includes (i) 200,000 shares of Common Stock held directly by Mr. Kittrell; (ii) 3,250,131,126 shares of Common Stock held directly by Project Nickel; and (ii) 0 shares of the 3,250,000 Series E Convertible Preferred Stock held directly by Project Nickel. Each share of Series E Convertible Preferred Stock is convertible at any time into 1,000 shares of Common Stock; however, the Series E Convertible Preferred Stock is subject to a 9.99% beneficial ownership limitation. Because Project Nickel already beneficially owns more than 9.99% of the outstanding Common Stock, the Reporting Persons do not have the present right to acquire any shares of Common Stock upon conversion of the Series E Preferred Stock within 60 days. Accordingly, no shares underlying the Series E Preferred Stock are included in the beneficial ownership calculation pursuant to Rule 13d-3(d)(1).\n\n** Based on 6,265,802,029 shares of Common Stock outstanding as of June 30, 2026, as reported to the Reporting Persons by the Issuer." }, { "accession_no": "0001493152-26-032072", "person_seq": 0, "reporting_person_cik": 1576035, "reporting_person_name": "LEE CHONG KUANG", "fund_type": "PF", "citizenship_or_org": "N8", "sole_voting_power": 1940884.0, "shared_voting_power": 165915.0, "sole_dispositive_power": 1940884.0, "shared_dispositive_power": 165915.0, "aggregate_amount_owned": 2106799.0, "percent_of_class": 11.62, "type_of_reporting_person": "IN", "comment_content": "Includes 1,940,884 shares of Common Stock held directly by the Reporting Person and 165,915 shares of Common Stock held directly by the Reporting Person's spouse, Yap Pei Ling. The Reporting Person may be deemed to share voting and dispositive power over the shares held by his spouse." }, { "accession_no": "0001493152-26-032265", "person_seq": 0, "reporting_person_cik": 1867496, "reporting_person_name": "Camac Partners, LLC", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 551081.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 551081.0, "aggregate_amount_owned": 551081.0, "percent_of_class": 6.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-032265", "person_seq": 1, "reporting_person_cik": 1867498, "reporting_person_name": "Camac Capital, LLC", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 551081.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 551081.0, "aggregate_amount_owned": 551081.0, "percent_of_class": 6.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001493152-26-032265", "person_seq": 2, "reporting_person_cik": 1516478, "reporting_person_name": "Camac Fund, LP", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 551081.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 551081.0, "aggregate_amount_owned": 551081.0, "percent_of_class": 6.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001493152-26-032265", "person_seq": 3, "reporting_person_cik": 1790877, "reporting_person_name": "Eric Shahinian", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 551081.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 551081.0, "aggregate_amount_owned": 551081.0, "percent_of_class": 6.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-032572", "person_seq": 0, "reporting_person_cik": 1391935, "reporting_person_name": "Wesley Cummins", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 22042487.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22042487.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22042487.0, "percent_of_class": 7.6, "type_of_reporting_person": "IN", "comment_content": "See Item 5 for additional information." }, { "accession_no": "0001493152-26-032713", "person_seq": 0, "reporting_person_cik": 1261725, "reporting_person_name": "Heng Fai Ambrose Chan", "fund_type": "PF", "citizenship_or_org": "U0", "sole_voting_power": 26464246.0, "shared_voting_power": 0.0, "sole_dispositive_power": 26464246.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 26464246.0, "percent_of_class": 86.8, "type_of_reporting_person": "IN", "comment_content": "(1) The beneficial ownership of Heng Fai Ambrose Chan includes 26,464,246 shares of the Issuer's common stock, consisting of (a) 1,002,978 shares of common stock held by Heng Fai Holdings Limited, an entity controlled by Heng Fai Ambrose Chan; (b) 1,184,475 shares of common stock held by Heng Fai Ambrose Chan directly; (c) 311,634 shares of common stock held by Global Biomedical Pte. Ltd., a subsidiary of Alset International Limited; (d) 2,581,268 shares of common stock and a convertible promissory note in the amount of $500,000 held by Alset Inc. and initially convertible into 581,395 shares of the Issuer's common stock; and (e) 1,068,309 shares of common stock, a convertible promissory note in the amount of $2,450,000 initially convertible into 3,310,811 shares at a conversion price of $0.74 per share, and common stock purchase warrants to purchase up to 16,554,055 shares held by Alset International Limited, a subsidiary of Alset Inc. (2) Based on 10,042,518 shares of the common stock of the Issuer outstanding as of July 9, 2026." }, { "accession_no": "0001493152-26-032713", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Alset Inc.", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 24407472.0, "shared_voting_power": 0.0, "sole_dispositive_power": 24407472.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 24407472.0, "percent_of_class": 80.0, "type_of_reporting_person": "CO", "comment_content": "(1) Includes 2,581,268 shares of common stock and a convertible promissory note in the amount of $500,000 held by Alset Inc. and initially convertible into 581,395 shares of the Issuer's common stock; 311,634 shares of common stock held by Global Biomedical Pte. Ltd., a subsidiary of Alset International Limited; and 1,068,309 shares of common stock, a convertible promissory note in the amount of $2,450,000 initially convertible into 3,310,811 shares at a conversion price of $0.74 per share, and common stock purchase warrants to purchase up to 16,554,055 shares held by Alset International Limited, a subsidiary of Alset Inc. (2) Based on 10,042,518 shares of the common stock of the Issuer outstanding as of July 9, 2026." }, { "accession_no": "0001493152-26-032713", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Global Biomedical Pte. Ltd.", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 311634.0, "shared_voting_power": 0.0, "sole_dispositive_power": 311634.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 311634.0, "percent_of_class": 3.1, "type_of_reporting_person": "CO", "comment_content": "Based on 10,042,518 shares of the common stock of the Issuer outstanding as of July 9, 2026." }, { "accession_no": "0001493152-26-032713", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Alset International Limited", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 21244809.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21244809.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 21244809.0, "percent_of_class": 71.0, "type_of_reporting_person": "CO", "comment_content": "(1) includes 1,068,309 shares of common stock, a convertible promissory note in the amount of $2,450,000 initially convertible into 3,310,811 shares at a conversion price of $0.74 per share, and common stock purchase warrants to purchase up to 16,554,055 shares. Based on 10,042,518 shares of the common stock of the Issuer outstanding as of July 9, 2026." }, { "accession_no": "0001493152-26-032723", "person_seq": 0, "reporting_person_cik": 1978946, "reporting_person_name": "James G. Silk", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1101419.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1101419.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1101419.0, "percent_of_class": 7.5, "type_of_reporting_person": "IN", "comment_content": "(1) In reference to rows 7 and 9 above, includes 97 shares of Class A common stock, par value $0.001 per share (the \"Class A Shares\"), of Beneficient, a Nevada corporation (the \"Issuer\"), issuable upon the settlement of restricted equity units and 240 Class A Shares issuable upon the settlement of restricted stock units beneficially owned by James G. Silk, which are convertible into Class A Shares within sixty (60) days of this Schedule 13D.\n\n(2) In reference to row 11 above, calculated based on (i) 14,778,985 Class A Shares outstanding as of July 6, 2026, based on information provided by the Issuer and (ii) 50 Class A Shares issuable upon settlement of restricted equity units and 240 Class A Shares issuable upon the settlement of restricted stock units beneficially owned by Mr. Silk, which are convertible into Class A Shares within sixty (60) days of this Schedule 13D. The shares and prices shown have been retroactively adjusted to reflect the Issuer's reverse stock split of its outstanding Class A Shares on a 1-for-8 basis effected on December 15, 2025." }, { "accession_no": "0001493152-26-032907", "person_seq": 0, "reporting_person_cik": 2125603, "reporting_person_name": "Seto Wai Yue", "fund_type": "PF", "citizenship_or_org": "K3", "sole_voting_power": 829890.0, "shared_voting_power": 0.0, "sole_dispositive_power": 829890.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 829890.0, "percent_of_class": 23.81, "type_of_reporting_person": "IN", "comment_content": "(1) The calculation of percentage set forth herein is based on based on 3,485,583 Ordinary Shares, consisting of 3,405,583 Class A Ordinary Shares and 80,000 Class B Ordinary Shares outstanding as of July 10, 2026, which information was provided by the Issuer to the Reporting Persons on July 10, 2026.\n\nThe Reporting Person beneficially owns 749,890 Class A Ordinary Shares and 80,000 Class B Ordinary Shares, including 580,000 Class A Ordinary Shares and 72,000 Class B Ordinary Shares acquired from the Issuer in a private placement pursuant to a Securities Purchase Agreement dated July 7, 2026.\n\nPursuant to the Amended and Restated Memorandum and Articles of Association of the Issuer, each Class A ordinary share is entitled to one vote an each Class B ordinary share is entitled to twelve votes. The percentage reported herein reflects beneficial ownership as a percentage of the Issuer's total outstanding ordinary shares and not the Reporting Person's percentage of aggregate voting power." }, { "accession_no": "0001493152-26-033030", "person_seq": 0, "reporting_person_cik": 1715783, "reporting_person_name": "Grace & Mercy Foundation, Inc.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3423076.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3423076.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3423076.0, "percent_of_class": 12.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-033062", "person_seq": 0, "reporting_person_cik": 1630761, "reporting_person_name": "Dov Shiff", "fund_type": "AF", "citizenship_or_org": "L3", "sole_voting_power": 1552952.0, "shared_voting_power": 13890285.0, "sole_dispositive_power": 1600035.0, "shared_dispositive_power": 13890285.0, "aggregate_amount_owned": 15490320.0, "percent_of_class": 11.5, "type_of_reporting_person": "IN", "comment_content": "Number of shares beneficially owned by Mr. Shiff with sole voting and dispositive power includes 120,000 shares of Common Stock held by Mr. Shiff's spouse. Number of shares beneficially owned by Mr. Shiff with sole dispositive power includes 47,083 shares of Common Stock that may be acquired pursuant to the exercise of stock options that are exercisable within 60 days of the filing of this Statement. Number of shares beneficially owned by Mr. Shiff with shared voting and dispositive power includes (i) 379,955 shares of Common Stock held by Shiff Group Investments Ltd. and (ii) 13,510,330 shares of Common Stock held by DZDLUX s.a.r.l." }, { "accession_no": "0001493152-26-033062", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Shiff Group Investments Ltd.", "fund_type": "WC", "citizenship_or_org": "L3", "sole_voting_power": 0.0, "shared_voting_power": 379955.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 379955.0, "aggregate_amount_owned": 379955.0, "percent_of_class": 0.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-033062", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "DZDLUX s.a.r.l.", "fund_type": "WC", "citizenship_or_org": "N4", "sole_voting_power": 0.0, "shared_voting_power": 13510330.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13510330.0, "aggregate_amount_owned": 13510330.0, "percent_of_class": 10.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-033090", "person_seq": 0, "reporting_person_cik": 2134293, "reporting_person_name": "STARTEEPO Invest, investicni fond s promennym zakladnim kapitalem, a.s.", "fund_type": "OO", "citizenship_or_org": "2N", "sole_voting_power": 0.0, "shared_voting_power": 7300000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7300000.0, "aggregate_amount_owned": 7300000.0, "percent_of_class": 5.58, "type_of_reporting_person": "OO", "comment_content": "Row 13: Based on 130,779,611 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026, as filed with the Securities and Exchange Commission (the \"SEC\") on May 7, 2026." }, { "accession_no": "0001493152-26-033090", "person_seq": 1, "reporting_person_cik": 2134654, "reporting_person_name": "Frantisek Bostl", "fund_type": "PF", "citizenship_or_org": "2N", "sole_voting_power": 1640000.0, "shared_voting_power": 7300000.0, "sole_dispositive_power": 1640000.0, "shared_dispositive_power": 7300000.0, "aggregate_amount_owned": 8940000.0, "percent_of_class": 6.84, "type_of_reporting_person": "IN", "comment_content": "Row 7, Row 9, and Row 11: Consists of (i) 1,500,000 shares of Common Stock and (ii) 140,000 shares of Common Stock underlying call options, as described in Item 6, held directly by Mr. Bostl.\n\nRow 8, Row 10, and Row 11: Represents 7,300,000 shares of Common Stock held of record by the Fund for which Mr. Bostl may be deemed to be a beneficial owner as the Chief Investment Officer and Chairman of the Board of Directors of the Fund and owner of all of the voting shares of the Fund. Mr. Bostl disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his direct pecuniary interest therein.\n\nRow 13: Based on 130,779,611 shares of Common Stock outstanding as of April 30, 2026, as reported in the Issuer's Quarterly Report on Form 10-Q for the period ended March 31, 2026, as filed with the SEC on May 7, 2026." }, { "accession_no": "0001493152-26-033502", "person_seq": 0, "reporting_person_cik": 2144888, "reporting_person_name": "Trafalgar Asset Management, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 28435885.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7629665.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 7629665.0, "percent_of_class": 100.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-033502", "person_seq": 1, "reporting_person_cik": 2144957, "reporting_person_name": "Porfirio Sanchez Talavera", "fund_type": "OO", "citizenship_or_org": "O5", "sole_voting_power": 0.0, "shared_voting_power": 28435885.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7629665.0, "aggregate_amount_owned": 7629665.0, "percent_of_class": 100.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-034217", "person_seq": 0, "reporting_person_cik": 1689739, "reporting_person_name": "Pershing Edward", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 52278925.0, "shared_voting_power": 162350.0, "sole_dispositive_power": 52278925.0, "shared_dispositive_power": 162350.0, "aggregate_amount_owned": 52441275.0, "percent_of_class": 11.61, "type_of_reporting_person": "IN", "comment_content": "(1) Sole voting and dispositive power includes 176,000 shares of common stock owned directly by the Reporting Person, 2,822,030 shares of common stock owned by the Reporting Person through a retirement plan, 16,980,144 shares of common stock issuable upon exercise of stock options that are currently exercisable or exercisable within 60 days, 28,667,610 shares of common stock issuable upon conversion of 2,866,761 shares of Series D-1 Convertible Preferred Stock held by the Reporting Person, and 3,633,141 shares of common stock issuable upon conversion of 363,314 shares of Series D-1 Convertible Preferred Stock which are issuable upon conversion of $908,554 aggregate principal amount and accrued interest of convertible promissory notes held by the Reporting Person.\n\n(2) Shared voting and dispositive power includes 60,600 shares of common stock owned by the Reporting Person's spouse, 16,500 shares of common stock owned by the Reporting Person's spouse through a retirement plan, 3,750 shares of common stock held as custodian for a grandchild, and 81,500 shares of common stock owned by Mr. Pershing's Foundation, a nonprofit corporation of which the Reporting Person is an affiliate." }, { "accession_no": "0001493152-26-034520", "person_seq": 0, "reporting_person_cik": 1970632, "reporting_person_name": "Choo Chee Kong", "fund_type": "PF", "citizenship_or_org": "U0", "sole_voting_power": 824436.0, "shared_voting_power": 3773291.0, "sole_dispositive_power": 824436.0, "shared_dispositive_power": 3773291.0, "aggregate_amount_owned": 2899746.0, "percent_of_class": 24.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-034588", "person_seq": 0, "reporting_person_cik": 1996021, "reporting_person_name": "Galiano Paolo Tiramani", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 59613662.0, "shared_voting_power": 439019.0, "sole_dispositive_power": 59613662.0, "shared_dispositive_power": 439019.0, "aggregate_amount_owned": 60052681.0, "percent_of_class": 86.5, "type_of_reporting_person": "IN", "comment_content": "Each share of Class B Common Stock (referred to in the below notes) converts into one share of Class A Common Stock at the option of the holder thereof at any time upon written notice to the transfer agent of the Company.\n\n(1) The number of shares set forth above in line 7 and 9 consists of (i) 389,629 shares of Class B Common Stock, par value $0.0001 per share, held by Mr. Tiramani directly, (ii) 30,998,869 shares of Class B Common Stock held by the Galiano Tiramani 2020 Family Gift Trust and (iii) 28,225,164 shares of Class B Common Stock held by the Shontor Asset Protection Trust. The Shontor Asset Protection Trust was established for the benefit of Mr. Galiano Tiramani, his domestic partner and his descendants. Mr. Galiano Tiramani is the investment trustee of the Shontor Asset Protection Trust.\n\n(2) The Galiano Tiramani 2020 Family Gift Trust is held for the benefit of Mr. Tiramani's descendants. Mr. Tiramani is not the trustee of the trust nor is the trust held for his benefit. Paolo Tiramani, who is Galiano Tiramani's father and serves as Co-Chief Executive Officer and on the Board of Directors of Boxabl Inc., serves as trustee. Mr. Paolo Tiramani disclaims beneficial ownership of the shares held in the Galiano Tiramani 2020 Family Gift Trust.\n\n(3) The number of shares set forth above in line 8 and 10 consists of 439,019 shares of Class A Common Stock underlying Non-Qualified Stock Options held by Mr. Tiramani's spouse.\n\n(4) The number of shares set forth above excludes (i) 379,482 shares of Merger Preferred Stock, par value $0.0001 per share (\"Merger Preferred Stock\"), held by the spouse of Mr. Tiramani because such shares are not convertible into Class A Common Stock within the next 60 days. On September 18, 2027, 20% of the shares of Merger Preferred Stock, in the aggregate, automatically converts into Class A Common Stock on a one for one basis. Thereafter, an additional 20% of the original shares of Merger Preferred Stock shall automatically convert each subsequent month on a one-for-one basis until all of the Merger Preferred Stock has been converted into Class A Common Stock. Also excludes shares of Class B Common Stock and Merger Preferred Stock that Mr. Galiano Tiramani deposited in the Dechomai Asset Trust, a donor advised fund in which Mr. Tiramani may advise the fund on voting or other matters related to his deposited assets but does not have the power to compel the Trust to act.\n\n(5) The percentage set forth in the line 13 above is based on the quotient obtained by dividing (a) the aggregate number of shares of Class A Common Stock deemed beneficially owned by the Reporting Person as set forth in Row 11 by (b) the sum of (i) 9,409,633 shares of Class A Common Stock outstanding as of July 20, 2026, as reported by the Issuer to the Reporting Person, (ii) 59,613,662 shares of Class B Common Stock beneficially owned by the Reporting Person, which are treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person and (iii) 439,019 shares of Class A Common Stock underlying the Non-Qualified Stock Options deemed beneficially owned by the Reporting Person, which are treated as exercised for the underlying Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. Each share of Class A Common Stock is entitled to one vote and each share of Class B Common Stock is entitled to ten votes per share. There are 232,083,710 shares of Class B Common Stock outstanding as of July 20, 2026, as reported by the Issuer to the Reporting Person, including the 59,613,662 shares of Class B Common Stock beneficially owned by the Reporting Person as set forth in footnote 1 above. The percentage reported does not reflect the ten for one voting power of the Class B Common Stock because these shares are treated as converted into Class A Common Stock for the purpose of this report. The total number of outstanding shares of Common Stock (both Class A and Class B) is 241,493,343 and Mr. Tiramani beneficially owns 24.82% of the Company's total outstanding Common Stock, without taking into account the ten for one voting power of the Class B Common Stock." }, { "accession_no": "0001493152-26-034590", "person_seq": 0, "reporting_person_cik": 1996026, "reporting_person_name": "Paolo Tiramani", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 172470048.0, "shared_voting_power": 0.0, "sole_dispositive_power": 172470048.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 172470048.0, "percent_of_class": 94.8, "type_of_reporting_person": "IN", "comment_content": "Each share of Class B Common Stock (referred to in the below notes) converts into one share of Class A Common Stock at the option of the holder thereof at any time upon written notice to the transfer agent of the Company.\n\n(1) The number of shares set forth above in line 7 and 9 consists of (i) 838,101 shares of Class B Common Stock, par value $0.0001 per share, held by Mr. Tiramani directly, (ii) 86,864,301 shares of Class B Common Stock, par value $0.0001 per share, held by the Austin Powers Trust, and (ii) 84,767,646 shares of Class B Common Stock held by the Paolo Tiramani 2020 Family Gift Trust. The Austin Powers Trust was established for the benefit of Mr. Paolo Tiramani, his son Galiano Tiramani and his descendants, and Mr. Paolo Tiramani's partner. Mr. Paolo Tiramani is the investment trustee of the Austin Powers Trust.\n\n(2) The Paolo Tiramani 2020 Family Gift Trust is held for the benefit of Mr. Tiramani's son Galiano Tiramani and Mr. Galiano Tiramani's descendants. Mr. Paolo Tiramani is not the trustee of the trust nor is the trust held for his benefit. The Trustee of the Trust is Premier Trust Inc.\n\n(3) The number of shares set forth above excludes shares of Merger Preferred Stock, par value $0.0001 per share, that Mr. Paolo Tiramani deposited in the Dechomai Asset Trust, a donor advised fund in which Mr. Tiramani may advise the fund on voting or other matters related to his deposited assets but does not have the power to compel the Trust to act.\n\n(4) The number of shares set forth above also excludes 30,998,869 shares of Class B Common Stock held in the Galiano Tiramani 2020 Family Gift Trust. The Galiano Tiramani 2020 Family Gift Trust is held for the benefit of Mr. Galiano Tiramani's descendants. Mr. Paolo Tiramani, who is Galiano Tiramani's father and serves as Co- Chief Executive Officer and on the Board of Directors of Boxabl Inc., serves as trustee. Mr. Paolo Tiramani disclaims beneficial ownership of the shares of Class B Common Stock held in the Galiano Tiramani 2020 Family Gift Trust and beneficial ownership of these shares has been separately reported by Mr. Galiano Tiramani.\n\n(5) The percentage set forth in the line 13 above is based on the quotient obtained by dividing (a) the aggregate number of shares of Class A Common Stock deemed beneficially owned by the Reporting Person as set forth in Row 11 by (b) the sum of (i) 9,409,633 shares of Class A Common Stock outstanding as of July 20, 2026, as reported by the Issuer to the Reporting Person, and (ii) 172,470,048 shares of Class B Common Stock beneficially owned by the Reporting Person, which are treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. Each share of Class A Common Stock is entitled to one vote and each share of Class B Common Stock is entitled to ten votes per share. There are 232,083,710 shares of Class B Common Stock outstanding as of July 20, 2026, as reported by the Issuer to the Reporting Person, including the 172,470,048 shares of Class B Common Stock beneficially owned by the Reporting Person as set forth in footnote 1 above. The percentage reported does not reflect the ten for one voting power of the Class B Common Stock because these shares are treated as converted into Class A Common Stock for the purpose of this report. The total number of outstanding shares of Common Stock (both Class A and Class B) is 241,493,343 and Mr. Tiramani beneficially owns 71.42% of the Company's total outstanding Common Stock, without taking into account the ten for one voting power of the Class B Common Stock." }, { "accession_no": "0001493152-26-034889", "person_seq": 0, "reporting_person_cik": 2105917, "reporting_person_name": "Haggai Alon", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 201485.0, "shared_voting_power": 0.0, "sole_dispositive_power": 201485.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 201485.0, "percent_of_class": 18.5, "type_of_reporting_person": "IN", "comment_content": "See Item 5(a) below. All numbers reflect all reverse stock splits of the Issuer on a retroactive basis." }, { "accession_no": "0001493152-26-035145", "person_seq": 0, "reporting_person_cik": 2143923, "reporting_person_name": "E U Holdings Pte. Ltd", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 3947910.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3947910.0, "aggregate_amount_owned": 394791.0, "percent_of_class": 46.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-035145", "person_seq": 1, "reporting_person_cik": 2146134, "reporting_person_name": "Ng Eng Guan", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 3947910.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3947910.0, "aggregate_amount_owned": 3947910.0, "percent_of_class": 46.0, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person is the equity owner of 50% of the shares of E U Holdings Pte. Ltd. and is also a director. Therefore, the Reporting Person has shared power and authority over the voting and disposition of the shares of the Issuer." }, { "accession_no": "0001493152-26-035145", "person_seq": 2, "reporting_person_cik": 2129216, "reporting_person_name": "Neo Chin Heng", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 3947910.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3947910.0, "aggregate_amount_owned": 3947910.0, "percent_of_class": 46.0, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person is the equity owner of 50% of the shares of E U Holdings Pte. Ltd. and is also a director. Therefore, the Reporting Person has shared power and authority over the voting and disposition of the shares of the Issuer." }, { "accession_no": "0001493152-26-035147", "person_seq": 0, "reporting_person_cik": 2141384, "reporting_person_name": "Lim Tze Chong, Patrick", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 2497148.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2497148.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2497148.0, "percent_of_class": 12.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-035149", "person_seq": 0, "reporting_person_cik": 2141431, "reporting_person_name": "Siow Kim Lian", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 2497148.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2497148.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2497148.0, "percent_of_class": 12.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-035789", "person_seq": 0, "reporting_person_cik": 2129216, "reporting_person_name": "Neo Chin Heng", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 3947910.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3947910.0, "aggregate_amount_owned": 394791.0, "percent_of_class": 46.0, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person is the equity owner of 50% of the shares of E U Holdings Pte. Ltd. and is also a director. Therefore, the Reporting Person has shared power and authority over the voting and disposition of the shares of the Issuer, which are held of record by E U Holdings Pte. Ltd." }, { "accession_no": "0001493152-26-035792", "person_seq": 0, "reporting_person_cik": 2146134, "reporting_person_name": "Ng Eng Guan", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 3947910.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3947910.0, "aggregate_amount_owned": 394791.0, "percent_of_class": 46.0, "type_of_reporting_person": "IN", "comment_content": "The Reporting Person is the equity owner of 50% of the shares of E U Holdings Pte. Ltd. and is also a director. Therefore, the Reporting Person has shared power and authority over the voting and disposition of the shares of the Issuer, which are held of record by E U Holdings Pte. Ltd." }, { "accession_no": "0001493152-26-036048", "person_seq": 0, "reporting_person_cik": 2039927, "reporting_person_name": "Project Nickel LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3250131126.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3250131126.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3250131126.0, "percent_of_class": 51.66, "type_of_reporting_person": "OO", "comment_content": "* Based on 6,290,802,029 shares of Common Stock outstanding as of August 3, 2026, as reported to the Reporting Persons by the Issuer." }, { "accession_no": "0001493152-26-036048", "person_seq": 1, "reporting_person_cik": 2044627, "reporting_person_name": "DAXvest LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3250131126.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3250131126.0, "aggregate_amount_owned": 3250131126.0, "percent_of_class": 51.66, "type_of_reporting_person": "OO", "comment_content": "* Based on 6,290,802,029 shares of Common Stock outstanding as of August 3, 2026, as reported to the Reporting Persons by the Issuer." }, { "accession_no": "0001493152-26-036048", "person_seq": 2, "reporting_person_cik": 1765416, "reporting_person_name": "Grady Dowling Kittrell", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 200000.0, "shared_voting_power": 3250131126.0, "sole_dispositive_power": 200000.0, "shared_dispositive_power": 3250131126.0, "aggregate_amount_owned": 3250331126.0, "percent_of_class": 51.67, "type_of_reporting_person": "IN", "comment_content": "* Includes (i) 200,000 shares of Common Stock held directly by Mr. Kittrell and (ii) 3,250,131,126 shares of Common Stock held directly by Project Nickel.\n\n** Based on 6,290,802,029 shares of Common Stock outstanding as of August 3, 2026, as reported to the Reporting Persons by the Issuer." }, { "accession_no": "0001493152-26-036078", "person_seq": 0, "reporting_person_cik": 1879349, "reporting_person_name": "Manuel Chavez, III", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 142000.0, "shared_voting_power": 725337.0, "sole_dispositive_power": 142000.0, "shared_dispositive_power": 725337.0, "aggregate_amount_owned": 867337.0, "percent_of_class": 2.1, "type_of_reporting_person": "IN", "comment_content": "See Item 5" }, { "accession_no": "0001493152-26-036078", "person_seq": 1, "reporting_person_cik": 1879102, "reporting_person_name": "Stephanie Hogue", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 123257.0, "shared_voting_power": 725337.0, "sole_dispositive_power": 123257.0, "shared_dispositive_power": 725337.0, "aggregate_amount_owned": 848594.0, "percent_of_class": 2.0, "type_of_reporting_person": "IN", "comment_content": "See Item 5" }, { "accession_no": "0001493152-26-036387", "person_seq": 0, "reporting_person_cik": 1466992, "reporting_person_name": "Bloom Retirement Holdings Inc.", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 1481039.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1481039.0, "aggregate_amount_owned": 1481039.0, "percent_of_class": 9.49, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-036387", "person_seq": 1, "reporting_person_cik": 1971548, "reporting_person_name": "Reza Jahangiri", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1481039.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1481039.0, "aggregate_amount_owned": 1481039.0, "percent_of_class": 9.49, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-036428", "person_seq": 0, "reporting_person_cik": 2057383, "reporting_person_name": "First Finance Ltd.", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 1641162.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1641162.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1641162.0, "percent_of_class": 61.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001493152-26-036428", "person_seq": 1, "reporting_person_cik": 1145688, "reporting_person_name": "Hromyk Andrew", "fund_type": "OO", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 1641162.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1641162.0, "aggregate_amount_owned": 1641162.0, "percent_of_class": 61.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001493152-26-036495", "person_seq": 0, "reporting_person_cik": 1261725, "reporting_person_name": "Heng Fai Ambrose Chan", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 1002600.0, "shared_voting_power": 6584319.0, "sole_dispositive_power": 1002600.0, "shared_dispositive_power": 6584319.0, "aggregate_amount_owned": 6584319.0, "percent_of_class": 84.7, "type_of_reporting_person": "IN", "comment_content": "Aggregate amount includes (i) 535,475 shares and warrants convertible into 47,375 shares of the Issuer's common stock, $0.0001 par value held by Alset Acquisition Sponsor, LLC; (ii) 1,002,600 shares of common stock owned directly by Mr. Chan; (iii) 2,211,279 shares of common stock held by Alset International Limited; and (iv) 2,787,590 shares of common stock held by Alset Inc., over which Mr. Chan may be deemed to possess indirect beneficial ownership as the Chief Executive Officer and Chairman of Alset Inc. and Alset International Limited. This percentage is based on 7,726,400 shares of the Issuer's common stock outstanding as of August 7, 2026." }, { "accession_no": "0001493152-26-036495", "person_seq": 1, "reporting_person_cik": 1750106, "reporting_person_name": "Alset Inc.", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 5581719.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5581719.0, "aggregate_amount_owned": 5581719.0, "percent_of_class": 71.8, "type_of_reporting_person": "CO", "comment_content": "Aggregate amount includes (i) 535,475 shares and warrants convertible into 47,375 shares of the Issuer's common stock, $0.0001 par value held by Alset Acquisition Sponsor, LLC, a majority owned subsidiary of Alset Inc.; (ii) 2,211,279 shares held by Alset International Limited, a majority owned subsidiary of Alset Inc; and (iii) 2,787,590 shares held by Alset Inc. directly. This percentage is based on 7,726,400 shares of the Issuer's common stock outstanding as of August 7, 2026." }, { "accession_no": "0001493152-26-036495", "person_seq": 2, "reporting_person_cik": 1660984, "reporting_person_name": "Alset International Limited", "fund_type": "OO", "citizenship_or_org": "U0", "sole_voting_power": 2211279.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2211279.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2211279.0, "percent_of_class": 28.4, "type_of_reporting_person": "CO", "comment_content": "This percentage is based on 7,726,400 shares of the Issuer's common stock outstanding as of August 7, 2026." }, { "accession_no": "0001493152-26-036495", "person_seq": 3, "reporting_person_cik": 1908910, "reporting_person_name": "Alset Acquisition Sponsor, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 582850.0, "shared_voting_power": 0.0, "sole_dispositive_power": 582850.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 582850.0, "percent_of_class": 7.5, "type_of_reporting_person": "CO", "comment_content": "Aggregate amount includes 535,475 shares and warrants convertible into 47,375 shares of the Issuer's common stock. This percentage is based on 7,726,400 shares of the Issuer's common stock outstanding as of August 7, 2026." }, { "accession_no": "0001493152-26-036650", "person_seq": 0, "reporting_person_cik": 898860, "reporting_person_name": "Phillip Frost, M.D.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 2013876.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2013876.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2784719.0, "percent_of_class": 13.9, "type_of_reporting_person": "IN", "comment_content": "(1) The amounts provided in Item 7 and 9 include (i) 20,325 shares of the Issuer's common stock and (ii) 1,993,551 shares of the Issuer's common stock held by Frost Gamma Investments Trust, which is controlled by Dr. Frost as sole trustee. Does not include options to acquire 51,417 shares of common stock and warrants to acquire 719,426 shares of common stock, both of which are exercisable within 60 days.\n\n(2) The amount provided in Item 11 includes (i) 20,325 shares of common stock owned, (ii) 1,993,551 shares of the Issuer's common stock held by Frost Gamma Investments Trust, which is controlled by Dr. Frost as sole trustee; (iii) options to acquire 51,417 shares of common stock, which are exercisable within 60 days and (iv) 719,426 warrants to acquire shares of common stock, which is controlled by Dr. Frost as sole trustee and are exercisable within 60 days.\n\n(3) The percentage provided in Item 13 is calculated based on (i) 19,263,200 shares of common stock outstanding as of August 3, 2026 and (ii) 51,417 shares of common stock issuable upon exercise of options and 719,426 shares of common stock issuable upon exercise of warrants within 60 days. The percentage reflected in the table above is rounded to the nearest tenth (one place after the decimal point) in accordance with the instructions to Schedule 13D." }, { "accession_no": "0001493152-26-036650", "person_seq": 1, "reporting_person_cik": 1380896, "reporting_person_name": "Frost Gamma Investments Trust", "fund_type": "PF", "citizenship_or_org": "FL", "sole_voting_power": 1993551.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1993551.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2712977.0, "percent_of_class": 13.5, "type_of_reporting_person": "OO", "comment_content": "(1) The amounts provided in Item 7 and 9 include 1,993,551 shares of the Issuer's common stock, which is controlled by Dr. Frost as sole trustee. Does not include warrants to acquire 719,426 shares of common stock, which are exercisable within 60 days.\n\n(2) The amount provided in Item 11 includes (i) 1,993,551 shares of the Issuer's common stock and (ii) 719,426 warrants to acquire shares of the Issuer's common stock, which are exercisable within 60 days. The securities are controlled by Dr. Frost as sole trustee.\n\n(3) The percentage provided in Item 13 is calculated based upon 19,263,200 shares of common stock outstanding as of August 3, 2026 and 719,426 shares of common stock issuable upon exercise of warrants within 60 days. The percentage reflected in the table above is rounded to the nearest tenth (one place after the decimal point) in accordance with the instructions to Schedule 13D." }, { "accession_no": "0001493215-26-000135", "person_seq": 0, "reporting_person_cik": 1493215, "reporting_person_name": "RTW Investments, LP", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 67441.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 67441.0, "aggregate_amount_owned": 67441.0, "percent_of_class": 9.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001493215-26-000135", "person_seq": 1, "reporting_person_cik": 1493280, "reporting_person_name": "Roderick Wong", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 67441.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 67441.0, "aggregate_amount_owned": 67441.0, "percent_of_class": 9.9, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001508155-26-000004", "person_seq": 0, "reporting_person_cik": 1508155, "reporting_person_name": "Valentin Gapontsev Trust I", "fund_type": "OO", "citizenship_or_org": "NH", "sole_voting_power": 6670283.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6670283.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6670283.0, "percent_of_class": 15.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001508155-26-000004", "person_seq": 1, "reporting_person_cik": 1378548, "reporting_person_name": "Lopresti Angelo P", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 63705.0, "shared_voting_power": 8032281.0, "sole_dispositive_power": 63705.0, "shared_dispositive_power": 8032281.0, "aggregate_amount_owned": 8095986.0, "percent_of_class": 19.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001508155-26-000004", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "IQ EQ Trust Company, U.S., LLC", "fund_type": "OO", "citizenship_or_org": "NH", "sole_voting_power": 296638.0, "shared_voting_power": 8032281.0, "sole_dispositive_power": 296638.0, "shared_dispositive_power": 8032281.0, "aggregate_amount_owned": 8328919.0, "percent_of_class": 19.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001508155-26-000004", "person_seq": 3, "reporting_person_cik": 1378544, "reporting_person_name": "Shcherbakov Eugene A", "fund_type": "OO", "citizenship_or_org": "2M", "sole_voting_power": 6545429.0, "shared_voting_power": 8032281.0, "sole_dispositive_power": 6545429.0, "shared_dispositive_power": 8032281.0, "aggregate_amount_owned": 14577710.0, "percent_of_class": 34.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001536588-26-000009", "person_seq": 0, "reporting_person_cik": 1536588, "reporting_person_name": "AJB Investment Fund II, LP", "fund_type": "WC", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 267768.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 267768.0, "aggregate_amount_owned": 267768.0, "percent_of_class": 7.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001536588-26-000009", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "AJB Capital, LLC", "fund_type": "OO", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 267768.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 267768.0, "aggregate_amount_owned": 267768.0, "percent_of_class": 7.6, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001536588-26-000009", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Adam Bradley", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 20700.0, "shared_voting_power": 308947.0, "sole_dispositive_power": 20700.0, "shared_dispositive_power": 308947.0, "aggregate_amount_owned": 329647.0, "percent_of_class": 9.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001536588-26-000009", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Melinda Bradley", "fund_type": "PF", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 296362.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 296362.0, "aggregate_amount_owned": 296362.0, "percent_of_class": 8.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001536588-26-000014", "person_seq": 0, "reporting_person_cik": 1536588, "reporting_person_name": "AJB Investment Fund II, LP", "fund_type": "WC", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 300186.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 300186.0, "aggregate_amount_owned": 300186.0, "percent_of_class": 8.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001536588-26-000014", "person_seq": 1, "reporting_person_cik": 2141914, "reporting_person_name": "AJB Capital, LLC", "fund_type": "OO", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 300186.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 300186.0, "aggregate_amount_owned": 300186.0, "percent_of_class": 8.5, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001536588-26-000014", "person_seq": 2, "reporting_person_cik": 2141916, "reporting_person_name": "Bradley Adam James", "fund_type": "PF", "citizenship_or_org": "NC", "sole_voting_power": 26709.0, "shared_voting_power": 355307.0, "sole_dispositive_power": 26709.0, "shared_dispositive_power": 355307.0, "aggregate_amount_owned": 382016.0, "percent_of_class": 10.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001536588-26-000014", "person_seq": 3, "reporting_person_cik": 2141919, "reporting_person_name": "Bradley Melinda Hodges", "fund_type": "PF", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 342722.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 342722.0, "aggregate_amount_owned": 342722.0, "percent_of_class": 9.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001536588-26-000020", "person_seq": 0, "reporting_person_cik": 1536588, "reporting_person_name": "AJB Investment Fund II, LP", "fund_type": "OO", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 337328.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 337328.0, "aggregate_amount_owned": 337328.0, "percent_of_class": 9.6, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001536588-26-000020", "person_seq": 1, "reporting_person_cik": 2141914, "reporting_person_name": "AJB Capital, LLC", "fund_type": "OO", "citizenship_or_org": "NC", "sole_voting_power": 0.0, "shared_voting_power": 337328.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 337328.0, "aggregate_amount_owned": 337328.0, "percent_of_class": 9.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001536588-26-000020", "person_seq": 2, "reporting_person_cik": 2141916, "reporting_person_name": "Bradley Adam James", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 31809.0, "shared_voting_power": 396349.0, "sole_dispositive_power": 31809.0, "shared_dispositive_power": 396349.0, "aggregate_amount_owned": 428158.0, "percent_of_class": 12.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001536588-26-000020", "person_seq": 3, "reporting_person_cik": 2141919, "reporting_person_name": "Bradley Melinda Hodges", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 383764.0, "sole_dispositive_power": 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"accession_no": "0001539497-26-001436", "person_seq": 4, "reporting_person_cik": 1412093, "reporting_person_name": "Icahn Capital LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 24990000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 24990000.0, "aggregate_amount_owned": 24990000.0, "percent_of_class": 6.72, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001539497-26-001436", "person_seq": 5, "reporting_person_cik": 1412091, "reporting_person_name": "IPH GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 24990000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 24990000.0, "aggregate_amount_owned": 24990000.0, "percent_of_class": 6.72, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001539497-26-001436", "person_seq": 6, "reporting_person_cik": 1034563, "reporting_person_name": "Icahn 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Icahn", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 618393343.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 618393343.0, "aggregate_amount_owned": 618393343.0, "percent_of_class": 87.28, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001542826-26-000006", "person_seq": 0, "reporting_person_cik": 1542826, "reporting_person_name": "Harrison Street Private Wealth LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 4203172.0, "sole_dispositive_power": null, "shared_dispositive_power": 4203172.0, "aggregate_amount_owned": 4203172.0, "percent_of_class": 97.2, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001542826-26-000006", "person_seq": 1, "reporting_person_cik": 1687898, "reporting_person_name": "Harrison Street Real Assets Fund LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": null, "shared_voting_power": 4203172.0, "sole_dispositive_power": null, "shared_dispositive_power": 4203172.0, "aggregate_amount_owned": 4203172.0, "percent_of_class": 97.2, "type_of_reporting_person": "IV", "comment_content": null }, { "accession_no": "0001548312-26-000025", "person_seq": 0, "reporting_person_cik": 1548312, "reporting_person_name": "JEFFREY E. EBERWEIN", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1104701.0, "shared_voting_power": null, "sole_dispositive_power": 1104701.0, "shared_dispositive_power": null, "aggregate_amount_owned": 1104701.0, "percent_of_class": 29.5, "type_of_reporting_person": "IN", "comment_content": "* Includes 49,450 shares of common stock underlying immediately exercisable warrants (\"Warrants\") to purchase Star common stock. Excludes certain grants made under the Issuer's 2009 Incentive Stock and Awards Plan, as amended and restated, specifically 8,918 shares of restricted stock granted on September 15, 2025, 5,703 shares of restricted stock granted on January 15, 2026, 6,504 shares of restricted stock granted on April 15, 2026, and 6,750 restricted stock units granted on January 24, 2025, which vest upon the anniversary of the respective grant dates." }, { "accession_no": "0001548312-26-000039", "person_seq": 0, "reporting_person_cik": 1548312, "reporting_person_name": "JEFFREY E. EBERWEIN", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1149289.0, "shared_voting_power": null, "sole_dispositive_power": 1149289.0, "shared_dispositive_power": null, "aggregate_amount_owned": 1149289.0, "percent_of_class": 30.7, "type_of_reporting_person": "IN", "comment_content": "* Includes 49,450 shares of common stock underlying immediately exercisable warrants (\"Warrants\") to purchase Star common stock. Excludes certain grants made under the Issuer's 2009 Incentive Stock and Awards Plan, as amended and restated, specifically 8,918 shares of restricted stock granted on September 15, 2025, 5,703 shares of restricted stock granted on January 15, 2026, 6,504 shares of restricted stock granted on April 15, 2026, and 6,750 restricted stock units granted on January 24, 2025, which vest upon the anniversary of the respective grant dates." }, { "accession_no": "0001552781-26-000356", "person_seq": 0, "reporting_person_cik": 1543151, "reporting_person_name": "Uber Technologies, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 258473411.0, "shared_voting_power": 0.0, "sole_dispositive_power": 258473411.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 258473411.0, "percent_of_class": 15.6, "type_of_reporting_person": "CO", "comment_content": "Note for Lines (7), (9), and (11) - Consists of 258,473,411 shares of Class A common stock, par value $0.00001 per share, of Aurora Innovation, Inc. (the \"Issuer\").\nNote for Line (13) - The percent of class beneficially owned by the Reporting Person was calculated based on 1,653,863,906 shares of Class A common stock outstanding as of April 29, 2026, as disclosed in the Issuer's Quarterly Report on Form 10-Q for the three months ended March 31, 2026.\n\nThis statement constitutes Amendment No. 5 to the Schedule 13D relating to the shares of Class A common stock, $0.00001 par value per share (the \"Class A Common Stock\"), of Aurora Innovation, Inc., and hereby amends the Schedule 13D filed with the Securities and Exchange Commission (the \"SEC\") on February 14, 2022 (as amended by Amendment No. 1, filed with the SEC on July 24, 2023, Amendment No. 2, filed with the SEC on May 8, 2024, Amendment No. 3, filed with the SEC on May 15, 2025, and Amendment No. 4 filed with the SEC on May 22, 2025, the \"Schedule 13D\"). Except as set forth herein, the Schedule 13D as previously filed remains applicable. All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Schedule 13D." }, { "accession_no": "0001552781-26-000379", "person_seq": 0, "reporting_person_cik": 1543151, "reporting_person_name": "Uber Technologies, Inc.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 535902982.0, "shared_voting_power": 0.0, "sole_dispositive_power": 535902982.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 535902982.0, "percent_of_class": 13.5, "type_of_reporting_person": "CO", "comment_content": "Note for Lines (7), (9), and (11) - Consists of 535,902,982 Class A ordinary shares, par value $0.000001 per share, of Grab Holdings Limited.\nNote for Line (13) - The percent of class beneficially owned by the Reporting Person was calculated assuming 3,972,725,983 Class A ordinary shares issued and outstanding as of January 31, 2026, as described in the Issuer's report on Form 20-F filed with the Securities and Exchange Commission on March 6, 2026. Represents approximately 5.5% of the voting power of the common shares of the Issuer as a result of the 127,755,800 Class B ordinary shares issued and outstanding as of January 31, 2026, as described in the Issuer's report on Form 20-F filed with the Securities and Exchange Commission on March 6, 2026." }, { "accession_no": "0001582328-26-000009", "person_seq": 0, "reporting_person_cik": 1103016, "reporting_person_name": "DIXON ROBERT E", "fund_type": "PF", "citizenship_or_org": "CA", "sole_voting_power": 54241.0, "shared_voting_power": 159024.0, "sole_dispositive_power": 54241.0, "shared_dispositive_power": 159024.0, "aggregate_amount_owned": 213265.0, "percent_of_class": 7.7, "type_of_reporting_person": "IN", "comment_content": "(1) The number of shares reported as beneficially owned is as of August 4, 2026. The shares reported consists of (A) 54,241 shares owned directly by the reporting person, as well as (B) 5,569 shares owned by MPF Successors, LP (\"MPF Successors\") and 86,855 shares owned by MacKenzie Real Estate Advisers, LP (\"MREA\"), and 66,600 shares owned by Berniece Patterson Legacy Trust (\"BPLT\") in which the reporting person has a pecuniary interest and as to which the reporting person may be deemed to share voting power and investment power.\n\n(2) The percentage is calculated based on a total of 2,774,688 of the Issuer's shares of\ncommon stock outstanding as of August 4, 2026." }, { "accession_no": "0001591046-26-000008", "person_seq": 0, "reporting_person_cik": 1591046, "reporting_person_name": "Lundbeckfond Invest A/S", "fund_type": "WC", "citizenship_or_org": "G7", "sole_voting_power": 21851920.0, "shared_voting_power": 0.0, "sole_dispositive_power": 21851920.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 21851920.0, "percent_of_class": 27.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001594543-26-000002", "person_seq": 0, "reporting_person_cik": 1594543, "reporting_person_name": "KERBER WILLIAM XAVIER III", "fund_type": "PF", "citizenship_or_org": "OK", "sole_voting_power": 1916314.0, "shared_voting_power": 450000.0, "sole_dispositive_power": 1916314.0, "shared_dispositive_power": 450000.0, "aggregate_amount_owned": 2366314.0, "percent_of_class": 5.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001602952-26-000001", "person_seq": 0, "reporting_person_cik": 1602952, "reporting_person_name": "Energy Holding Corp", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 20731985.0, "shared_voting_power": 0.0, "sole_dispositive_power": 20731985.0, "shared_dispositive_power": 20731985.0, "aggregate_amount_owned": 20731985.0, "percent_of_class": 46.7, "type_of_reporting_person": "CO", "comment_content": "The percentage of beneficial ownership reflected in this Schedule 13D is based upon 44,364,816 Ordinary Shares outstanding as of May 5, 2026 as reported by the Issuer in its Form 10-Q filed with the SEC on May 8, 2026." }, { "accession_no": "0001602952-26-000001", "person_seq": 1, "reporting_person_cik": 1602798, "reporting_person_name": "Fernandez Joaquin", "fund_type": "OO", "citizenship_or_org": "F8", "sole_voting_power": 0.0, "shared_voting_power": 20731985.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20731985.0, "aggregate_amount_owned": 20731985.0, "percent_of_class": 46.7, "type_of_reporting_person": "IN", "comment_content": "The percentage of beneficial ownership reflected in this Schedule 13D is based upon 44,364,816 Ordinary Shares outstanding as of May 5, 2026 as reported by the Issuer in its Form 10-Q filed with the SEC on May 8, 2026." }, { "accession_no": "0001602952-26-000001", "person_seq": 2, "reporting_person_cik": 1605631, "reporting_person_name": "Velilla Becerra Alberto Jose", 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"reporting_person_name": "Ning Tang", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 143421412.0, "shared_voting_power": 0.0, "sole_dispositive_power": 143421412.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 143421412.0, "percent_of_class": 82.0, "type_of_reporting_person": "IN", "comment_content": "(1) The percentage is calculated based on 174,976,922 Ordinary Shares outstanding as of March 31, 2026 as disclosed in the Company's annual report on Form 20-F for the fiscal year ended December 31, 2025 filed with the SEC on April 29, 2026." }, { "accession_no": "0001662544-26-000007", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Great Service Holdings Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 143421412.0, "shared_voting_power": 0.0, "sole_dispositive_power": 143421412.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 143421412.0, "percent_of_class": 82.0, "type_of_reporting_person": "CO", "comment_content": "(1)\tThe percentage is calculated based on 174,976,922 Ordinary Shares outstanding as of March 31, 2026 as disclosed in the Company's annual report on Form 20-F for the fiscal year ended December 31, 2025 filed with the SEC on April 29, 2026." }, { "accession_no": "0001674752-26-000002", "person_seq": 0, "reporting_person_cik": 1674752, "reporting_person_name": "Pittman Scott M.", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 5627500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5627500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5627500.0, "percent_of_class": 11.6, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001678511-26-000002", "person_seq": 0, "reporting_person_cik": 1678511, "reporting_person_name": "Global Graphene Group, Inc.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1569695.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1569695.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1569695.0, "percent_of_class": 20.3, "type_of_reporting_person": "CO", "comment_content": "Row 13: This calculation is based on 7,745,683 shares of Common Stock outstanding as of May 19, 2026 (as reported by the Issuer in its Quarterly Report on Form 10-Q filed on May 20, 2026 (the \"2026Q1 Quarterly Report\"))." }, { "accession_no": "0001682638-26-000008", "person_seq": 0, "reporting_person_cik": 1682638, "reporting_person_name": "EMILY FAIRBAIRN", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 12849.0, "shared_voting_power": 202582.0, "sole_dispositive_power": 12849.0, "shared_dispositive_power": 202582.0, "aggregate_amount_owned": 215431.0, "percent_of_class": 2.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001682638-26-000008", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Malcom Fairbairn", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 3044.0, "shared_voting_power": 202582.0, "sole_dispositive_power": 3044.0, "shared_dispositive_power": 202582.0, "aggregate_amount_owned": 205626.0, "percent_of_class": 2.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001682638-26-000008", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Malcom and Emily Fairbairn 2010 CRUT", "fund_type": "PF", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 202582.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 202582.0, "aggregate_amount_owned": 202582.0, "percent_of_class": 2.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001683168-26-003980", "person_seq": 0, "reporting_person_cik": 2115494, "reporting_person_name": "BSG Series CM, LLC", "fund_type": "OO", "citizenship_or_org": "SC", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 1 to Schedule 13D (this \"Amendment\") amends and supplements the Schedule 13D filed by BSG Series CM, LLC (the \"Reporting Person\") with the Securities and Exchange Commission on 05/04/2026 (the \"Original Statement\") with respect to the shares of common stock, par value $0.0001 per share (the \"Common Stock\"), of Z Squared Inc., a Delaware corporation (the \"Issuer\"). Except as specifically amended and supplemented hereby, the Original Statement remains unchanged and in full force and effect. Capitalized terms used but not defined herein have the meanings given to them in the Original Statement." }, { "accession_no": "0001683168-26-004169", "person_seq": 0, "reporting_person_cik": 1227848, "reporting_person_name": "Ludmila Smolyansky", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 712823.0, "shared_voting_power": 75000.0, "sole_dispositive_power": 712823.0, "shared_dispositive_power": 75000.0, "aggregate_amount_owned": 787823.0, "percent_of_class": 5.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001683168-26-004169", "person_seq": 1, "reporting_person_cik": 1227847, "reporting_person_name": "Edward Smolyansky", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 2385975.0, "shared_voting_power": 575000.0, "sole_dispositive_power": 2385975.0, "shared_dispositive_power": 575000.0, "aggregate_amount_owned": 2960975.0, "percent_of_class": 19.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001683168-26-004169", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "The Edward Smolyansky Trust 2/2/16", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1233333.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1233333.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1233333.0, "percent_of_class": 8.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001683168-26-004429", "person_seq": 0, "reporting_person_cik": 2090122, "reporting_person_name": "Agriculture Investment Group Corp.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 4399443.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4399443.0, "aggregate_amount_owned": 4399443.0, "percent_of_class": 6.89, "type_of_reporting_person": "CO", "comment_content": "Agriculture Investment Group Corp., a company incorporated under the laws of the British Virgin Islands (\"AIGC\"), owns 100 percent of the outstanding equity securities of Granosur Holding Limited (\"Granosur\"). As a result, AIGC may be deemed to be the ultimate beneficial owner of the Ordinary Shares of the Issuer (the \"Shares\") held directly by Granosur. The number of shares in rows 8, 10 and 11 consists of Shares held by Granosur. The percentage set forth in Row 13 is calculated based on 63,815,891 Shares outstanding as of December 31, 2025, as reported in the Issuer's report on Form 6-K filed with the United States Securities and Exchange Commission (the \"Commission\") on March 13, 2026." }, { "accession_no": "0001683168-26-004429", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Granosur Holding Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 4399443.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4399443.0, "aggregate_amount_owned": 4399443.0, "percent_of_class": 6.89, "type_of_reporting_person": "CO", "comment_content": "AIGC owns 100 percent of the outstanding equity securities of Granosur. As a result, AIGC may be deemed to be the ultimate beneficial owner of the Shares of the Issuer held directly by Granosur. The percentage set forth in Row 13 is calculated based on 63,815,891 Shares outstanding as of December 31, 2025, as reported in the Issuer's report on Form 6-K filed with the Commission on March 13, 2026." }, { "accession_no": "0001683168-26-004467", "person_seq": 0, "reporting_person_cik": 27904, "reporting_person_name": "Delta Air Lines, Inc.", "fund_type": "SC", "citizenship_or_org": "DE", "sole_voting_power": 13168465.0, "shared_voting_power": 0.0, "sole_dispositive_power": 13168465.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 13168465.0, "percent_of_class": 36.3, "type_of_reporting_person": "CO", "comment_content": "Percentage calculated on the basis of 36,260,282 shares of Class A Common Stock, $0.0001 par value (the \"Class A Common Stock\"), of Wheels Up Experience Inc. (the \"Issuer\"), outstanding as of May 29, 2026, as reported by the Issuer on a Current Report on Form 8-K filed with the Securities and Exchange Commission (\"SEC\") on June 1, 2026. Neither this percentage nor the shares listed above as being beneficially owned reflect Earnout Shares (as defined in the Issuer's initial statement on Schedule 13D), which are issuable only upon the achievement of share price thresholds for Class A Common Stock that have not been satisfied.\n\nThe percentage reported above does not give effect to the Voting Agreement (as defined in Amendment No. 3 to the initial statement on Schedule 13D filed by the Reporting Person), pursuant to which the Reporting Person has agreed with the Issuer that any shares of Class A Common Stock held directly or indirectly by the Reporting Person in excess of 29.9% of the issued and outstanding Class A Common Stock shall be neutral shares with respect to voting rights, voted on any matter submitted to a vote of the stockholders of the Issuer in the same proportions \"for\", \"against\", \"abstain\" and/or \"withhold\" on such matter as the shares of Class A Common Stock voted by the stockholders of the Issuer other than the Reporting Person." }, { "accession_no": "0001683168-26-004503", "person_seq": 0, "reporting_person_cik": 1011076, "reporting_person_name": "Theodore Ralston", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1812255.0, "shared_voting_power": 390604.0, "sole_dispositive_power": 1812255.0, "shared_dispositive_power": 390604.0, "aggregate_amount_owned": 2202859.0, "percent_of_class": 9.82, "type_of_reporting_person": "IN", "comment_content": "(1) The figures in Rows 7, 9 and 11 include 22,224 shares of Common Stock issuable upon the exercise of warrants to purchase 22,224 shares of Common Stock.\n\n(2) The percentage in Row 13 is calculated based on 22,424,083 shares of Common Stock issued and outstanding. This figure is derived from (i) 22,357,412 shares of Common Stock outstanding, as disclosed in the Issuer's Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, filed by the Issuer with the Securities and Exchange Commission on May 15, 2026, (ii) 44,447 shares of Common Stock issued upon the conversion of 13,334 shares of Series C Convertible Preferred Stock held by the Reporting Person, and (iii) 22,224 shares of Common Stock issuable upon exercise of 22,224 warrants." }, { "accession_no": "0001683168-26-004875", "person_seq": 0, "reporting_person_cik": 2126738, "reporting_person_name": "Hawkeye HoldCo LLC", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 242017296.0, "shared_voting_power": 0.0, "sole_dispositive_power": 242017296.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 242017296.0, "percent_of_class": 90.1, "type_of_reporting_person": "OO", "comment_content": "The shares listed above represent 242,017,296 shares of common stock held by Hawkeye Holdco LLC (\"HH\"). As MCIMAC, LLC (\"MCIMAC\") serves as manager of HH and Martin Sumichrast (\"Mr. Sumichrast\") serves as manager of MCIMAC, each of MCIMAC and Mr. Sumichrast may be deemed to have sole voting and dispositive power over the shares of common stock and are deemed to be the beneficial owners of such shares of common stock.\n\nThe percentage in Item 13 is based on 266,052,926 shares of common stock outstanding pursuant to a representation made by Hawkeye Systems, Inc. (the \"Issuer\") as of June 3, 2026." }, { "accession_no": "0001683168-26-004875", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "MCIMAC, LLC", "fund_type": "AF", "citizenship_or_org": "WY", "sole_voting_power": 242017296.0, "shared_voting_power": 0.0, "sole_dispositive_power": 242017296.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 242017296.0, "percent_of_class": 90.1, "type_of_reporting_person": "OO", "comment_content": "The shares listed above represent 242,017,296 shares of common stock held by HH. As MCIMAC serves as manager of HH and Mr. Sumichrast serves as manager of MCIMAC, each of MCIMAC and Mr. Sumichrast may be deemed to have sole voting and dispositive power over the shares of common stock and are deemed to be the beneficial owners of such shares of common stock.\n\nThe percentage in Item 13 is based on 266,052,926 shares of common stock outstanding pursuant to a representation made by the Issuer as of June 3, 2026." }, { "accession_no": "0001683168-26-004875", "person_seq": 2, "reporting_person_cik": 1427722, "reporting_person_name": "MARTIN A. SUMICHRAST", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 242017096.0, "shared_voting_power": 0.0, "sole_dispositive_power": 242017096.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 242017296.0, "percent_of_class": 90.1, "type_of_reporting_person": "IN", "comment_content": "The shares listed above represent 242,017,296 shares of common stock held by HH. As MCIMAC serves as manager of HH and Mr. Sumichrast serves as manager of MCIMAC, each of MCIMAC and Mr. Sumichrast may be deemed to have sole voting and dispositive power over the shares of common stock and are deemed to be the beneficial owners of such shares of common stock.\n\nThe percentage in Item 13 is based on 266,052,926 shares of common stock outstanding pursuant to a representation made by the Issuer as of June 3, 2026." }, { "accession_no": "0001683168-26-005083", "person_seq": 0, "reporting_person_cik": 2010546, "reporting_person_name": "Tax Credits International Inc", "fund_type": "WC", "citizenship_or_org": "PR", "sole_voting_power": 9370600.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9370600.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9370600.0, "percent_of_class": 46.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001683168-26-005339", "person_seq": 0, "reporting_person_cik": 2090122, "reporting_person_name": "Agriculture Investment Group Corp.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 3722732.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3722732.0, "aggregate_amount_owned": 3722732.0, "percent_of_class": 5.83, "type_of_reporting_person": "CO", "comment_content": "Agriculture Investment Group Corp., a company incorporated under the laws of the British Virgin Islands (\"AIGC\"), owns 100 percent of the outstanding equity securities of Granosur Holding Limited (\"Granosur\"). As a result, AIGC may be deemed to be the ultimate beneficial owner of the Ordinary Shares of the Issuer (the \"Shares\") held directly by Granosur. The number of shares in rows 8, 10 and 11 consists of Shares held by Granosur. The percentage set forth in Row 13 is calculated based on 63,815,891 Shares outstanding as of December 31, 2025, as reported in the Issuer's report on Form 6-K filed with the United States Securities and Exchange Commission (the \"Commission\") on March 13, 2026." }, { "accession_no": "0001683168-26-005339", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Granosur Holding Limited", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 3722732.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3722732.0, "aggregate_amount_owned": 3722732.0, "percent_of_class": 5.83, "type_of_reporting_person": "CO", "comment_content": "AIGC owns 100 percent of the outstanding equity securities of Granosur. As a result, AIGC may be deemed to be the ultimate beneficial owner of the Shares of the Issuer held directly by Granosur. The percentage set forth in Row 13 is calculated based on 63,815,891 Shares outstanding as of December 31, 2025, as reported in the Issuer's report on Form 6-K filed with the Commission on March 13, 2026." }, { "accession_no": "0001683168-26-005875", "person_seq": 0, "reporting_person_cik": 1887711, "reporting_person_name": "ExcelFin SPAC LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4249031.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4249031.0, "aggregate_amount_owned": 4249031.0, "percent_of_class": 11.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001683168-26-005875", "person_seq": 1, "reporting_person_cik": 1892948, "reporting_person_name": "Grand Fortune Capital (HK) Co Ltd", "fund_type": "OO", "citizenship_or_org": "K3", "sole_voting_power": 0.0, "shared_voting_power": 7004016.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 7004016.0, "aggregate_amount_owned": 7004016.0, "percent_of_class": 19.1, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001683168-26-005875", "person_seq": 2, "reporting_person_cik": 1891721, "reporting_person_name": "Grand Fortune Capital, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 290000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 290000.0, "aggregate_amount_owned": 290000.0, "percent_of_class": 0.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001699737-26-000012", "person_seq": 0, "reporting_person_cik": 1699737, "reporting_person_name": "Samsara BioCapital, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10657028.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10657028.0, "aggregate_amount_owned": 10657028.0, "percent_of_class": 44.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001699737-26-000012", "person_seq": 1, "reporting_person_cik": 1888829, "reporting_person_name": "Samsara BioCapital GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 10671965.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 10671965.0, "aggregate_amount_owned": 10671965.0, "percent_of_class": 44.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001699737-26-000012", "person_seq": 2, "reporting_person_cik": 2086193, "reporting_person_name": "Samsara Opportunity Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2224147.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2224147.0, "aggregate_amount_owned": 2224147.0, "percent_of_class": 9.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001699737-26-000012", "person_seq": 3, "reporting_person_cik": 2086456, "reporting_person_name": "Samsara Opportunity Fund GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2224147.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2224147.0, "aggregate_amount_owned": 2224147.0, "percent_of_class": 9.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001699737-26-000012", "person_seq": 4, "reporting_person_cik": 1253170, "reporting_person_name": "Srinivas Akkaraju", "fund_type": "AF", "citizenship_or_org": null, "sole_voting_power": 8000.0, "shared_voting_power": 12900583.0, "sole_dispositive_power": 8000.0, "shared_dispositive_power": 12900583.0, "aggregate_amount_owned": 12900583.0, "percent_of_class": 54.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001699737-26-000014", "person_seq": 0, "reporting_person_cik": 1699737, "reporting_person_name": "Samsara BioCapital, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5661481.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5661481.0, "aggregate_amount_owned": 5661481.0, "percent_of_class": 5.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001699737-26-000014", "person_seq": 1, "reporting_person_cik": 1888829, "reporting_person_name": "Samsara BioCapital GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5661481.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5661481.0, "aggregate_amount_owned": 5661481.0, "percent_of_class": 5.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001699737-26-000014", "person_seq": 2, "reporting_person_cik": 2086193, "reporting_person_name": "Samsara Opportunity Fund, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5661480.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5661480.0, "aggregate_amount_owned": 5661480.0, "percent_of_class": 5.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001699737-26-000014", "person_seq": 3, "reporting_person_cik": 2086456, "reporting_person_name": "Samsara Opportunity Fund GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 5661480.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5661480.0, "aggregate_amount_owned": 5661480.0, "percent_of_class": 5.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001699737-26-000014", "person_seq": 4, "reporting_person_cik": 1253170, "reporting_person_name": "Srinivas Akkaraju", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 11322961.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 11322961.0, "aggregate_amount_owned": 11322961.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001705446-26-000010", "person_seq": 0, "reporting_person_cik": 1705446, "reporting_person_name": "Ryan Steelberg", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 6204910.0, "shared_voting_power": 0.0, "sole_dispositive_power": 6204910.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 6204910.0, "percent_of_class": 6.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001708269-26-000005", "person_seq": 0, "reporting_person_cik": 1708269, "reporting_person_name": "Atlas Venture Fund XI, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 706556.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 706556.0, "aggregate_amount_owned": 706556.0, "percent_of_class": 4.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": 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Bruce Galloway is the managing member of GCP. Mr. Galloway has sole voting and dispositive control of GCP. Mr. Galloway may be deemed to have beneficial ownership of the common stock held directly by GCP.\n\n(2) This percentage is calculated based upon 9,998,760 shares of Common Stock outstanding as of April 20, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001731122-26-000714", "person_seq": 1, "reporting_person_cik": 2121493, "reporting_person_name": "Galloway Capital, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 841700.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 841700.0, "aggregate_amount_owned": 841700.0, "percent_of_class": 8.42, "type_of_reporting_person": "IN", "comment_content": "(1) This represents 378,700 shares of common stock and 463,000 shares underlying call options exercisable within 60 days. The securities are held and managed by Galloway Capital Partners, LLC (\"GCP\"). Bruce Galloway is the managing member of GCP. Mr. Galloway has sole voting and dispositive control of GCP. Mr. Galloway may be deemed to have beneficial ownership of the common stock held directly by GCP.\n\n(2) This percentage is calculated based upon 9,998,760 shares of Common Stock outstanding as of April 20, 2026, as reported in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on May 7, 2026." }, { "accession_no": "0001731122-26-000714", "person_seq": 2, "reporting_person_cik": 924483, "reporting_person_name": "GALLOWAY BRUCE", "fund_type": "OO", "citizenship_or_org": "FL", "sole_voting_power": 0.0, "shared_voting_power": 841700.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 841700.0, "aggregate_amount_owned": 841700.0, "percent_of_class": 8.42, "type_of_reporting_person": "IN", "comment_content": "(1) This represents 378,700 shares of common stock and 463,000 shares underlying call options exercisable within 60 days. The securities are held and managed by Galloway Capital Partners, LLC (\"GCP\"). Bruce Galloway is the managing member of GCP. Mr. Galloway has sole voting and dispositive control of GCP. 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0.0, "shared_dispositive_power": 3376519.0, "aggregate_amount_owned": 3376519.0, "percent_of_class": 5.3, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001753037-26-000003", "person_seq": 3, "reporting_person_cik": 1873545, "reporting_person_name": "5AM Partners VII, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3376519.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3376519.0, "aggregate_amount_owned": 3376519.0, "percent_of_class": 5.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001753037-26-000003", "person_seq": 4, "reporting_person_cik": 1844401, "reporting_person_name": "5AM Opportunities II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 302770.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 302770.0, "aggregate_amount_owned": 302770.0, "percent_of_class": 0.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001753037-26-000003", "person_seq": 5, "reporting_person_cik": 1873515, "reporting_person_name": "5AM Opportunities II (GP), LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 302770.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 302770.0, "aggregate_amount_owned": 302770.0, "percent_of_class": 0.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001753037-26-000003", "person_seq": 6, "reporting_person_cik": 1598549, "reporting_person_name": "Andrew J. Schwab", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 9000.0, "shared_voting_power": 6304434.0, "sole_dispositive_power": 9000.0, "shared_dispositive_power": 6304434.0, "aggregate_amount_owned": 6313434.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001753037-26-000003", "person_seq": 7, "reporting_person_cik": 1664281, "reporting_person_name": "Kush Parmar", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 6304434.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6304434.0, "aggregate_amount_owned": 6304434.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001753926-26-000869", "person_seq": 0, "reporting_person_cik": 1990829, "reporting_person_name": "Corvus Capital Ltd.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 257166.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 257166.0, "aggregate_amount_owned": 257166.0, "percent_of_class": 5.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001753926-26-000869", "person_seq": 1, "reporting_person_cik": 1991325, "reporting_person_name": "Andrew Regan", "fund_type": "OO", "citizenship_or_org": "X0", "sole_voting_power": 5600.0, "shared_voting_power": 257166.0, "sole_dispositive_power": 5600.0, "shared_dispositive_power": 257166.0, "aggregate_amount_owned": 262766.0, "percent_of_class": 5.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001753926-26-000912", "person_seq": 0, "reporting_person_cik": 1624919, "reporting_person_name": "Williams Gregg", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 43218419.0, "shared_voting_power": 0.0, "sole_dispositive_power": 43218419.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 43218419.0, "percent_of_class": 47.1, "type_of_reporting_person": "IN", "comment_content": "(1) Includes (i) 32,406,033 shares of common stock and warrants to purchase 2,992,937 shares of common stock owned by Gregg G. Williams 2006 Trust, (ii) 1,212,856 shares of common stock owned by Williams International Co. LLC (iii) 181,587 shares of common stock owned by Sam Williams Family Investments LLC and (iv) 731,309 shares of common stock owned by Sam B. Williams 1995 Generation-Skipping Trust. Includes 894,497 shares of common stock issuable to Mr. Williams upon exercise of options exercisable within 60 days of May 15, 2026. Greg Williams has voting and dispositive power over all of these shares.\n\n(2) Beneficial ownership is based on 87,822,405 shares of common stock outstanding." }, { "accession_no": "0001753926-26-000912", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Gregg G. Williams 2006 Trust", "fund_type": "PF", "citizenship_or_org": "MI", "sole_voting_power": 35398970.0, "shared_voting_power": 0.0, "sole_dispositive_power": 35398970.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 35398970.0, "percent_of_class": 39.0, "type_of_reporting_person": "OO", "comment_content": "(3) Shares beneficially owned includes (i) 32,406,033 shares of common stock and (ii) warrants to purchase 2,992,937 shares of common stock. Mr. Williams has sole voting and dispositive power for shares held by this Reporting Person.\n\n(4) Beneficial ownership is based on upon shares of common stock as set forth in footnote 2 above" }, { "accession_no": "0001753926-26-000912", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Sam Williams Family Investments LLC", "fund_type": "PF", "citizenship_or_org": "MI", "sole_voting_power": 181587.0, "shared_voting_power": 0.0, "sole_dispositive_power": 181587.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 181587.0, "percent_of_class": 0.2, "type_of_reporting_person": "CO", "comment_content": "(5) Shares beneficially owned includes 181,587 shares of common stock. Mr. Williams has sole voting and dispositive power for shares held by this Reporting Person.\n\n(6) Beneficial ownership is based on upon shares of common stock as set forth in footnote 2 above." }, { "accession_no": "0001753926-26-000912", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Williams International Co. LLC", "fund_type": "PF", "citizenship_or_org": "MI", "sole_voting_power": 1212856.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1212856.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1212856.0, "percent_of_class": 1.4, "type_of_reporting_person": "CO", "comment_content": "(7) Shares beneficially owned includes (i) 1,212,856 shares of common stock. Mr. Williams has sole voting and dispositive power for shares held by this Reporting Person.\n\n(8) Beneficial ownership is based on upon shares of common stock as set forth in footnote 2 above." }, { "accession_no": "0001753926-26-000912", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Sam B. Williams 1995 Generation Skipping Trust", "fund_type": "PF", "citizenship_or_org": "OH", "sole_voting_power": 731309.0, "shared_voting_power": 0.0, "sole_dispositive_power": 731309.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 731309.0, "percent_of_class": 0.8, "type_of_reporting_person": "CO", "comment_content": "(9) Shares beneficially owned includes (i) 731,309 shares of common stock. Mr. Williams has sole voting and dispositive power for shares held by this Reporting Person.\n\n(10) Beneficial ownership is based on upon shares of common stock as set forth in footnote 2 above." }, { "accession_no": "0001753926-26-000951", "person_seq": 0, "reporting_person_cik": 2009695, "reporting_person_name": "Cascadia Holdings Ltd", "fund_type": "PF", "citizenship_or_org": "O1", "sole_voting_power": 0.0, "shared_voting_power": 2644423.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2644423.0, "aggregate_amount_owned": 2644423.0, "percent_of_class": 24.0, "type_of_reporting_person": "OO", "comment_content": "Securities disclosed herein consist of (i) 1,800,748 shares of the Issuer's common stock, par value $0.001 per share, held directly by Cascadia Holdings Limited (\"Cascadia\") and (ii) 804,503 shares of common stock and warrants to purchase 39,172 shares of common stock, beneficially held by Spike Up Media A.B. and Spike Up Media LLC, indirect wholly owned subsidiaries of Cascadia. Beneficial ownership is based on 11,008,699 shares of common stock outstanding." }, { "accession_no": "0001753926-26-000951", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Brandon Eachus", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 104968.0, "shared_voting_power": 2644423.0, "sole_dispositive_power": 104968.0, "shared_dispositive_power": 2644423.0, "aggregate_amount_owned": 2749391.0, "percent_of_class": 24.9, "type_of_reporting_person": "IN", "comment_content": "Securities disclosed herein consist of (i) 89,968 shares of common stock and fully vested options to purchase additional 15,000 shares of common stock of the Issuer held directly by Mr. Eachus, (ii) 1,800,748 shares of common stock held directly by Cascadia Holdings Limited (\"Cascadia\") and (iii) 804,503 shares of common stock and warrants to purchase 39,172 shares of common stock, beneficially held by Spike Up Media A.B. and Spike Up Media LLC, which are indirect wholly owned subsidiaries of Cascadia. Beneficial ownership is based on 11,023,699 shares of common stock outstanding. Excludes derivative securities not exercisable within 60 days from the date of the filing of this Amendment No.2 to Schedule 13D." }, { "accession_no": "0001753926-26-000951", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Michael Cribari", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 61052.0, "shared_voting_power": 2644423.0, "sole_dispositive_power": 61052.0, "shared_dispositive_power": 2644423.0, "aggregate_amount_owned": 2705475.0, "percent_of_class": 24.5, "type_of_reporting_person": "IN", "comment_content": "Securities disclosed herein consist of (i) 46,052 shares of common stock and fully vested options to purchase additional 15,000 shares of common stock of the Issuer held directly by Mr. Cribari, (ii) 1,800,748 shares of common stock held directly by Cascadia Holdings Limited (\"Cascadia\") and (iii) 804,503 shares of common stock and warrants to purchase 39,172 shares of common stock, beneficially held by Spike Up Media A.B. and Spike Up Media LLC, indirect wholly owned subsidiaries of Cascadia. Beneficial ownership is based on 11,023,699 shares of common stock outstanding. Excludes derivative securities not exercisable within 60 days from the date of the filing of this Amendment No.2 to Schedule 13D." }, { "accession_no": "0001753926-26-001042", "person_seq": 0, "reporting_person_cik": 2119432, "reporting_person_name": "Taylor Mark Andrew", "fund_type": "OO", "citizenship_or_org": "Q2", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IV", "comment_content": "This constitutes an exit filing for the Reporting Person. The percentage ownership of shares of common stock, par value $0.0001 per share (the \"Common Stock\"), of CDT Equity Inc., a Delaware corporation (the \"Issuer\"), set forth in this Amendment No. 1 to the Schedule 13D (the \"Amendment No. 1\") is based upon 4,722,458 shares of Common Stock outstanding as of June 22, 2026, as independently confirmed by the Issuer." }, { "accession_no": "0001753926-26-001042", "person_seq": 1, "reporting_person_cik": 2120744, "reporting_person_name": "Prospect Capital Securities Ltd", "fund_type": "OO", "citizenship_or_org": "Q2", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "This constitutes an exit filing for the Reporting Person. The percentage ownership of shares of Common Stock set forth in this Amendment No. 1 is based upon 4,722,458 shares of Common Stock outstanding as of June 22, 2026, as independently confirmed by the Issuer." }, { "accession_no": "0001753926-26-001042", "person_seq": 2, "reporting_person_cik": 2120961, "reporting_person_name": "Prospect Finance Ltd", "fund_type": "OO", "citizenship_or_org": "Q2", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "This constitutes an exit filing for the Reporting Person. The percentage ownership of shares of Common Stock set forth in this Amendment No. 1 is based upon 4,722,458 shares of Common Stock outstanding as of June 22, 2026, as independently confirmed by the Issuer." }, { "accession_no": "0001753926-26-001240", "person_seq": 0, "reporting_person_cik": 2134225, "reporting_person_name": "About Investment Pte. Ltd.", "fund_type": "WC", "citizenship_or_org": "U0", "sole_voting_power": 0.0, "shared_voting_power": 20000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000000.0, "aggregate_amount_owned": 20000000.0, "percent_of_class": 67.5, "type_of_reporting_person": "CO", "comment_content": "Rows 8, 10, 11 and 13 reflect beneficial ownership of 20,000,000 common shares issuable upon conversion of 20,000,000 Class A Preferred Shares (each, a \"Preferred Share\") at the current conversion rate of one common share for each Preferred Share. The percentage is calculated pursuant to Rule 13d-3(d)(1) based on 9,613,805 common shares outstanding as of July 16, 2026, plus the 20,000,000 common shares deemed outstanding for the Reporting Persons upon conversion. The Preferred Shares may become convertible at a ratio of two common shares per Preferred Share if the market-price condition described in Item 6occurs; the additional shares subject to that contingent adjustment are not included above." }, { "accession_no": "0001753926-26-001240", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Jiaming Li", "fund_type": "WC", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 20000000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 20000000.0, "aggregate_amount_owned": 20000000.0, "percent_of_class": 67.5, "type_of_reporting_person": "IN", "comment_content": "Rows 8, 10, 11 and 13 reflect shares beneficially owned indirectly through About Investment Pte. Ltd. Mr. Li may be deemed to share voting and dispositive power over the securities held by About Investment Pte. Ltd. The percentage is calculated as described on the preceding reporting-person page." }, { "accession_no": "0001753926-26-001299", "person_seq": 0, "reporting_person_cik": 1841619, "reporting_person_name": "3i, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 446759.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 446759.0, "aggregate_amount_owned": 446759.0, "percent_of_class": 9.9, "type_of_reporting_person": "PN", "comment_content": "As more fully described in Item 5 of this Statement on Schedule 13D (this \"Schedule 13D\"), such shares and percentage are based on 4,407,364 shares of common stock, par value $0.0001 per share, of the Issuer (the \"Common Stock\") outstanding, consisting of (a) 4,151,259 shares of Common Stock as of July 7, 2026 as disclosed in the definitive proxy statement filed by the Issuer with the U.S. Securities and Exchange Commission (\"SEC\") on July 17, 2026 (the \"Proxy Statement\"), plus (b) 256,105 shares of Common Stock issued to 3i, LP on July 19, 2026 pursuant to conversions of certain shares of Series B Preferred Stock (as defined below). Beneficial ownership consists of 382,058 shares of Common Stock directly held by 3i, LP and 64,701 shares of Common Stock issuable in any combination upon (i) exercises of certain common stock purchase warrants (the \"Warrants\") held directly by 3i, LP, which exercises are subject to a 9.99% beneficial ownership limitation provision (a \"Blocker\"), (ii) conversions of a senior secured convertible note in the original principal amount of $16,253,147.10 (the \"Note\") held directly by 3i, LP, which conversions are subject to a Blocker, (iii) conversions of shares of Series B Convertible Preferred Stock, par value $0.0001 per share, of the Issuer (the \"Series B Preferred Stock\") directly held by 3i, LP, which conversions are subject to a Blocker, and (iv) conversions of shares of Series C Convertible Preferred Stock, par value $0.0001 per share, of the Issuer (the \"Series C Preferred Stock\") directly held by the 3i, LP, which conversions are subject to a Blocker." }, { "accession_no": "0001753926-26-001299", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Tumim Stone Capital, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 49242.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 49242.0, "aggregate_amount_owned": 49242.0, "percent_of_class": 1.1, "type_of_reporting_person": "OO", "comment_content": "As more fully described in Item 5 of this Schedule 13D, such shares and percentage are based on 4,407,364 shares of Common Stock outstanding, consisting of (a) 4,151,259 shares of Common Stock as of July 7, 2026 as disclosed in the Proxy Statement, plus (b) 256,105 shares of Common Stock issued to 3i, LP on July 19, 2026 pursuant to conversions of certain shares of Series B Preferred Stock. Beneficial ownership consists of 49,242 shares of Common Stock directly held by Tumim Stone." }, { "accession_no": "0001753926-26-001299", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "3i Management LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 441294.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 441294.0, "aggregate_amount_owned": 441294.0, "percent_of_class": 9.9, "type_of_reporting_person": "OO", "comment_content": "As more fully described in Item 5 of this Schedule 13D, such shares and percentage are based on 4,407,364 shares of Common Stock outstanding, consisting of (a) 4,151,259 shares of Common Stock as of July 7, 2026 as disclosed in the Proxy Statement, plus (b) 256,105 shares of Common Stock issued to 3i, LP on July 19, 2026 pursuant to conversions of certain shares of Series B Preferred Stock. Beneficial ownership consists of 431,300 shares of Common Stock indirectly held by the reporting person and 9,994 shares of Common Stock issuable in any combination upon (i) exercises of the Warrants indirectly held by the reporting person, which exercises are in each case subject to a Blocker, and (ii) conversions of the Note, shares of Series B Preferred Stock and shares of Series C Preferred Stock indirectly held by the reporting person, which conversions are in each case subject to a Blocker." }, { "accession_no": "0001753926-26-001299", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Maier J. Tarlow", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 441294.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 441294.0, "aggregate_amount_owned": 441294.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": "As more fully described in Item 5 of this Schedule 13D, such shares and percentage are based on 4,407,364 shares of Common Stock outstanding, consisting of (a) 4,151,259 shares of Common Stock as of July 7, 2026 as disclosed in the Proxy Statement, plus (b) 256,105 shares of Common Stock issued to 3i, LP on July 19, 2026 pursuant to conversions of certain shares of Series B Preferred Stock. Beneficial ownership consists of 431,300 shares of Common Stock indirectly held by the reporting person and 9,994 shares of Common Stock issuable in any combination upon (i) exercises of the Warrants indirectly held by the reporting person, which exercises are in each case subject to a Blocker, and (ii) conversions of the Note, shares of Series B Preferred Stock and shares of Series C Preferred Stock indirectly held by the reporting person, which conversions are in each case subject to a Blocker." }, { "accession_no": "0001754159-26-000002", "person_seq": 0, "reporting_person_cik": 1754159, "reporting_person_name": "THRC Holdings, LP", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 82452422.0, "shared_voting_power": null, "sole_dispositive_power": 82452422.0, "shared_dispositive_power": null, "aggregate_amount_owned": 82452422.0, "percent_of_class": 45.3, "type_of_reporting_person": "PN", "comment_content": "(1) THRC Holdings owns (i) 80,623,143 shares of Class A Common Stock of Issuer and (ii) 30,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 1,829,279 shares of Class A Common Stock. The general partner of THRC Holdings is THRC Management LLC, a Texas limited liability company. Dan Wilks is the sole member of THRC Management LLC.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 1, "reporting_person_cik": 1641792, "reporting_person_name": "Dan H. Wilks", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 85672155.0, "shared_voting_power": 1071454.0, "sole_dispositive_power": 85672155.0, "shared_dispositive_power": 1071454.0, "aggregate_amount_owned": 86743609.0, "percent_of_class": 47.9, "type_of_reporting_person": "IN", "comment_content": "(1) THRC Holdings owns (i) 80,623,143 shares of Class A Common Stock of Issuer and (ii) 30,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 1,829,279 shares of Class A Common Stock. The general partner of THRC Holdings is THRC Management LLC, a Texas limited liability company. Dan Wilks is the sole member of THRC Management LLC. Heavenly Father's Foundation, a 501(c)(3) private foundation (the \"Foundation\") owns 3,219,733 shares of Class A Common Stock of Issuer. Dan Wilks and his wife, Staci Wilks, are the Trustees of the Foundation. Wilks Brothers LLC, a Texas limited liability company, owns 1,071,454 shares of Class A Common Stock of Issuer. Dan Wilks owns 50% and is a manager of Wilks Brothers.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "THRC Management LLC", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 82452422.0, "shared_voting_power": null, "sole_dispositive_power": 82452422.0, "shared_dispositive_power": null, "aggregate_amount_owned": 82452422.0, "percent_of_class": 45.3, "type_of_reporting_person": "OO", "comment_content": "(1) THRC Holdings owns (i) 80,623,143 shares of Class A Common Stock of Issuer and (ii) 30,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 1,829,279 shares of Class A Common Stock. The general partner of THRC Holdings is THRC Management LLC, a Texas limited liability company. Dan Wilks is the sole member of THRC Management LLC.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 3, "reporting_person_cik": 1641794, "reporting_person_name": "Farris Wilks", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 62667956.0, "shared_voting_power": 2230004.0, "sole_dispositive_power": 4096512.0, "shared_dispositive_power": 60801448.0, "aggregate_amount_owned": 64897960.0, "percent_of_class": 35.7, "type_of_reporting_person": "IN", "comment_content": "(1) Farris Wilks owns 4,096,512 shares of Class A Common Stock. FARJO Holdings, LP, a Texas limited partnership (\"FARJO Holdings\"), owns (i) 7 shares of Class A Common Stock and (ii) 19,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 1,158,543 shares of Class A Common Stock. FARJO Management, LLC, a Texas limited liability company (\"FARJO Management\"), is the general partner of FARJO Holdings. Farris Wilks and Jo Ann Wilks are the members of FARJO Management. The Farris and Jo Ann Wilks 2022 Family Trust, a Texas irrevocable trust (the \"Farris Trust\"), owns 58,571,444 shares of Class A Common Stock. Farris Wilks and Jo Ann Wilks each serve as trustees of the Farris Trust and, in such capacity, share dispositive power over the shares of Class A Common Stock owned by the Farris Trust. Farris Wilks has sole voting power over the shares of Class A Common Stock owned by the Farris Trust. Wilks Brothers LLC, a Texas limited liability company, owns 1,071,454 shares of Class A Common Stock of Issuer. Farris Wilks owns 50% and is a manager of Wilks Brothers.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "FARJO Holdings LP", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 1158550.0, "shared_voting_power": null, "sole_dispositive_power": 1158550.0, "shared_dispositive_power": null, "aggregate_amount_owned": 1158550.0, "percent_of_class": 0.6, "type_of_reporting_person": "PN", "comment_content": "(1) FARJO Holdings, LP, a Texas limited partnership (\"FARJO Holdings\"), owns (i) 7 shares of Class A Common Stock and (ii) 19,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 1,158,543 shares of Class A Common Stock. FARJO Management, LLC, a Texas limited liability company (\"FARJO Management\"), is the general partner of FARJO Holdings. Farris Wilks and Jo Ann Wilks are the members of FARJO Management.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "FARJO MANAGMENT LLC", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 1158550.0, "shared_voting_power": null, "sole_dispositive_power": 1158550.0, "shared_dispositive_power": null, "aggregate_amount_owned": 1158550.0, "percent_of_class": 0.6, "type_of_reporting_person": "OO", "comment_content": "(1) FARJO Holdings, LP, a Texas limited partnership (\"FARJO Holdings\"), owns (i) 7 shares of Class A Common Stock and (ii) 19,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 1,158,543 shares of Class A Common Stock. FARJO Management, LLC, a Texas limited liability company (\"FARJO Management\"), is the general partner of FARJO Holdings. Farris Wilks and Jo Ann Wilks are the members of FARJO Management.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 6, "reporting_person_cik": null, "reporting_person_name": "Farris and Jo Ann Wilks 2022 Family Trust", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 58571444.0, "shared_voting_power": null, "sole_dispositive_power": 58571444.0, "shared_dispositive_power": null, "aggregate_amount_owned": 58571444.0, "percent_of_class": 32.2, "type_of_reporting_person": "OO", "comment_content": "(1) The Farris and Jo Ann Wilks 2022 Family Trust, a Texas irrevocable trust (the \"Farris Trust\"), owns 58,571,444 shares of Class A Common Stock. Farris Wilks and Jo Ann Wilks each serve as trustees of the Farris Trust and, in such capacity, share dispositive power over the shares of Class A Common Stock owned by the Farris Trust. Farris Wilks has sole voting power over the shares of Class A Common Stock owned by the Farris Trust.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 7, "reporting_person_cik": 1696102, "reporting_person_name": "Matthew Wilks", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 2210224.0, "shared_voting_power": null, "sole_dispositive_power": 2210224.0, "shared_dispositive_power": null, "aggregate_amount_owned": 2210224.0, "percent_of_class": 1.2, "type_of_reporting_person": "IN", "comment_content": "(1) Matthew D. Wilks owns 1,788,127 shares of Class A Common Stock of Issuer. Matthew D. Wilks is the Vice President of Investments of THRC Holdings and Executive Chairman of the Issuer. JCMWZ, LLC owns 420,097 shares of Class A Common Stock of Issuer. Matthew D. Wilks is the Manager of JCMWZ, LLC and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 8, "reporting_person_cik": 1928401, "reporting_person_name": "Jo Ann Wilks", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 1158550.0, "sole_dispositive_power": null, "shared_dispositive_power": 59729994.0, "aggregate_amount_owned": 59729994.0, "percent_of_class": 32.8, "type_of_reporting_person": "IN", "comment_content": "(1) FARJO Holdings, LP, a Texas limited partnership (\"FARJO Holdings\"), owns (i) 7 shares of Class A Common Stock and (ii) 19,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 1,158,543 shares of Class A Common Stock. FARJO Management, LLC, a Texas limited liability company (\"FARJO Management\"), is the general partner of FARJO Holdings. Farris Wilks and Jo Ann Wilks are the members of FARJO Management. The Farris and Jo Ann Wilks 2022 Family Trust, a Texas irrevocable trust (the \"Farris Trust\"), owns 58,571,444 shares of Class A Common Stock. Farris Wilks and Jo Ann Wilks each serve as trustees of the Farris Trust and, in such capacity, share dispositive power over the shares of Class A Common Stock owned by the Farris Trust. Farris Wilks has sole voting power over the shares of Class A Common Stock owned by the Farris Trust.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "Heavenly Father's Foundation", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 32179733.0, "shared_voting_power": null, "sole_dispositive_power": 3219733.0, "shared_dispositive_power": null, "aggregate_amount_owned": 3219733.0, "percent_of_class": 1.8, "type_of_reporting_person": "OO", "comment_content": "(1) Heavenly Father's Foundation, a 501(c)(3) private foundation (the \"Foundation\") owns 3,219,733 shares of Class A Common Stock of Issuer. Dan Wilks and his wife, Staci Wilks, are the Trustees of the Foundation.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001754159-26-000002", "person_seq": 10, "reporting_person_cik": 1662888, "reporting_person_name": "Wilks Brothers LLC", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 1071454.0, "shared_voting_power": null, "sole_dispositive_power": 1071454.0, "shared_dispositive_power": null, "aggregate_amount_owned": 1071454.0, "percent_of_class": 0.6, "type_of_reporting_person": "OO", "comment_content": "(1) Wilks Brothers LLC, a Texas limited liability company, owns 1,071,454 shares of Class A Common Stock of Issuer. Dan Wilks owns 50% and is a manager of Wilks Brothers. Farris Wilks owns 50% and is a manager of Wilks Brothers.\n\n(2) This calculation is based on (i) 180,920,753 shares of Class A Common Stock outstanding as of May 1, 2026, as disclosed on the Issuer's Form 10-Q filed with the SEC on May 8, 2026 which includes 50,000 shares of Series A Redeemable Convertible Preferred Stock that are convertible into 3,0489,798 shares of Class A Common Stock and (ii) 1,071,454 shares of Class A Common Stock issued to Wilks Brothers LLC on June 25, 2026." }, { "accession_no": "0001763409-26-000001", "person_seq": 0, "reporting_person_cik": 1763409, "reporting_person_name": "Cynosure Group, LLC", "fund_type": "OO", "citizenship_or_org": "UT", "sole_voting_power": 0.0, "shared_voting_power": 21831316.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21831316.0, "aggregate_amount_owned": 21831316.0, "percent_of_class": 52.6, "type_of_reporting_person": "IA", "comment_content": "The number in Rows (8), (10) and (11) consists of (a) 2,035,904 shares of Class A Common Stock, comprised of (i) 1,916,012 shares of Class A Common Stock held by Cynosure Partners III Offshore, LP and (ii) 119,892 shares of Class A Common Stock held by Cynosure Partners III, LP and (b) 19,795,412 shares of Class A Common Stock issuable upon the conversion of an equal number of limited liability company units (\"LLC Units\") of Black Rock Coffee Holdings, LLC, a Delaware limited liability company and subsidiary of the Issuer, on a one-for-one basis, and forfeiture of a corresponding number of shares of Class B Common Stock, comprised of (i) 3,514,041 shares of Class B Common Stock held by Cynosure Partners 2020, LP, (ii) 260,660 shares of Class B Common Stock held by Cynosure Partners 2020 PV, LP, (iii) 660,106 shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC (for and on behalf of Series A members), (iv) 1,247,093 shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC (for and on behalf of Series B members), and (v) 14,113,512 shares of Class B Common Stock held by Cynosure Partners III, LP. The Cynosure Group, LLC, is the manager for, and has sole voting and investment power with respect to, the shares of Class A and Class B Common Stock held by the Reporting Persons.\nThe percentage in Row (13) is calculated assuming 21,692,785 shares of Class A common stock outstanding plus 19,795,412 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by the Reporting Persons." }, { "accession_no": "0001763409-26-000001", "person_seq": 1, "reporting_person_cik": 1826569, "reporting_person_name": "Cynosure Partners 2020, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3514041.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3514041.0, "aggregate_amount_owned": 3514041.0, "percent_of_class": 13.9, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 3,514,041 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners 2020, LP." }, { "accession_no": "0001763409-26-000001", "person_seq": 2, "reporting_person_cik": 1840055, "reporting_person_name": "Cynosure Partners 2020 PV, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 260660.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 260660.0, "aggregate_amount_owned": 260660.0, "percent_of_class": 1.2, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 260,660 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners 2020 PV, LP." }, { "accession_no": "0001763409-26-000001", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Cynosure Partners 2020 Co-investment, LLC (for and on behalf of Series A members)", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 660106.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 660106.0, "aggregate_amount_owned": 660106.0, "percent_of_class": 3.0, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 660,106 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC for and on behalf of Series A members." }, { "accession_no": "0001763409-26-000001", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Cynosure Partners 2020 Co-Investment, LLC (for and on behalf of Series B members)", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1247093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1247093.0, "aggregate_amount_owned": 1247093.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 1,247,093 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC for and on behalf of Series B members." }, { "accession_no": "0001763409-26-000001", "person_seq": 5, "reporting_person_cik": 1951018, "reporting_person_name": "Cynosure Partners III, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14233404.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14233404.0, "aggregate_amount_owned": 14233404.0, "percent_of_class": 39.6, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 14,113,512 shares of Class A Common Stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners III, LP." }, { "accession_no": "0001763409-26-000001", "person_seq": 6, "reporting_person_cik": 2050077, "reporting_person_name": "Cynosure Partners III Offshore, LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1916012.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1916012.0, "aggregate_amount_owned": 1916012.0, "percent_of_class": 8.8, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding." }, { "accession_no": "0001763409-26-000002", "person_seq": 0, "reporting_person_cik": 1763409, "reporting_person_name": "Cynosure Group, LLC", "fund_type": "OO", "citizenship_or_org": "UT", "sole_voting_power": 0.0, "shared_voting_power": 21831316.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21831316.0, "aggregate_amount_owned": 21831316.0, "percent_of_class": 52.6, "type_of_reporting_person": "IA", "comment_content": "The number in Rows (8), (10) and (11) consists of (a) 2,035,904 shares of Class A Common Stock, comprised of (i) 1,916,012 shares of Class A Common Stock held by Cynosure Partners III Offshore, LP and (ii) 119,892 shares of Class A Common Stock held by Cynosure Partners III, LP and (b) 19,795,412 shares of Class A Common Stock issuable upon the conversion of an equal number of limited liability company units (\"LLC Units\") of Black Rock Coffee Holdings, LLC, a Delaware limited liability company and subsidiary of the Issuer, on a one-for-one basis, and forfeiture of a corresponding number of shares of Class B Common Stock, comprised of (i) 3,514,041 shares of Class B Common Stock held by Cynosure Partners 2020, LP, (ii) 260,660 shares of Class B Common Stock held by Cynosure Partners 2020 PV, LP, (iii) 660,106 shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC (for and on behalf of Series A members), (iv) 1,247,093 shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC (for and on behalf of Series B members), and (v) 14,113,512 shares of Class B Common Stock held by Cynosure Partners III, LP. The Cynosure Group, LLC, is the manager for, and has sole voting and investment power with respect to, the shares of Class A and Class B Common Stock held by the Reporting Persons.\nThe percentage in Row (13) is calculated assuming 21,692,785 shares of Class A common stock outstanding plus 19,795,412 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by the Reporting Persons." }, { "accession_no": "0001763409-26-000002", "person_seq": 1, "reporting_person_cik": 1826569, "reporting_person_name": "Cynosure Partners 2020, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3514041.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3514041.0, "aggregate_amount_owned": 3514041.0, "percent_of_class": 13.9, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 3,514,041 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners 2020, LP." }, { "accession_no": "0001763409-26-000002", "person_seq": 2, "reporting_person_cik": 1840055, "reporting_person_name": "Cynosure Partners 2020 PV, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 260660.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 260660.0, "aggregate_amount_owned": 260660.0, "percent_of_class": 1.2, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 260,660 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners 2020 PV, LP." }, { "accession_no": "0001763409-26-000002", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Cynosure Partners 2020 Co-investment, LLC (for and on behalf of Series A members)", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 660106.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 660106.0, "aggregate_amount_owned": 660106.0, "percent_of_class": 3.0, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 660,106 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC for and on behalf of Series A members." }, { "accession_no": "0001763409-26-000002", "person_seq": 4, "reporting_person_cik": null, "reporting_person_name": "Cynosure Partners 2020 Co-Investment, LLC (for and on behalf of Series B members)", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1247093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1247093.0, "aggregate_amount_owned": 1247093.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 1,247,093 shares of Class A common stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners 2020 Co-Investment, LLC for and on behalf of Series B members." }, { "accession_no": "0001763409-26-000002", "person_seq": 5, "reporting_person_cik": 1951018, "reporting_person_name": "Cynosure Partners III, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14233404.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14233404.0, "aggregate_amount_owned": 14233404.0, "percent_of_class": 39.8, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding plus 14,113,512 shares of Class A Common Stock issuable in respect of an equivalent number of LLC Units and shares of Class B Common Stock held by Cynosure Partners III, LP." }, { "accession_no": "0001763409-26-000002", "person_seq": 6, "reporting_person_cik": 2050077, "reporting_person_name": "Cynosure Partners III Offshore, LP", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1916012.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1916012.0, "aggregate_amount_owned": 1916012.0, "percent_of_class": 8.8, "type_of_reporting_person": "PN", "comment_content": "The percentage in Row (13) is calculated assuming 21,692,785 shares of Class A Common Stock outstanding." }, { "accession_no": "0001805207-26-000003", "person_seq": 0, "reporting_person_cik": 1805207, "reporting_person_name": "Lightspeed Venture Partners Select IV, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": null, "shared_voting_power": 2084240.0, "sole_dispositive_power": null, "shared_dispositive_power": 2084240.0, "aggregate_amount_owned": 2084240.0, "percent_of_class": 2.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 1, "reporting_person_cik": 1813995, "reporting_person_name": "Lightspeed General Partner Select IV, L.P.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2084240.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2084240.0, "aggregate_amount_owned": 2084240.0, "percent_of_class": 2.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 2, "reporting_person_cik": 1813999, "reporting_person_name": "Lightspeed Ultimate General Partner Select IV, L.L.C.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2084240.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2084240.0, "aggregate_amount_owned": 2084240.0, "percent_of_class": 2.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 3, "reporting_person_cik": 1602575, "reporting_person_name": "Lightspeed Venture Partners Select, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1958726.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1958726.0, "aggregate_amount_owned": 1958726.0, "percent_of_class": 1.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 4, "reporting_person_cik": 1700551, "reporting_person_name": "Lightspeed General Partner Select, L.P.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1958726.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1958726.0, "aggregate_amount_owned": 1958726.0, "percent_of_class": 1.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 5, "reporting_person_cik": 1700544, "reporting_person_name": "Lightspeed Ultimate General Partner Select, Ltd.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1958726.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1958726.0, "aggregate_amount_owned": 1958726.0, "percent_of_class": 1.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 6, "reporting_person_cik": 1435573, "reporting_person_name": "Lightspeed Venture Partners VIII, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2058884.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2058884.0, "aggregate_amount_owned": 2058884.0, "percent_of_class": 2.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 7, "reporting_person_cik": 1522569, "reporting_person_name": "Lightspeed General Partner VIII, L.P.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2058884.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2058884.0, "aggregate_amount_owned": 2058884.0, "percent_of_class": 2.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 8, "reporting_person_cik": 1522568, "reporting_person_name": "Lightspeed Ultimate General Partner VIII, Ltd.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 2058884.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2058884.0, "aggregate_amount_owned": 2058884.0, "percent_of_class": 2.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 9, "reporting_person_cik": null, "reporting_person_name": "LSVP VIII Trust", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2058884.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2058884.0, "aggregate_amount_owned": 2058884.0, "percent_of_class": 2.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001805207-26-000003", "person_seq": 10, "reporting_person_cik": null, "reporting_person_name": "Lightspeed Trustee VIII, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2058884.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2058884.0, "aggregate_amount_owned": 2058884.0, "percent_of_class": 2.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001812409-26-000001", "person_seq": 0, "reporting_person_cik": 1812409, "reporting_person_name": "Field Michael L", "fund_type": "PF", "citizenship_or_org": "VA", "sole_voting_power": 86883146.0, "shared_voting_power": 0.0, "sole_dispositive_power": 86883146.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 86883146.0, "percent_of_class": 31.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001813314-26-000008", "person_seq": 0, "reporting_person_cik": 1813844, "reporting_person_name": "BIOS ADVISORS GP, LLC", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 571305.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 571305.0, "aggregate_amount_owned": 571305.0, "percent_of_class": 4.48, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of (i) 151,759 Shares directly held by Bios Fund I, (ii) 88,769 Shares directly held by Bios Fund I QP, (iii) 26,093 Shares directly held by BP Directors (iv) 64,794 Shares directly held by Bios Fund II, (v) 211,566 Shares directly held by Bios Fund II QP and (vi) 28,324 Shares directly held by Bios Fund II NT. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and BP Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Management is a general partner of Bios Equity I and Bios Equity II. Bios Advisors GP, LLC (Bios Advisors) is the general partner of Bios Management, and therefore, may be deemed to have shared voting and/or dispositive power with respect to securities directly held by the Bios Equity Entities. Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 1, "reporting_person_cik": 1789490, "reporting_person_name": "AARON G.L. FLETCHER", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 571305.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 571305.0, "aggregate_amount_owned": 571305.0, "percent_of_class": 4.48, "type_of_reporting_person": "IN", "comment_content": "Shared voting and dispositive power consists of (i) 151,759 Shares directly held by Bios Fund I, (ii) 88,769 Shares directly held by Bios Fund I QP, (iii) 26,093 Shares directly held by BP Directors (iv) 64,794 Shares directly held by Bios Fund II, (v) 211,566 Shares directly held by Bios Fund II QP and (vi) 28,324 Shares directly held by Bios Fund II NT. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and BP Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Management is a general partner of Bios Equity I and Bios Equity II. Bios Advisors, an entity controlled by Dr. Fletcher, is the general partner of Bios Management. As the manager of Bios Advisors, Dr. Fletcher may be deemed to have shared voting and/or dispositive power with respect to securities directly held by the Bios Equity Entities. Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 2, "reporting_person_cik": 1813270, "reporting_person_name": "CAVU MANAGEMENT, LP", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 571305.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 571305.0, "aggregate_amount_owned": 571305.0, "percent_of_class": 4.48, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of (i) 151,759 Shares directly held by Bios Fund I, (ii) 88,769 Shares directly held by Bios Fund I QP, (iii) 26,093 Shares directly held by BP Directors (iv) 64,794 Shares directly held by Bios Fund II, (v) 211,566 Shares directly held by Bios Fund II QP and (vi) 28,324 Shares directly held by Bios Fund II NT. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and BP Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Management is a general partner of Bios Equity I and Bios Equity II. Bios Advisors GP, LLC (Bios Advisors) is the general partner of Bios Management, and therefore, may be deemed to have shared voting and/or dispositive power with respect to securities directly held by the Bios Equity Entities. Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 3, "reporting_person_cik": 1813310, "reporting_person_name": "CAVU ADVISORS, LLC", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 571305.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 571305.0, "aggregate_amount_owned": 571305.0, "percent_of_class": 4.48, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of (i) 151,759 Shares directly held by Bios Fund I, (ii) 88,769 Shares directly held by Bios Fund I QP, (iii) 26,093 Shares directly held by BP Directors (iv) 64,794 Shares directly held by Bios Fund II, (v) 211,566 Shares directly held by Bios Fund II QP and (vi) 28,324 Shares directly held by Bios Fund II NT. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and BP Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Management is a general partner of Bios Equity I and Bios Equity II. Bios Advisors GP, LLC (Bios Advisors) is the general partner of Bios Management, and therefore, may be deemed to have shared voting and/or dispositive power with respect to securities directly held by the Bios Equity Entities. Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 4, "reporting_person_cik": 1813316, "reporting_person_name": "LESLIE W. KREIS", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 571305.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 571305.0, "aggregate_amount_owned": 571305.0, "percent_of_class": 4.48, "type_of_reporting_person": "IN", "comment_content": "Shared voting and dispositive power consists of (i) 151,759 Shares directly held by Bios Fund I, (ii) 88,769 Shares directly held by Bios Fund I QP, (iii) 26,093 Shares directly held by BP Directors (iv) 64,794 Shares directly held by Bios Fund II, (v) 211,566 Shares directly held by Bios Fund II QP and (vi) 28,324 Shares directly held by Bios Fund II NT. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and BP Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and BP Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Cavu Management is a general partner of Bios Equity I and Bios Equity II. Cavu Advisors, an entity controlled by Mr. Kreis, is the general partner of Cavu Management. As the manager of Cavu Advisors, Mr. Kreis may be deemed to have shared voting and/or dispositive power with respect to securities directly held by the Bios Equity Entities. Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 5, "reporting_person_cik": 1813314, "reporting_person_name": "BIOS EQUITY PARTNERS, LP", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 266621.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 266621.0, "aggregate_amount_owned": 266621.0, "percent_of_class": 2.09, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of (i) 151,759 Shares directly held by Bios Fund I, (ii) 88,769 Shares directly held by Bios Fund I QP, and (iii) 26,093 Shares directly held by BP Directors. Bios Equity Partners, LP (Bios Equity I) is the general partner of Bios Fund I, Bios Fund I QP and BP Directors. In its capacity as the general partner of these entities, Bios Equity I may be deemed to have shared voting and/or dispositive power with respect to securities directly held by these entities. Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 6, "reporting_person_cik": 1813313, "reporting_person_name": "BIOS EQUITY PARTNERS II, LP", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 304684.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 304684.0, "aggregate_amount_owned": 304684.0, "percent_of_class": 2.39, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of (i) 64,794 Shares directly held by Bios Fund II, (ii) 211,566 Shares directly held by Bios Fund II QP and (iii) 28,324 Shares directly held by Bios Fund II NT. Bios Equity Partners II, LP (Bios Equity II) is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. In its capacity as the general partner of these entities, Bios Equity II may be deemed to have shared voting and/or dispositive power with respect to Shares directly or indirectly held by these entities. Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 7, "reporting_person_cik": 1813845, "reporting_person_name": "BIOS CAPITAL MANAGEMENT, LP", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 571305.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 571305.0, "aggregate_amount_owned": 571305.0, "percent_of_class": 4.48, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of (i) 151,759 Shares directly held by Bios Fund I, (ii) 88,769 Shares directly held by Bios Fund I QP, (iii) 26,093 Shares directly held by BP Directors (iv) 64,794 Shares directly held by Bios Fund II, (v) 211,566 Shares directly held by Bios Fund II QP and (vi) 28,324 Shares directly held by Bios Fund II NT. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and BP Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Management is a general partner of Bios Equity I and Bios Equity II. Bios Advisors GP, LLC (Bios Advisors) is the general partner of Bios Management, and therefore, may be deemed to have shared voting and/or dispositive power with respect to securities directly held by the Bios Equity Entities. Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 8, "reporting_person_cik": 1728851, "reporting_person_name": "BIOS FUND II NT, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 28324.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 28324.0, "aggregate_amount_owned": 28324.0, "percent_of_class": 0.22, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of Shares directly held by Bios Fund II NT, LP (\"Bios Fund II NT\"). Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 9, "reporting_person_cik": 1716869, "reporting_person_name": "BIOS FUND II QP, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 211566.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 211566.0, "aggregate_amount_owned": 211566.0, "percent_of_class": 1.66, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of Shares directly held by Bios Fund II QP, LP (\"Bios Fund II QP\"). Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 10, "reporting_person_cik": 1714576, "reporting_person_name": "BIOS FUND II, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 64794.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 64794.0, "aggregate_amount_owned": 64794.0, "percent_of_class": 0.51, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of Shares directly held by Bios Fund II, LP (\"Bios Fund II\"). Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 11, "reporting_person_cik": 1813311, "reporting_person_name": "BP DIRECTORS, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 26093.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 26093.0, "aggregate_amount_owned": 26093.0, "percent_of_class": 0.2, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of Shares directly held by BP Directors, LP (\"BP Directors\"). Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 12, "reporting_person_cik": 1700297, "reporting_person_name": "BIOS FUND I QP, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 88769.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 88769.0, "aggregate_amount_owned": 88769.0, "percent_of_class": 0.7, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of Shares directly held by Bios Fund I QP, LP (\"Bios Fund I QP\"). Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001813314-26-000008", "person_seq": 13, "reporting_person_cik": 1697316, "reporting_person_name": "Bios Fund I, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 151759.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 151759.0, "aggregate_amount_owned": 151759.0, "percent_of_class": 1.19, "type_of_reporting_person": "PN", "comment_content": "Shared voting and dispositive power consists of shares of common stock, par value $0.0001 per share (\"Shares\") directly held by Bios Fund I, LP (\"Bios Fund I\"). Percentage based on 12,758,872 outstanding Shares, consisting of (i) 11,304,697 shares as reported in the Form 10-K filed by the Issuer on April 29, 2026, and (ii) 1,454,175 shares as reported in the Form 8-K filed by the Issuer on May 14, 2026." }, { "accession_no": "0001815572-26-000004", "person_seq": 0, "reporting_person_cik": 1815572, "reporting_person_name": "ASKELADDEN CAPITAL MANAGEMENT LLC", "fund_type": "WC", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 32354.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32354.0, "aggregate_amount_owned": 32354.0, "percent_of_class": 0.4, "type_of_reporting_person": "IA", "comment_content": "Items 8, 10, and 11 represent 32,354 shares of Common Stock of the Issuer held by client accounts of Askeladden Capital Management LLC, ('Askeladden') the investment adviser.\n\nThis calculation is based on 7,747,772 shares of Common Stock of the Issuer outstanding as of June 4, 2026, as disclosed in the Issuer's Form 10-Q, filed with the SEC on June 8 2026, for the quarterly period ended April 30, 2026." }, { "accession_no": "0001815572-26-000004", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Samir Patel", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 32354.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 32354.0, "aggregate_amount_owned": 32354.0, "percent_of_class": 0.4, "type_of_reporting_person": "IA", "comment_content": "Samir Patel is the Principal of Askeladden. Askeladden client accounts are the record and direct beneficial owner of the securities covered by this statement. As the Principal of Askeladden, Mr. Patel may be deemed to beneficially own the securities covered by this statement." }, { "accession_no": "0001819848-26-000334", "person_seq": 0, "reporting_person_cik": 1782533, "reporting_person_name": "Sciarra Paul Cahill", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 56520980.0, "shared_voting_power": 0.0, "sole_dispositive_power": 56520980.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 56520980.0, "percent_of_class": 5.7, "type_of_reporting_person": "IN", "comment_content": "Explanatory Note\n\nThis Amendment No. 1 to Schedule 13D (this \"Amendment No. 1\") amends and supplements the Statement on Schedule 13D filed with the United States Securities and Exchange Commission on February 22, 2022 (as amended to date, the \"Schedule 13D\") relating to the common stock, par value $0.0001 per share (the \"Common Stock\"), of Joby Aviation, Inc., a Delaware corporation (the \"Issuer\"). Capitalized terms used herein without definition shall have the meaning set forth in the Schedule 13D." }, { "accession_no": "0001828791-26-000063", "person_seq": 0, "reporting_person_cik": 1284309, "reporting_person_name": "Larry Madden", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1076418.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1076418.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1076418.0, "percent_of_class": 5.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001829126-26-005261", "person_seq": 0, "reporting_person_cik": 1207638, "reporting_person_name": "IAN T BOTHWELL", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 1195094.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1195094.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1195094.0, "percent_of_class": 14.7, "type_of_reporting_person": "IN", "comment_content": "The number of shares Beneficially Owned by the Reporting Person consists of 1,195,094 shares of common stock (including 87,500 shares of restricted stock vesting on July 14, 2026, 187,500 shares issuable upon exercise of warrants and 180,000 shares issuable upon exercise of options held by the Reporting Person) representing 14.7% of the voting power based on 7,777,441 shares of common stock outstanding as of March 16, 2026, as reported by the Issuer in its January 31, 2026 Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on March 17, 2026 and giving effect to the exercise of the warrants and options held by the Reporting Person. In addition, the Reporting Person holds 50 shares of Series C Preferred Stock which provides the Reporting Person with an additional 25.5% of the total voting power. Accordingly, the Reporting Person's aggregate voting power is equal to 40.2%." }, { "accession_no": "0001829126-26-006681", "person_seq": 0, "reporting_person_cik": 1200461, "reporting_person_name": "Leonard M. Tannenbaum", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 6516775.0, "shared_voting_power": 180400.0, "sole_dispositive_power": 6516775.0, "shared_dispositive_power": 180400.0, "aggregate_amount_owned": 6697175.0, "percent_of_class": 29.4, "type_of_reporting_person": "IN", "comment_content": "This Amendment No. 7 to Schedule 13D (this \"Amendment No. 7\") amends and supplements the Schedule 13D originally filed with the Securities and Exchange Commission (the \"SEC\") by Leonard M. Tannenbaum (the \"Reporting Person\") with respect to Advanced Flower Capital Inc. (the \"Issuer\") on April 2, 2021 (the \"Schedule 13D\"), as amended by Amendment No. 1 to Schedule 13D filed on July 2, 2024, Amendment No. 2 to Schedule 13D filed on August 26, 2025, Amendment No. 3 to Schedule 13D filed on August 29, 2025, Amendment No. 4 to Schedule 13D filed on November 24, 2025, Amendment No. 5 to Schedule 13D filed on March 11, 2026 and Amendment No. 6 to Schedule 13D filed on March 24, 2026. This Amendment No. 7 is being filed to report changes in the Reporting Person's beneficial ownership of the Issuer's common stock, par value $0.01 per share (the \"Common Stock\"). Since the filing of the Reporting Person's most recent Schedule 13D/A, the Reporting Person has acquired additional shares of the Issuer's Common Stock that resulted in an increase in the Reporting Person's beneficial ownership by more than one percent (1%) of the outstanding shares of the Issuer's Common Stock. As the aggregate result of the transactions described herein, the Reporting Person's aggregate beneficial ownership of the Issuer' Commons Stock has increased by approximately 1.5 percentage points since the filing of the most recent Schedule 13D/A. The Schedule 13D is hereby amended and supplemented to include the information set forth herein. Capitalized terms not defined herein have the meanings given to such terms in the Schedule 13D. Except as set forth herein, the Schedule 13D is unmodified. Lines 7 and 9 consist of 6,516,775 shares of the Issuer's Common Stock held directly by the Reporting Person. Lines 8 and 10 consist of 180,400 shares of Common Stock held by the Tannenbaum Family Foundation (formerly known as the Leonard M. Tannenbaum Foundation), for which the Reporting Person serves as the President, over which the Reporting Person disclaims beneficial ownership, except to the extent of his pecuniary interest. The Schedule 13D excludes 225,907 shares of Common Stock held by Ms. Robyn Tannenbaum, the Reporting Person's spouse, over which the Reporting Person disclaims beneficial ownership. Line 13 is based on the 22,809,064 shares of Common Stock outstanding as of June 17, 2026, as reported in the Issuer's Form 8-K, filed with the SEC on June 18, 2026." }, { "accession_no": "0001829126-26-006949", "person_seq": 0, "reporting_person_cik": 2120637, "reporting_person_name": "Yao Yun", "fund_type": "PF", "citizenship_or_org": "C3", "sole_voting_power": 41991000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 41991000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 41991000.0, "percent_of_class": 31.51, "type_of_reporting_person": "IN", "comment_content": "Yun Yao beneficially owns 41,991,000 shares of the Issuer's Common Stock. Such shares were acquired pursuant to the Securities Purchase Agreement, dated as of March 19, 2026 (the \"Purchase Agreement\"), and were issued upon the conversion of the Issuer's Series AA and Series AAA Preferred Stock in connection with the closing of the transaction on March 23, 2026. All percentage calculations herein are based on 133,242,324 shares of Common Stock outstanding of the issuer as of June 24, 2026, based on information provided in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 24, 2026. Please also refer to the Schedule 13D filed by Yun Yao on behalf of Yun Yao, Sino Lion Ventures Limited, Chenhao Xu, Junyi Dai, Ting Yang and Lina Deng with the Securities and Exchange Commission on March 30, 2026 and all amendments to date." }, { "accession_no": "0001829126-26-006950", "person_seq": 0, "reporting_person_cik": 2120636, "reporting_person_name": "Yang Ting", "fund_type": "PF", "citizenship_or_org": "X0", "sole_voting_power": 11250000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11250000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11250000.0, "percent_of_class": 8.44, "type_of_reporting_person": "IN", "comment_content": "Ting Yang beneficially owns 11,250,000 shares of the Issuer's Common Stock. Such shares were acquired pursuant to the Securities Purchase Agreement, dated as of March 19, 2026 (the \"Purchase Agreement\"), and were issued upon the conversion of the Issuer's Series AA and Series AAA Preferred Stock in connection with the closing of the transaction on March 23, 2026. All percentage calculations herein are based on 133,242,324 shares of Common Stock outstanding of the issuer as of June 24, 2026, based on information provided in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 24, 2026. Please also refer to the Schedule 13D filed by Yun Yao on behalf of Yun Yao, Sino Lion Ventures Limited, Chenhao Xu, Junyi Dai, Ting Yang and Lina Deng with the Securities and Exchange Commission on March 30, 2026 and all amendments to date." }, { "accession_no": "0001829126-26-006951", "person_seq": 0, "reporting_person_cik": 2022463, "reporting_person_name": "Dai Junyi", "fund_type": "PF", "citizenship_or_org": "C3", "sole_voting_power": 11250000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11250000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11250000.0, "percent_of_class": 8.44, "type_of_reporting_person": "IN", "comment_content": "Junyi Dai beneficially owns 11,250,000 shares of the Issuer's Common Stock. Such shares were acquired pursuant to the Securities Purchase Agreement, dated as of March 19, 2026 (the \"Purchase Agreement\"), and were issued upon the conversion of the Issuer's Series AA and Series AAA Preferred Stock in connection with the closing of the transaction on March 23, 2026. All percentage calculations herein are based on 133,242,324 shares of Common Stock outstanding of the issuer as of June 24, 2026, based on information provided in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 24, 2026. Please also refer to the Schedule 13D filed by Yun Yao on behalf of Yun Yao, Sino Lion Ventures Limited, Chenhao Xu, Junyi Dai, Ting Yang and Lina Deng with the Securities and Exchange Commission on March 30, 2026 and all amendments to date." }, { "accession_no": "0001829126-26-006953", "person_seq": 0, "reporting_person_cik": 2120638, "reporting_person_name": "Sino Lion Ventures Ltd", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 0.0, "shared_voting_power": 38895000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38895000.0, "aggregate_amount_owned": 38895000.0, "percent_of_class": 29.19, "type_of_reporting_person": "CO", "comment_content": "Sino Lion Ventures Limited beneficially owns 38,895,000 shares of the Issuer's Common Stock. Such shares were acquired pursuant to the Securities Purchase Agreement, dated as of March 19, 2026 (the \"Purchase Agreement\"), and were issued upon the conversion of the Issuer's Series AA and Series AAA Preferred Stock in connection with the closing of the transaction on March 23, 2026. All percentage calculations herein are based on 133,242,324 shares of Common Stock outstanding of the issuer as of June 24, 2026, based on information provided in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 24, 2026. Please also refer to the Schedule 13D filed by Yun Yao on behalf of Yun Yao, Sino Lion Ventures Limited, Chenhao Xu, Junyi Dai, Ting Yang and Lina Deng with the Securities and Exchange Commission on March 30, 2026 and all amendments to date." }, { "accession_no": "0001829126-26-006953", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Chenhao Xu", "fund_type": "WC", "citizenship_or_org": "X0", "sole_voting_power": 0.0, "shared_voting_power": 38895000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 38895000.0, "aggregate_amount_owned": 38895000.0, "percent_of_class": 29.19, "type_of_reporting_person": "IN", "comment_content": "Chenhao Xu is the controlling person of Sino Lion Ventures Limited, a purchaser under the Purchase Agreement. Such shares were acquired pursuant to the Purchase Agreement, and were issued upon the conversion of the Issuer's Series AA and Series AAA Preferred Stock in connection with the closing of the transaction on March 23, 2026. All percentage calculations herein are based on 133,242,324 shares of Common Stock outstanding of the issuer as of June 24, 2026, based on information provided in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 24, 2026. Mr. Xu disclaims beneficial ownership of the shares held by Sino Lion Ventures Limited., except to the extent of his pecuniary interest therein. Please also refer to the Schedule 13D filed by Yun Yao on behalf of Yun Yao, Sino Lion Ventures Limited, Chenhao Xu, Junyi Dai, Ting Yang and Lina Deng with the Securities and Exchange Commission on March 30, 2026 and all amendments to date." }, { "accession_no": "0001829126-26-007163", "person_seq": 0, "reporting_person_cik": 1999214, "reporting_person_name": "Bhisham Khare", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 544828.0, "shared_voting_power": 0.0, "sole_dispositive_power": 544828.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 544828.0, "percent_of_class": 9.1, "type_of_reporting_person": "IN", "comment_content": "Note to Rows 7 and 9: Includes (i) the right to acquire up to 106,398 Class A ordinary shares, par value $0.0008 per share (the \"Class A Ordinary Shares\"), of Aeries Technology, Inc. (the \"Issuer\") pursuant to that certain Exchange Agreement (the \"Exchange Agreement\") (see Item 6), issuable pursuant to the exercise of exchange rights by the Aeries Employee Stock Option Trust (\"ESOP Trust\"), for which the reporting person is a beneficiary, and assumes distribution of the underlying shares by the ESOP Trust to the reporting person prior to an exchange for Class A Ordinary Shares (the \"Exchange Shares\") and (ii) the right to acquire 125,000 Class A Ordinary Shares (the \"Option Shares\") upon the exercise of a Stock Option granted on May 28, 2026 pursuant to the Company's 2023 Equity Incentive Plan, as amended.\n\nNote to Row 13: The percentages reported in this Amendment No. 3 to Schedule 13D (this \"Amendment\") are based upon the deemed to be outstanding shares of Common Stock pursuant to Rule 13d-3(d)(1) of the Securities Exchange Act of 1934, as amended (\"Rule 13d-3(d)(1)\"), which includes (i) 5,739,349 Class A Ordinary Shares outstanding as of June 12, 2026 (according to the Issuer's Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission on June 12, 2026 (the \"Form 8-K\")) plus (ii) the Exchange Shares, plus (iii) the Option Shares." }, { "accession_no": "0001829126-26-007224", "person_seq": 0, "reporting_person_cik": 1932843, "reporting_person_name": "Lazar David E.", "fund_type": "PF", "citizenship_or_org": "S1", "sole_voting_power": 719404.0, "shared_voting_power": 0.0, "sole_dispositive_power": 719404.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 719404.0, "percent_of_class": 3.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001829126-26-007843", "person_seq": 0, "reporting_person_cik": 1207638, "reporting_person_name": "IAN T BOTHWELL", "fund_type": "SC", "citizenship_or_org": "X1", "sole_voting_power": 1820094.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1820094.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1820094.0, "percent_of_class": 20.6, "type_of_reporting_person": "IN", "comment_content": "The number of shares Beneficially Owned by the Reporting Person consists of 1,820,094 shares of common stock (including 87,500 shares of restricted stock vesting on July 14, 2026, 187,500 shares issuable upon exercise of warrants and 805,000 shares issuable upon exercise of options held by the Reporting Person) representing 20.6% of the voting power based on 7,837,441 shares of common stock outstanding as of June 12, 2026, as reported by the Issuer in its April 30, 2026 Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on June 15, 2026 and giving effect to the exercise of the warrants and options held by the Reporting Person. In addition, the Reporting Person holds 50 shares of Series C Preferred Stock which provides the Reporting Person with an additional 25.5% of the total voting power. Accordingly, the Reporting Person's aggregate voting power is equal to 46.1%." }, { "accession_no": "0001829126-26-007844", "person_seq": 0, "reporting_person_cik": 1946695, "reporting_person_name": "Grey Wendy", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2117500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2117500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2117500.0, "percent_of_class": 23.88, "type_of_reporting_person": "OO", "comment_content": "The number of shares Beneficially Owned by the Reporting Person consists of 2,117,500 shares of common stock of the Issuer (including 1,155,000 shares of common stock of the Issuer issuable upon exercise of warrants held by the Reporting Person, 87,500 shares of restricted stock vesting on July 14, 2026, and 625,000 shares issuable upon exercise of options held by the Reporting Person) representing 23.88% of the voting power based on 7,837,441 shares of common stock outstanding as of June 12, 2026, as reported by the Issuer in its April 30, 2026 Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on June 15, 2026 and giving effect to the exercise of the warrants and options held by the Reporting Person. In addition, the Reporting Person holds 50 shares of Series C Preferred Stock which provides the Reporting Person with an additional 25.5% of the total voting power. Accordingly, the Reporting Person's aggregate voting power is equal to 49.38%." }, { "accession_no": "0001829126-26-007844", "person_seq": 1, "reporting_person_cik": 1946700, "reporting_person_name": "Greyt Ventures, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 2117500.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2117500.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2117500.0, "percent_of_class": 23.88, "type_of_reporting_person": "OO", "comment_content": "The number of shares Beneficially Owned by the Reporting Person consists of 2,117,500 shares of common stock of the Issuer (including 1,155,000 shares of common stock of the Issuer issuable upon exercise of warrants held by the Reporting Person, 87,500 shares of restricted stock vesting on July 14, 2026, and 625,000 shares issuable upon exercise of options held by the Reporting Person) representing 23.88% of the voting power based on 7,837,441 shares of common stock outstanding as June 12, 2026, as reported by the Issuer in its April 30, 2026 Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on June 15, 2026 and giving effect to the exercise of the warrants and options held by the Reporting Person. In addition, the Reporting Person holds 50 shares of Series C Preferred Stock which provides the Reporting Person with an additional 25.5% of the total voting power. Accordingly, the Reporting Person's aggregate voting power is equal to 49.38%." }, { "accession_no": "0001829126-26-008487", "person_seq": 0, "reporting_person_cik": 1932843, "reporting_person_name": "Lazar David E.", "fund_type": "PF", "citizenship_or_org": "S1", "sole_voting_power": 477000000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 477000000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 477000000.0, "percent_of_class": 94.3, "type_of_reporting_person": "IN", "comment_content": "(1) The figure reported in Items 7, 9, and 11 on this cover page includes (i) 55,057,500 Ordinary Shares of the Issuer, (ii) 196,942,500 Ordinary Shares of the Issuer issuable upon conversion of the Series D Preferred Shares of the Issuer, and (iii) 225,000,000 Ordinary Shares of the Issuer issuable upon conversion of the Series E Preferred Shares of the Issuer.\n\n(2) The percentage reported in Item 13 on this cover page is based on (i) 84,068,192 Ordinary Shares of the Issuer outstanding as of August 7, 2026, as confirmed by the Issuer on August 7, 2026, (ii) 196,942,500 Ordinary Shares of the Issuer issuable upon conversion of the Series D Preferred Shares of the Issuer, and (iii) 225,000,000 Ordinary Shares of the Issuer issuable upon conversion of the Series E Preferred Shares of the Issuer." }, { "accession_no": "0001834600-26-000013", "person_seq": 0, "reporting_person_cik": 1834600, "reporting_person_name": "Mithaq Capital SPC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 13593236.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13593236.0, "aggregate_amount_owned": 13593236.0, "percent_of_class": 61.1, "type_of_reporting_person": "CO", "comment_content": "1.\tThe Reporting Persons (as defined below) other than Snowball (as defined below) are each reporting beneficial ownership of an aggregate of 13,593,236 Common Shares, including beneficial ownership of 1,722 Common Shares held directly by Snowball. The Common Shares stated above as beneficially owned by the Reporting Persons other than Snowball represent approximately 61.1% of the outstanding Common Shares as calculated pursuant to Note 2 below. Snowball beneficially owns 1,722 Common Shares, which represent approximately 0.0% of the outstanding Common Shares as calculated pursuant to Note 2 below. In addition, Muhammad Asif Seemab, a Reporting Person, directly owns 103,583 Common Shares, which are not included in the above totals.\n2.\tAll percentage calculations set forth herein are based upon the 22,237,067 Common Shares stated by the Issuer in its Quarterly Report on Form 10-Q filed with the United States Securities and Exchange Commission on June 12, 2026 as being issued and outstanding as of the close of business on June 8, 2026." }, { "accession_no": "0001834600-26-000013", "person_seq": 1, "reporting_person_cik": 2012114, "reporting_person_name": "Mithaq Global", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 13593236.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13593236.0, "aggregate_amount_owned": 13593236.0, "percent_of_class": 61.1, "type_of_reporting_person": "CO", "comment_content": "1.\tThe Reporting Persons (as defined below) other than Snowball (as defined below) are each reporting beneficial ownership of an aggregate of 13,593,236 Common Shares, including beneficial ownership of 1,722 Common Shares held directly by Snowball. The Common Shares stated above as beneficially owned by the Reporting Persons other than Snowball represent approximately 61.1% of the outstanding Common Shares as calculated pursuant to Note 2 below. Snowball beneficially owns 1,722 Common Shares, which represent approximately 0.0% of the outstanding Common Shares as calculated pursuant to Note 2 below. In addition, Muhammad Asif Seemab, a Reporting Person, directly owns 103,583 Common Shares, which are not included in the above totals.\n2.\tAll percentage calculations set forth herein are based upon the 22,237,067 Common Shares stated by the Issuer in its Quarterly Report on Form 10-Q filed with the United States Securities and Exchange Commission on June 12, 2026 as being issued and outstanding as of the close of business on June 8, 2026." }, { "accession_no": "0001834600-26-000013", "person_seq": 2, "reporting_person_cik": 1813994, "reporting_person_name": "Mithaq Capital", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 13593236.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13593236.0, "aggregate_amount_owned": 13593236.0, "percent_of_class": 61.1, "type_of_reporting_person": "CO", "comment_content": "1.\tThe Reporting Persons (as defined below) other than Snowball (as defined below) are each reporting beneficial ownership of an aggregate of 13,593,236 Common Shares, including beneficial ownership of 1,722 Common Shares held directly by Snowball. The Common Shares stated above as beneficially owned by the Reporting Persons other than Snowball represent approximately 61.1% of the outstanding Common Shares as calculated pursuant to Note 2 below. Snowball beneficially owns 1,722 Common Shares, which represent approximately 0.0% of the outstanding Common Shares as calculated pursuant to Note 2 below. In addition, Muhammad Asif Seemab, a Reporting Person, directly owns 103,583 Common Shares, which are not included in the above totals.\n2.\tAll percentage calculations set forth herein are based upon the 22,237,067 Common Shares stated by the Issuer in its Quarterly Report on Form 10-Q filed with the United States Securities and Exchange Commission on June 12, 2026 as being issued and outstanding as of the close of business on June 8, 2026." }, { "accession_no": "0001834600-26-000013", "person_seq": 3, "reporting_person_cik": 1828133, "reporting_person_name": "Turki Saleh A. Alrajhi", "fund_type": "AF", "citizenship_or_org": "T0", "sole_voting_power": 0.0, "shared_voting_power": 13593236.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 13593236.0, "aggregate_amount_owned": 13593236.0, "percent_of_class": 61.1, "type_of_reporting_person": "IN", "comment_content": "1.\tThe Reporting Persons (as defined below) other than Snowball (as defined below) are each reporting beneficial ownership of an aggregate of 13,593,236 Common Shares, including beneficial ownership of 1,722 Common Shares held directly by Snowball. The Common Shares stated above as beneficially owned by the Reporting Persons other than Snowball represent approximately 61.1% of the outstanding Common Shares as calculated pursuant to Note 2 below. Snowball beneficially owns 1,722 Common Shares, which represent approximately 0.0% of the outstanding Common Shares as calculated pursuant to Note 2 below. In addition, Muhammad Asif Seemab, a Reporting Person, directly owns 103,583 Common Shares, which are not included in the above totals.\n2.\tAll percentage calculations set forth herein are based upon the 22,237,067 Common Shares stated by the Issuer in its Quarterly Report on Form 10-Q filed with the United States Securities and Exchange Commission on June 12, 2026 as being issued and outstanding as of the close of business on June 8, 2026." }, { "accession_no": "0001834600-26-000013", "person_seq": 4, "reporting_person_cik": 1828859, "reporting_person_name": "Muhammad Asif Seemab", "fund_type": "AF", "citizenship_or_org": "R0", "sole_voting_power": 103583.0, "shared_voting_power": 13593236.0, "sole_dispositive_power": 103583.0, "shared_dispositive_power": 13593236.0, "aggregate_amount_owned": 13696819.0, "percent_of_class": 61.6, "type_of_reporting_person": "IN", "comment_content": "1.\tThe Reporting Persons (as defined below) other than Snowball (as defined below) are each reporting beneficial ownership of an aggregate of 13,593,236 Common Shares, including beneficial ownership of 1,722 Common Shares held directly by Snowball and beneficial ownership of 103,583 Common Shares held directly by Muhammad Asif Seemab. The Common Shares stated above as beneficially owned by the Reporting Persons other than Snowball represent approximately 61.6% of the outstanding Common Shares as calculated pursuant to Note 2 below. Snowball beneficially owns 1,722 Common Shares, which represent approximately 0.0% of the outstanding Common Shares as calculated pursuant to Note 2 below. The 103,583 Common Shares owned directly by Mr. Seemab were received as a distribution from Mithaq Capital SPC. Mr. Seemab possesses sole voting power and sole dispositive power over such shares, which represent approximately 0.5% of the outstanding Common Shares.\n2.\tAll percentage calculations set forth herein are based upon the 22,237,067 Common Shares stated by the Issuer in its Quarterly Report on Form 10-Q filed with the United States Securities and Exchange Commission on June 12, 2026 as being issued and outstanding as of the close of business on June 8, 2026." }, { "accession_no": "0001834600-26-000013", "person_seq": 5, "reporting_person_cik": 2012119, "reporting_person_name": "SNOWBALL COMPOUNDING LTD.", "fund_type": "AF", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1722.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1722.0, "aggregate_amount_owned": 1722.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "All percentage calculations set forth herein are based upon the 22,237,067 Common Shares stated by the Issuer in its Quarterly Report on Form 10-Q filed with the United States Securities and Exchange Commission on June 12, 2026 as being issued and outstanding as of the close of business on June 8, 2026." }, { "accession_no": "0001875620-26-000010", "person_seq": 0, "reporting_person_cik": 1875620, "reporting_person_name": "Sands Capital Life Sciences Pulse Fund II, L.P.", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 4230926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4230926.0, "aggregate_amount_owned": 4230926.0, "percent_of_class": 6.1, "type_of_reporting_person": "PN", "comment_content": "Rows 7 through 13 reflect shares held directly by Sands Capital Life Sciences Pulse Fund II, L.P. The percentage in Row 13 is based on 69,311,186 shares of Common Stock outstanding as of April 30, 2026 as reported on the Issuer's 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001875620-26-000010", "person_seq": 1, "reporting_person_cik": 1846444, "reporting_person_name": "Sands Capital Alternatives, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 4230926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4230926.0, "aggregate_amount_owned": 4230926.0, "percent_of_class": 6.1, "type_of_reporting_person": "OO", "comment_content": "Rows 7 through 13 reflect shares held directly by Sands Capital Life Sciences Pulse Fund II, L.P. Sands Capital Alternatives, LLC did not directly furnish consideration for such shares and is reporting solely because it may be deemed to beneficially own the shares held by Sands Capital Life Sciences Pulse Fund II, L.P. The percentage in Row 13 is based on 69,311,186 shares of Common Stock outstanding as of April 30, 2026 as reported on the Issuer's 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001875620-26-000010", "person_seq": 2, "reporting_person_cik": 1870494, "reporting_person_name": "SANDS FRANK M.", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 4230926.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 4230926.0, "aggregate_amount_owned": 4230926.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": "Rows 7 through 13 reflect shares held directly by Sands Capital Life Sciences Pulse Fund II, L.P. Frank M. Sands did not directly furnish consideration for such shares and is reporting solely because he may be deemed to beneficially own the shares held by Sands Capital Life Sciences Pulse Fund II, L.P. The percentage in Row 13 is based on 69,311,186 shares of Common Stock outstanding as of April 30, 2026 as reported on the Issuer's 10-Q filed with the Securities and Exchange Commission on May 8, 2026." }, { "accession_no": "0001878366-26-000024", "person_seq": 0, "reporting_person_cik": 1878366, "reporting_person_name": "Aljomaih Automotive Co.", "fund_type": "PF", "citizenship_or_org": "T0", "sole_voting_power": 0.0, "shared_voting_power": 3738303.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3738303.0, "aggregate_amount_owned": 3738303.0, "percent_of_class": 28.0, "type_of_reporting_person": "OO", "comment_content": "(1) [Line 2(b)] This Schedule 13D/A is filed by Aljomaih Automotive Co. (\"Aljomaih\") and Aljomaih Holding Co. (\"Holding Co\") (Aljomaih and Holding Co are herein collectively referred to as the \"Reporting Persons\"). The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D/A.\n(2) [Lines 8, 10 & 11] Consists of (i) 2,446,637 shares of Common Stock held directly by Aljomaih, and (ii) 1,291,666 shares of Common Stock that Aljomaih has the right to acquire upon conversion of $15.5 million principal amount of Convertible Promissory Note (the \"Note\") outstanding on May 11, 2026. Does not include shares of Common Stock issuable as payment of interest accrued on the Note since August 11, 2025 (at a rate of 10% per annum), which may be converted into Interest Shares at the 10-day VWAP (as defined in the Note) on the date of payment, subject to certain restrictions.\n(3) [Line 13] Based on approximately 13,347,877 outstanding shares of Common Stock, consisting of (i) 12,056,211 shares of Common Stock outstanding as of April 24, 2026 as reported on the Company's Proxy Statement for its 2026 Annual Meeting (the \"Proxy\"); and (ii) an additional 1,291,666 shares of Common Stock that Aljomaih has the right to acquire upon conversion of the Note as of May 11, 2026." }, { "accession_no": "0001878366-26-000024", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Aljomaih Holding Co.", "fund_type": "PF", "citizenship_or_org": "T0", "sole_voting_power": 0.0, "shared_voting_power": 3738303.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3738303.0, "aggregate_amount_owned": 3738303.0, "percent_of_class": 28.0, "type_of_reporting_person": "OO", "comment_content": "(1) [Line 2(b)] This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D/A.\n(2) [Lines 8, 10 & 11] Consists of (i) 2,446,637 shares of Common Stock held by Aljomaih, and (ii) 1,291,666 shares of Common Stock that Aljomaih has the right to acquire upon conversion of $15.5 million principal amount of Note outstanding on May 11, 2026. Does not include shares of Common Stock issuable as payment of interest accrued on the Note since August 11, 2025 (at a rate of 10% per annum), which may be converted into Interest Shares at the 10-day VWAP on the date of payment, subject to certain restrictions.\n(3) [Line 13] Based on approximately 13,347,877 outstanding shares of Common Stock, consisting of (i) 12,056,211 shares of Common Stock outstanding as of April 24, 2026 as reported in the Proxy; and (ii) an additional 1,291,666 shares of Common Stock that Aljomaih has the right to acquire upon conversion of the Note as of May 11, 2026." }, { "accession_no": "0001879464-26-000011", "person_seq": 0, "reporting_person_cik": 1879464, "reporting_person_name": "Emerald Green Trust", "fund_type": "OO", "citizenship_or_org": "GA", "sole_voting_power": 0.0, "shared_voting_power": 1161229.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1161229.0, "aggregate_amount_owned": 1161229.0, "percent_of_class": 8.5, "type_of_reporting_person": "OO", "comment_content": "(1) [Line 2(b)] This Schedule 13D/A is filed jointly by Emerald Green Trust (\"Emerald Green\"), Sarah Bardo and Shane Semler (together with Ms. Bardo and Emerald Green, the \"Reporting Persons\"). The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D/A.\n(2) [Lines 8, 10 & 11] Consists of 1,161,229 shares of Common Stock held directly by Emerald Green. As co-trustees of Emerald Green, Sarah Bardo and Shane Semler share voting and dispositive power over the 1,161,229 shares of Common Stock held by Emerald Green.\n(3) [Line 13] Based on approximately 13,658,411 shares of Common Stock outstanding as of June 4, 2026, pro forma the offering described in the Company's Prospectus Supplement (to Prospectus dated June 8, 2023) filed June 5, 2026 (the \"Xos Pro Supp\")." }, { "accession_no": "0001879464-26-000011", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Sarah Bardo", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1161232.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1161232.0, "aggregate_amount_owned": 1161232.0, "percent_of_class": 8.5, "type_of_reporting_person": "IN", "comment_content": "(1) [Line 2(b)] This Schedule 13D/A is filed jointly by the Reporting Persons. The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D/A.\n(2) [Lines 8, 10 & 11] Consists of: (a) 1,161,229 shares of Common Stock held by Emerald Green; and (b) 3 shares of Common Stock held by Sarah Bardo's spouse. As co-trustees of Emerald Green, Sarah Bardo and Shane Semler share voting and dispositive power over the 1,161,229 shares of Common Stock held by Emerald Green. Sarah Bardo may be deemed to share voting and dispositive power over shares of Common Stock held by her spouse.\n(3) [Line 13] Based on approximately 13,658,411 shares of Common Stock outstanding as of June 4, 2026, pro forma the offering described in the Xos Pro Supp." }, { "accession_no": "0001879464-26-000011", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Shane Semler", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 6003.0, "shared_voting_power": 1161229.0, "sole_dispositive_power": 6003.0, "shared_dispositive_power": 1161229.0, "aggregate_amount_owned": 1167232.0, "percent_of_class": 8.5, "type_of_reporting_person": "IN", "comment_content": "(1) [Line 2(b)] This Schedule 13D/A is filed jointly by the Reporting Persons. The Reporting Persons expressly disclaim status as a \"group\" for purposes of this Schedule 13D/A.\n(2) [Lines 7, 9 & 11] Consists of 6,003 shares of Common Stock held directly by Shane Semler.\n(3) [Lines 8, 10 & 11] Consists of 1,161,229 shares of Common Stock held by Emerald Green. As co-trustees of Emerald Green, Sarah Bardo and Shane Semler share voting and dispositive power over shares of Common Stock held by Emerald Green.\n(4) [Line 13] Based on approximately 13,658,411 shares of Common Stock outstanding as of June 4, 2026, pro forma the offering described in the Xos Pro Supp." }, { "accession_no": "0001880171-26-000013", "person_seq": 0, "reporting_person_cik": 1880171, "reporting_person_name": "Charles Cohn", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 79822406.0, "shared_voting_power": 0.0, "sole_dispositive_power": 79822406.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 79822406.0, "percent_of_class": 48.7, "type_of_reporting_person": "IN", "comment_content": "(1) With respect to Items 7,9, and 11, these items consist of common stock held by (i) Charles K. Cohn VT Trust U/A/D May 26, 2017, (ii) Cohn Investments, LLC, (iii) Rarefied Air Capital LLC, (iv) Cohn Family Trust U/A/D 3/16/17, and (v) Charles K. Cohn Revocable Trust Agreement Dated February 10, 2016. Mr. Cohn is the beneficial owner of the Charles K. Cohn VT Trust U/A/D May 26, 2017 and Cohn Family Trust U/A/D 3/16/17, the sole manager of Cohn Investments, LLC, and the sole manager of Rarefied Air Capital LLC. Excludes the 12,601,127 shares of common stock beneficially owned by Ms. Cohn, which Ms. Cohn has sole voting and sole dispositive power over and to which Mr. Cohn disclaims beneficial ownership.\n\n(2) With respect to Item 13, the percent of class was calculated based on (i) 127,041,917 shares of Class A Common Stock and (ii) 36,740,960 shares of Class B Common Stock. Mr. Cohn disclaims beneficial ownership of the shares held by Ms. Cohn." }, { "accession_no": "0001880171-26-000013", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Allison Cohn", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 12601127.0, "shared_voting_power": 0.0, "sole_dispositive_power": 12601127.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 12601127.0, "percent_of_class": 9.5, "type_of_reporting_person": "IN", "comment_content": "(1) With respect to Items 7, 9, and 11, these items consist of common stock held by (i) Cohn Investments LLC, (ii) Rarefied Air Capital LLC, (iii) Cohn Family Trust U/A/D 5/24/2018, and (iv) Cohn Family Investments Trust U/A/D 5/24/2018. Ms. Cohn has sole voting and sole dispositive power of certain securities held by Cohn Investments LLC and Rarefied Air Capital LLC and Ms. Cohn is the sole trustee of the two trusts. Excludes the 79,822,406 shares held by Mr. Cohn.\n\n(2) With respect to Item 13, the percent of class was calculated based on (i) 127,041,917 shares of Class A Common Stock and (ii) 5,824,038 shares of Class B Common Stock." }, { "accession_no": "0001890581-26-000005", "person_seq": 0, "reporting_person_cik": 1890581, "reporting_person_name": "Wheat Wind Farms, LLC", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 1177386.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1177386.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1177386.0, "percent_of_class": 5.2, "type_of_reporting_person": "OO", "comment_content": "Based on 22,796,270 shares of Common Stock of Local Bounti Corporation (the \"Issuer\") outstanding as of May 11, 2026, as reported in the Quarterly Report on Form 10-Q filed by the Issuer with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001890581-26-000005", "person_seq": 1, "reporting_person_cik": 1872332, "reporting_person_name": "Craig M. Hurlbert", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1683923.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1683923.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1683923.0, "percent_of_class": 7.4, "type_of_reporting_person": "IN", "comment_content": "Consists of (i) 477,371 shares held directly by Mr. Hurlbert; (ii) 29,166 vested but unsettled RSUs granted under the Issuer's 2021 Equity Incentive Plan; and (iii) 1,177,386 shares of Common Stock held by Wheat Wind Farms, LLC. Mr. Hurlbert serves as the president of Wheat Wind Farms, LLC and, as such, has sole voting and dispositive power with respect to the shares held by Wheat Wind Farms, LLC and may be deemed to beneficially own the shares of Common Stock held by Wheat Wind Farms, LLC.\n\nBased on 22,796,270 shares of Common Stock the Issuer outstanding as of May 11, 2026, as reported in the Quarterly Report on Form 10-Q filed by the Issuer with the Securities and Exchange Commission on May 15, 2026." }, { "accession_no": "0001891865-26-000006", "person_seq": 0, "reporting_person_cik": 1891865, "reporting_person_name": "Jonah Peretti, LLC", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 1309354.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1309354.0, "aggregate_amount_owned": 1309354.0, "percent_of_class": 3.5, "type_of_reporting_person": "OO", "comment_content": "(1)The amount in rows 8 and 10 represents shares of Class B Common Stock, which are convertible into shares of the Issuer's Class A Common Stock at any time at the election of the holder on a one-for-one basis. All Class B Common Stock held by Jonah Peretti, LLC may be deemed to be beneficially owned by Jonah Peretti as the sole member of Jonah Peretti, LLC.\n(2) The percentage reported in row 13 is calculated in accordance with Rule 13d-3 of the Securities Exchange Act of 1934 (as amended, the \"Act\") based on: (i) the aggregate number of securities beneficially owned by the Reporting Person assuming conversion of the Class B Common Stock into Class A Common Stock (and excluding the conversion of shares of Class B Common Stock held by other persons); plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 11, 2026, which shall be treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. An aggregate of: (i) 36,296,018 shares of Class A Common Stock; (ii) 1,342,709 shares of Class B Common Stock; and (iii) no shares of Class C Common were outstanding as of May 6, 2026, as reported by the Issuer in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2026 filed with the Securities and Exchange Commission on May 11, 2026 (the \"3/31/26 10-Q\"). On May 11, 2026, BuzzFeed, Inc. (the \"Issuer\") entered into a Stock Purchase Agreement (the \"Stock Purchase Agreement\") with Allen Family Digital, LLC (\"AFD\"), pursuant to which the Issuer agreed to issue and sell to AFD 40,000,000 shares of the Company's Class A common stock, par value $0.0001 per share (the \"Class A Common Stock\") (the \"Transaction\"), the closing of which (the \"Closing\") is expected to occur on or around May 26, 2026 (the \"Closing Date\"). Giving pro forma effect to the Stock Purchase Agreement, the total number of shares of Class A Common Stock outstanding would be 77,605,372, and Jonah Peretti, LLC would beneficially own approximately 1.7% of the Class A Common Stock outstanding." }, { "accession_no": "0001891865-26-000006", "person_seq": 1, "reporting_person_cik": 1886657, "reporting_person_name": "Jonah Peretti", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 311693.0, "shared_voting_power": 2358415.0, "sole_dispositive_power": 311693.0, "shared_dispositive_power": 1309354.0, "aggregate_amount_owned": 2670108.0, "percent_of_class": 7.0, "type_of_reporting_person": "IN", "comment_content": "(1) The amount in rows 8 and 10 represents shares of Class B Common Stock, which are convertible into shares of the Issuer's Class A Common Stock at any time at the election of the holder on a one-for-one basis. All Class B Common Stock held by Jonah Peretti, LLC may be deemed to be beneficially owned by Jonah Peretti as the sole member of Jonah Peretti, LLC.\n(2) With respect to the amount in row 11, Jonah Peretti has been granted an irrevocable proxy by Johnson BF, LLC and John S. Johnson, III for voting power of an aggregate total of 1,049,061 shares of Class A Common Stock included in this total. See description of the Holder Voting Agreement in Item 6 (Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer) of the Schedule 13D, as amended hereby, concerning the ability of Jonah Peretti to direct the vote of the shares held by Johnson BF, LLC and John S. Johnson, III (the \"Holder Voting Agreement\"). In connection with the Transaction, the Holder Voting Agreement was terminated, effective as of the Closing.\n(3) The amount in row 11 includes (i) an aggregate 1,049,061 of the Issuer's Class A Common Stock held in connection with the Holder Voting Agreement; (ii) 1,309,354 shares of the Issuer's Class B Common Stock; (iii) an aggregate of 35,694 RSUs which vested on February 24, 2026 and May 1, 2026; and (iv) 275,999 options to purchase Class A Common Stock which vested on February 1, 2026 and May 1, 2026.\n(4) The percentage reported in row 13 is calculated in accordance with Rule 13d-3 of the Act based on: (i) the aggregate number of securities beneficially owned by the Reporting Person assuming conversion of the Class B Common Stock into Class A Common Stock (and excluding the conversion of shares of Class B Common Stock held by other persons); plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 11, 2026, which shall be treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. An aggregate of: (i) 36,296,018 shares of Class A Common Stock; (ii) 1,342,709 shares of Class B Common Stock; and (iii) no shares of Class C Common were outstanding as of May 6, 2026, as reported by the Issuer in the 3/31/26 10-Q. In connection with the Stock Purchase Agreement, the Issuer agreed to issue and sell to AFD 40,000,000 shares Class A Common Stock. Giving pro forma effect to the Stock Purchase Agreement, the total number of shares of Class A Common Stock outstanding for purposes of calculating Mr. Peretti's beneficial ownership would be 77,917,065, and Mr. Peretti would beneficially own approximately 2.1% of the Class A Common Stock outstanding." }, { "accession_no": "0001891865-26-000006", "person_seq": 2, "reporting_person_cik": 1896472, "reporting_person_name": "Johnson BF, LLC", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1041195.0, "aggregate_amount_owned": 1041195.0, "percent_of_class": 2.9, "type_of_reporting_person": "OO", "comment_content": "(1) With respect to row 10 Johnson BF, LLC and John S. Johnson, III have granted an irrevocable proxy to Jonah Peretti for voting power of an aggregate total of 1,049,061 shares of Class A Common Stock beneficially owned by the Reporting Persons, which amount includes the shares reported in row 11, above. In connection with the Transaction, the Holder Voting Agreement was terminated, effective as of the Closing. See description of the Holder Voting Agreement in Item 6 (Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer) of the Schedule 13D, as amended hereby, concerning the ability of Jonah Peretti to direct the vote of the shares held by Johnson BF, LLC and John S. Johnson, III.\n(2) With respect to row 11 this number represents shares of Class A Common Stock. All Class A Common Stock held by Johnson BF, LLC may be deemed to be beneficially owned by John S. Johnson, III as the sole member of Johnson BF, LLC.\n(3) The percentage reported in row 13 is calculated in accordance with Rule 13d-3 of the Act based on: (i) the aggregate number of securities beneficially owned by the Reporting Person; plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 11, 2026, which shall be treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. An aggregate of: (i) 36,296,018 shares of Class A Common Stock; (ii) 1,342,709 shares of Class B Common Stock; and (iii) no shares of Class C Common were outstanding as of May 6, 2026, as reported by the Issuer in the 3/31/26 10-Q. In connection with the Stock Purchase Agreement, the Issuer agreed to issue and sell to AFD 40,000,000 shares Class A Common Stock. Giving pro forma effect to the Stock Purchase Agreement, the total number of shares of Class A Common Stock outstanding for purposes of calculating Johnson BF, LLC's beneficial ownership would be 77,605,372, and Johnson BF, LLC would beneficially own approximately 1.3% of the Class A Common Stock outstanding." }, { "accession_no": "0001891865-26-000006", "person_seq": 3, "reporting_person_cik": 1896474, "reporting_person_name": "John S. Johnson, III", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 7866.0, "shared_dispositive_power": 1041195.0, "aggregate_amount_owned": 1049061.0, "percent_of_class": 2.9, "type_of_reporting_person": "IN", "comment_content": "(1) With respect to row 10 Johnson BF, LLC and John S. Johnson, III have granted an irrevocable proxy to Jonah Peretti for voting power of an aggregate total of 1,049,061 shares of Class A Common Stock beneficially owned by the Reporting Persons. See description of the Holder Voting Agreement in Item 6 (Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer) of the Schedule 13D, as amended hereby, concerning the ability of Jonah Peretti to direct the vote of the shares held by Johnson BF, LLC and John S. Johnson, III. In connection with the Transaction, the Holder Voting Agreement was terminated, effective as of the Closing.\n(2) With respect to row 11 this number respresents 1,041,195 shares of Class A Common Stock indirectly held by the Reporting Person through Johnson BF, LLC. All Class A Common Stock held by Johnson BF, LLC may be deemed to be beneficially owned by John S. Johnson, III as the sole member of Johnson BF, LLC.\n(3) Represents 1,041,195 shares of Class A Common Stock indirectly held by the Reporting Person through Johnson BF, LLC. All Class A Common Stock held by Johnson BF, LLC may be deemed to be beneficially owned by John S. Johnson, III as the sole member of Johnson BF, LLC.\n(4) The percentage reported in row 13 is calculated in accordance with Rule 13d-3 of the Act based on: (i) the aggregate number of securities beneficially owned by the Reporting Person; plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 11, 2026, which shall be treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. An aggregate of: (i) 36,296,018 shares of Class A Common Stock; (ii) 1,342,709 shares of Class B Common Stock; and (iii) no shares of Class C Common were outstanding as of May 6, 2026, as reported by the Issuer in the 3/31/26 10-Q. In connection with the Stock Purchase Agreement, the Issuer agreed to issue and sell to AFD 40,000,000 shares Class A Common Stock. Giving pro forma effect to the Stock Purchase Agreement, the total number of shares of Class A Common Stock outstanding for purposes of calculating Mr. Johnson's beneficial ownership would be 77,605,372, and Mr. Johnson would beneficially own approximately 1.4% of the Class A Common Stock outstanding." }, { "accession_no": "0001891865-26-000010", "person_seq": 0, "reporting_person_cik": 1891865, "reporting_person_name": "Jonah Peretti, LLC", "fund_type": "OO", "citizenship_or_org": "CA", "sole_voting_power": 0.0, "shared_voting_power": 1309354.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1309354.0, "aggregate_amount_owned": 1309354.0, "percent_of_class": 1.7, "type_of_reporting_person": "OO", "comment_content": "(1) The amount in rows 8, 10 and 11 represents shares of Class A Common Stock. All of the shares of Class A Common Stock held by Jonah Peretti, LLC may be deemed to be beneficially owned by Jonah Peretti as the sole member of Jonah Peretti, LLC. On May 26, 2026, Jonah Peretti, LLC converted all 1,309,354 shares of its Class B Common Stock, which are convertible into shares of Class A Common Stock at any time at the election of the holder on a one-for-one basis, into 1,309,354 shares of Class A Common Stock.\n\n(2) The percentage reported in row 13 is calculated in accordance with Rule 13d-3 of the Securities Exchange Act of 1934 (as amended, the \"Act\") based on: (i) the aggregate number of securities beneficially owned by the Reporting Person; plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 26, 2026. An aggregate of: (i) 78,983,041 shares of Class A Common Stock; (ii) 33,355 shares of Class B Common Stock; and (iii) no shares of Class C Common Stock were outstanding as of May 26, 2026, as reported by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission on May 27, 2026." }, { "accession_no": "0001891865-26-000010", "person_seq": 1, "reporting_person_cik": 1886657, "reporting_person_name": "Jonah Peretti", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 311693.0, "shared_voting_power": 1309354.0, "sole_dispositive_power": 311693.0, "shared_dispositive_power": 1309354.0, "aggregate_amount_owned": 1621047.0, "percent_of_class": 2.0, "type_of_reporting_person": "IN", "comment_content": "(1) The amount in rows 8 and 10 represents shares of Class A Common Stock held by Jonah Peretti, LLC, which may be deemed to be beneficially owned by Jonah Peretti as the sole member of Jonah Peretti, LLC. On May 26, 2026, Jonah Peretti, LLC converted all 1,309,354 shares of its Class B Common Stock, which are convertible into shares of Class A Common Stock at any time at the election of the holder on a one-for-one basis, into 1,309,354 shares of Class A Common Stock.\n(2) The amount in rows 8, 10 and 11 do not include an aggregate total of 1,049,061 shares of Class A Common Stock held by Johnson BF, LLC and John S. Johnson, III (the \"Johnson Parties\"). On May 26, 2026, the irrevocable proxy granted by the Johnson Parties for voting power of such shares was terminated. See description of the Holder Voting Agreement in Item 6 (Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer) (the \"Holder Voting Agreement\") of the Schedule 13D, as amended hereby.\n(3) The amount in row 11 includes (i) 1,309,354 shares of the Issuer's Class A Common Stock; (ii) an aggregate of 35,694 RSUs which vested on February 24, 2026 and May 1, 2026; and (iii) an aggregate of 275,999 options to purchase Class A Common Stock which vested on February 1, 2026 and May 1, 2026.\n(4) The percentage reported in row 13 is calculated in accordance with Rule 13d-3 of the Act based on: (i) the aggregate number of securities beneficially owned by the Reporting Person plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 26, 2026, which shall be treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. An aggregate of: (i) 78,983,041 shares of Class A Common Stock; (ii) 33,355 shares of Class B Common Stock; and (iii) no shares of Class C Common Stock were outstanding as of May 26, 2026, as reported by the Issuer in a Form 8-K filed on May 27, 2026.\nsecurities beneficially owned by the Reporting Person assuming conversion of the Class B Common Stock into Class A Common Stock (and excluding the conversion of shares of Class B Common Stock held by other persons); plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 11, 2026, which shall be treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. An aggregate of: (i) 36,296,018 shares of Class A Common Stock; (ii) 1,342,709 shares of Class B Common Stock; and (iii) no shares of Class C Common were outstanding as of May 6, 2026, as reported by the Issuer in the 3/31/26 10-Q. In connection with the Stock Purchase Agreement, the Issuer agreed to issue and sell to AFD 40,000,000 shares Class A Common Stock. Giving pro forma effect to the Stock Purchase Agreement, the total number of shares of Class A Common Stock outstanding for purposes of calculating Mr. Peretti's beneficial ownership would be 77,917,065, and Mr. Peretti would beneficially own approximately 2.1% of the Class A Common Stock outstanding." }, { "accession_no": "0001891865-26-000010", "person_seq": 2, "reporting_person_cik": 1896472, "reporting_person_name": "Johnson BF, LLC", "fund_type": "OO", "citizenship_or_org": "NY", "sole_voting_power": 0.0, "shared_voting_power": 1041195.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1041195.0, "aggregate_amount_owned": 1041195.0, "percent_of_class": 1.3, "type_of_reporting_person": "OO", "comment_content": "(1) With respect to rows 8, 10 and 11, this number represents shares of Class A Common Stock. All Class A Common Stock held by Johnson BF, LLC may be deemed to be beneficially owned by John S. Johnson, III as the sole member of Johnson BF, LLC.\n(2) With respect to the amount in rows 8, 10 and 11, on May 26, 2026, the irrevocable proxy granted by the Johnson Parties to Jonah Peretti for voting power of an aggregate total of 1,049,061 shares of Class A Common Stock held by the Johnson Parties was terminated. See description of the Holder Voting Agreement in Item 6 (Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer) of the Schedule 13D, as amended hereby.\n(3) The percentage reported in row 13 is calculated in accordance with Rule 13d-3 of the Act based on: (i) the aggregate number of securities beneficially owned by the Reporting Person; plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 26, 2026, which shall be treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. An aggregate of: (i) 78,983,041 shares of Class A Common Stock; (ii) 33,355 shares of Class B Common Stock; and (iii) no shares of Class C Common Stock were outstanding as of May 26, 2026, as reported by the Issuer in a Form 8-K on May 27, 2026." }, { "accession_no": "0001891865-26-000010", "person_seq": 3, "reporting_person_cik": 1896474, "reporting_person_name": "John S. Johnson, III", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 7866.0, "shared_voting_power": 1041195.0, "sole_dispositive_power": 7866.0, "shared_dispositive_power": 1041195.0, "aggregate_amount_owned": 1049061.0, "percent_of_class": 1.3, "type_of_reporting_person": "IN", "comment_content": "(1) With respect to rows 8, 10 and 11, this number represents 1,041,195 shares of Class A Common Stock indirectly held by the Reporting Person through Johnson BF, LLC. All Class A Common Stock held by Johnson BF, LLC may be deemed to be beneficially owned by John S. Johnson, III as the sole member of Johnson BF, LLC.\n(2) With respect to the amount in rows 8, 10 and 11, on May 26, 2026, the irrevocable proxy granted by the Johnson Parties to Jonah Peretti for voting power of an aggregate total of 1,049,061 shares of Class A Common Stock held by the Johnson Parties was terminated. See description of the Holder Voting Agreement in Item 6 (Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer) of the Schedule 13D, as amended hereby.\n(3) The percentage reported in row 13 is calculated in accordance with Rule 13d-3 of the Act based on: (i) the aggregate number of securities beneficially owned by the Reporting Person; plus (ii) the number of securities, if any, that the Reporting Person has a right to acquire within 60 days of May 26, 2026, which shall be treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the Reporting Person. An aggregate of: (i) 78,983,041 shares of Class A Common Stock; (ii) 33,355 shares of Class B Common Stock; and (iii) no shares of Class C Common Stock were outstanding as of May 26, 2026, as reported by the Issuer in a Form 8-K filed on May 27, 2026." }, { "accession_no": "0001892613-26-000006", "person_seq": 0, "reporting_person_cik": 1892613, "reporting_person_name": "Comstock MultiChain Fund, L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1178402.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1178402.0, "aggregate_amount_owned": 1178402.0, "percent_of_class": 9.9, "type_of_reporting_person": "PN", "comment_content": "1,178,402 shares of Common Stock underlying the shares of the issuer's Series B1 Preferred Stock and Series B2 Preferred Stock (collectively, the Preferred Stock) owned by the Reporting Persons, which represents less than the entirety of the shares of Common Stock underlying the Preferred Stock. Each series of the Preferred Stock is convertible to Common Stock on a one-share-for-one-share basis. The Preferred Stock is convertible at any time by the holder thereof." }, { "accession_no": "0001892613-26-000006", "person_seq": 1, "reporting_person_cik": 2114421, "reporting_person_name": "Comstock Multichain GP LLC", "fund_type": "OO", "citizenship_or_org": "CT", "sole_voting_power": 0.0, "shared_voting_power": 1178402.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1178402.0, "aggregate_amount_owned": 1178402.0, "percent_of_class": 9.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001892613-26-000006", "person_seq": 2, "reporting_person_cik": 2114405, "reporting_person_name": "Silvermine Capital Advisors, LLC", "fund_type": "OO", "citizenship_or_org": "CT", "sole_voting_power": 0.0, "shared_voting_power": 1178402.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1178402.0, "aggregate_amount_owned": 1178402.0, "percent_of_class": 9.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001892613-26-000006", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "Shorten Richard Lee Jr.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1178402.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1178402.0, "aggregate_amount_owned": 1178402.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001915673-26-000024", "person_seq": 0, "reporting_person_cik": 1210708, "reporting_person_name": "STAR EQUITY HOLDINGS, INC.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 85000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85000.0, "percent_of_class": 1.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001915673-26-000024", "person_seq": 1, "reporting_person_cik": 707388, "reporting_person_name": "STAR OPERATING COMPANIES, INC.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 85000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85000.0, "percent_of_class": 1.8, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001915673-26-000024", "person_seq": 2, "reporting_person_cik": 1915673, "reporting_person_name": "STAR EQUITY FUND, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 85000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85000.0, "percent_of_class": 1.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001915673-26-000024", "person_seq": 3, "reporting_person_cik": 1956411, "reporting_person_name": "STAR EQUITY FUND GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 85000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85000.0, "percent_of_class": 1.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001915673-26-000024", "person_seq": 4, "reporting_person_cik": 1956409, "reporting_person_name": "STAR INVESTMENT MANAGEMENT, LLC", "fund_type": "AF", "citizenship_or_org": "CT", "sole_voting_power": 85000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85000.0, "percent_of_class": 1.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001915673-26-000024", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "STAR VALUE INVESTMENTS, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 85000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 85000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 85000.0, "percent_of_class": 1.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001915673-26-000024", "person_seq": 6, "reporting_person_cik": 1548312, "reporting_person_name": "JEFFREY E. EBERWEIN", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 345000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 345000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 345000.0, "percent_of_class": 7.1, "type_of_reporting_person": "IN", "comment_content": "The following constitutes Amendment No. 1 (\"Amendment No.1\") to the Schedule 13D filed by the undersigned on January 27, 2026 (as previously amended, the \"Schedule 13D\"). This Amendment No. 1 amends the Schedule 13D as specifically set forth herein." }, { "accession_no": "0001915673-26-000031", "person_seq": 0, "reporting_person_cik": 1210708, "reporting_person_name": "STAR EQUITY HOLDINGS, INC.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5969762.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5969762.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5969762.0, "percent_of_class": 5.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001915673-26-000031", "person_seq": 1, "reporting_person_cik": 707388, "reporting_person_name": "STAR OPERATING COMPANIES, INC.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5969762.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5969762.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5969762.0, "percent_of_class": 5.4, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001915673-26-000031", "person_seq": 2, "reporting_person_cik": 1915673, "reporting_person_name": "STAR EQUITY FUND, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 5969762.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5969762.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5969762.0, "percent_of_class": 5.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001915673-26-000031", "person_seq": 3, "reporting_person_cik": 1956411, "reporting_person_name": "STAR EQUITY FUND GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5969762.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5969762.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5969762.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001915673-26-000031", "person_seq": 4, "reporting_person_cik": 1956409, "reporting_person_name": "STAR INVESTMENT MANAGEMENT, LLC", "fund_type": "AF", "citizenship_or_org": "CT", "sole_voting_power": 5969762.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5969762.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5969762.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001915673-26-000031", "person_seq": 5, "reporting_person_cik": null, "reporting_person_name": "STAR VALUE INVESTMENTS, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 5969762.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5969762.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5969762.0, "percent_of_class": 5.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001915673-26-000031", "person_seq": 6, "reporting_person_cik": 1548312, "reporting_person_name": "JEFFREY E. EBERWEIN", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 5969762.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5969762.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5969762.0, "percent_of_class": 5.4, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001915673-26-000031", "person_seq": 7, "reporting_person_cik": null, "reporting_person_name": "RICHARD K. COLEMAN, JR.", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": "The following constitutes Amendment No. 4 (\"Amendment No.4\") to the Schedule 13D filed by the undersigned on January 22, 2026 (as previously amended, the \"Schedule 13D\"). This Amendment No. 4 amends the Schedule 13D as specifically set forth herein." }, { "accession_no": "0001929980-26-000292", "person_seq": 0, "reporting_person_cik": 2044573, "reporting_person_name": "Horizon Space Acquisition II Sponsor Corp.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001929980-26-000292", "person_seq": 1, "reporting_person_cik": 1914823, "reporting_person_name": "Mingyu Li", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001929980-26-000394", "person_seq": 0, "reporting_person_cik": 2144425, "reporting_person_name": "Southern Cross Acquisition I Sponsor Corp.", "fund_type": "OO", "citizenship_or_org": "E9", "sole_voting_power": 3100300.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3100300.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3100300.0, "percent_of_class": 21.1, "type_of_reporting_person": "CO", "comment_content": "(1) Includes (1) 2,861,000 ordinary shares, par value $0.0001 per share (the \"ordinary shares\"), of Southern Cross Acquisition I Corp. (the \"Issuer\") acquired by Southern Cross Acquisition I Sponsor Corp. (the \"Sponsor\") prior to the Issuer's initial public offering; and (ii) 239,300 ordinary shares, underlying 239,300 private placement units acquired by the Sponsor in a private placement simultaneously with the consummation of the Issuer's initial public offering. Each private placement unit consists of one ordinary share, one warrant exercisable for one ordinary share at an exercise price of $11.50, and one right to receive one-fourth (1/4) of one ordinary share.\r \r (2) The Sponsor is the record holder of the ordinary shares reported herein. Mr. Dong Chen is the sole shareholder and director of the Sponsor, which entitles him to voting, dispositive or investment power over the Sponsor. As such, Mr. Dong Chen is deemed to have voting and dispositive rights over the securities of the Issuer held by the Sponsor" }, { "accession_no": "0001929980-26-000394", "person_seq": 1, "reporting_person_cik": 2145632, "reporting_person_name": "Dong Chen", "fund_type": "OO", "citizenship_or_org": "F4", "sole_voting_power": 3100300.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3100300.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3100300.0, "percent_of_class": 21.1, "type_of_reporting_person": "IN", "comment_content": "(3) The Sponsor is the record holder of the ordinary shares reported herein. Mr. Dong Chen is the sole shareholder and a director of the Sponsor, which entitles him to voting, dispositive or investment power over the Sponsor. As such, Mr. Dong Chen is deemed to have voting and dispositive rights over the securities of the Issuer held by the Sponsor." }, { "accession_no": "0001931382-26-000009", "person_seq": 0, "reporting_person_cik": 1931382, "reporting_person_name": "GC Corp", "fund_type": "WC", "citizenship_or_org": "M5", "sole_voting_power": 0.0, "shared_voting_power": 5999703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5999703.0, "aggregate_amount_owned": 5999703.0, "percent_of_class": 12.3, "type_of_reporting_person": "HC", "comment_content": null }, { "accession_no": "0001931382-26-000009", "person_seq": 1, "reporting_person_cik": 1931891, "reporting_person_name": "GC Cell Corporation", "fund_type": "AF", "citizenship_or_org": "M5", "sole_voting_power": 0.0, "shared_voting_power": 1607734.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1607734.0, "aggregate_amount_owned": 1607734.0, "percent_of_class": 3.3, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0001931382-26-000009", "person_seq": 2, "reporting_person_cik": 1931083, "reporting_person_name": "Yong-Jun Huh", "fund_type": "AF", "citizenship_or_org": "M5", "sole_voting_power": 0.0, "shared_voting_power": 5999703.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 5999703.0, "aggregate_amount_owned": 5999703.0, "percent_of_class": 12.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001976454-26-000002", "person_seq": 0, "reporting_person_cik": 1976454, "reporting_person_name": "Schreiber Zvi", "fund_type": "OO", "citizenship_or_org": "L3", "sole_voting_power": 3131931.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3131931.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3131931.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": "The reporting person may have influence over 260,000 ordinary shares held by charitable donor advisory funds, but disclaims beneficial ownership" }, { "accession_no": "0001981744-26-000003", "person_seq": 0, "reporting_person_cik": 1981744, "reporting_person_name": "Orilla Asset Management, S.L.", "fund_type": "OO", "citizenship_or_org": "U3", "sole_voting_power": 0.0, "shared_voting_power": 2539771.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2539771.0, "aggregate_amount_owned": 2539771.0, "percent_of_class": 10.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001981744-26-000003", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Francisco Jose Riberas Mera", "fund_type": "OO", "citizenship_or_org": "U3", "sole_voting_power": 0.0, "shared_voting_power": 2539771.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2539771.0, "aggregate_amount_owned": 2539771.0, "percent_of_class": 10.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001989386-26-000005", "person_seq": 0, "reporting_person_cik": 1989386, "reporting_person_name": "Goldenwise Capital Group Ltd", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 1354510.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1354510.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1354510.0, "percent_of_class": 6.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001989386-26-000007", "person_seq": 0, "reporting_person_cik": 1989386, "reporting_person_name": "Goldenwise Capital Group Ltd", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 1354510.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1354510.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1354510.0, "percent_of_class": 6.6, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001989386-26-000008", "person_seq": 0, "reporting_person_cik": 1989386, "reporting_person_name": "Goldenwise Capital Group Ltd", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 1404176.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1404176.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1404176.0, "percent_of_class": 6.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001989386-26-000010", "person_seq": 0, "reporting_person_cik": 1989386, "reporting_person_name": "Goldenwise Capital Group Ltd", "fund_type": "WC", "citizenship_or_org": "K3", "sole_voting_power": 1404176.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1404176.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1404176.0, "percent_of_class": 6.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001999371-26-011002", "person_seq": 0, "reporting_person_cik": 1903793, "reporting_person_name": "TPG GP A, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3690146.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3690146.0, "aggregate_amount_owned": 3690146.0, "percent_of_class": 7.8, "type_of_reporting_person": "OO", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on 47,174,156 shares of Common Stock (as defined below) outstanding as of Closing (as defined below), as reported in the Prospectus filed by the Issuer (as defined below) with the Securities and Exchange Commission (the \"Commission\") on May 8, 2026." }, { "accession_no": "0001999371-26-011002", "person_seq": 1, "reporting_person_cik": 1099776, "reporting_person_name": "James G. Coulter", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3690146.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3690146.0, "aggregate_amount_owned": 3690146.0, "percent_of_class": 7.8, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on 47,174,156 shares of Common Stock outstanding as of Closing, as reported in the Prospectus filed by the Issuer with the Commission on May 8, 2026." }, { "accession_no": "0001999371-26-011002", "person_seq": 2, "reporting_person_cik": 1366946, "reporting_person_name": "Jon Winkelried", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 3690146.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3690146.0, "aggregate_amount_owned": 3690146.0, "percent_of_class": 7.8, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on 47,174,156 shares of Common Stock outstanding as of Closing, as reported in the Prospectus filed by the Issuer with the Commission on May 8, 2026." }, { "accession_no": "0001999371-26-011098", "person_seq": 0, "reporting_person_cik": 1441449, "reporting_person_name": "Qatar Investment Authority", "fund_type": "OO", "citizenship_or_org": "S3", "sole_voting_power": 11801103.0, "shared_voting_power": 0.0, "sole_dispositive_power": 11801103.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 11801103.0, "percent_of_class": 8.9, "type_of_reporting_person": "OO", "comment_content": "The reported percentage is calculated based upon 132,811,490 shares of Class A Common Stock outstanding as of May 1, 2026, as reported in the Issuer's Form 10-Q filed with the SEC on May 6, 2026." }, { "accession_no": "0001999371-26-011447", "person_seq": 0, "reporting_person_cik": 1903793, "reporting_person_name": "TPG GP A, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 9476069.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9476069.0, "aggregate_amount_owned": 9476069.0, "percent_of_class": 4.3, "type_of_reporting_person": "OO", "comment_content": "The percentage beneficial ownership set forth in response to Item 11 above is based on a total of 222,602,738 shares of Common Stock (as defined below) outstanding as of May 1, 2026, as reported in the Quarterly Report on Form 10-Q filed by the Issuer (as defined below) with the Securities and Exchange Commission (the \"Commission\") on May 5, 2026." }, { "accession_no": "0001999371-26-011447", "person_seq": 1, "reporting_person_cik": 1099776, "reporting_person_name": "James G. Coulter", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9476069.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9476069.0, "aggregate_amount_owned": 9476069.0, "percent_of_class": 4.3, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 11 above is based on a total of 222,602,738 shares of Common Stock outstanding as of May 1, 2026, as reported in the Quarterly Report on Form 10-Q filed by the Issuer with the Commission on May 5, 2026." }, { "accession_no": "0001999371-26-011447", "person_seq": 2, "reporting_person_cik": 1366946, "reporting_person_name": "Jon Winkelried", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 9476069.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 9476069.0, "aggregate_amount_owned": 9476069.0, "percent_of_class": 4.3, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 11 above is based on a total of 222,602,738 shares of Common Stock outstanding as of May 1, 2026, as reported in the Quarterly Report on Form 10-Q filed by the Issuer with the Commission on May 5, 2026." }, { "accession_no": "0001999371-26-012228", "person_seq": 0, "reporting_person_cik": 1274175, "reporting_person_name": "Emilio Fernando Azcarraga Jean", "fund_type": "AF", "citizenship_or_org": "O5", "sole_voting_power": 30971938087.0, "shared_voting_power": 48043120810.0, "sole_dispositive_power": 30971938087.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 79015058897.0, "percent_of_class": 22.3, "type_of_reporting_person": "IN", "comment_content": "The Shares reported in row (11) consist of (i) 57,796,450,290 A Shares and 13,396,406,679 A Shares underlying Convertible Debentures (as defined and further described in Item 4 below) representing 53.9% of the outstanding A Shares, assuming the conversion of the Convertible Debentures reported herein; (ii) 1,870,526,548 B Shares representing 3.4% of the outstanding B Shares; (iii) 2,975,837,690 D Shares representing 3.6% of the outstanding D Shares; and (iv) 2,975,837,690 L Shares representing 3.6% of the outstanding L Shares (See Item 5(a)).\n\nThe Shares reported in rows (8) and (11) include 48,043,120,810 Shares, which consist of (i) 28,275,978,654 A Shares; (ii) 1,710,408,348 B Shares; 2,721,104,190 D Shares; and (iv) 2,721,104,190 L Shares, subject to Special Voting Rights pursuant to the Transaction Agreement. In addition, the Shares reported in rows (8) and (11) include 12,614,525,428 A Shares underlying Convertible Debentures, subject to Special Voting Rights of Conversion Shares (as defined and further described in Item 4 below) pursuant to the Conversion Shares Voting Agreement (as defined and further described in Item 4 below)." }, { "accession_no": "0001999371-26-012252", "person_seq": 0, "reporting_person_cik": 2096305, "reporting_person_name": "Eduardo Tricio Haro", "fund_type": "AF", "citizenship_or_org": "O5", "sole_voting_power": 32928706980.0, "shared_voting_power": 0.0, "sole_dispositive_power": 32928706980.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 32928706980.0, "percent_of_class": 9.4, "type_of_reporting_person": "IN", "comment_content": "The Shares reported herein, which are held in the form of 212,816,900 CPOs and 68,625,040 CPOs underlying the Convertible Debenture (as defined and further described in Item 4 below), consist of (i) 5,320,422,500 A Shares and 1,715,626,000 A Shares underlying the Convertible Debenture representing 5.8% of the outstanding A Shares; (ii) 4,681,971,800 B Shares and 1,509,750,880 B Shares underlying the Convertible Debenture representing 11.0% of the outstanding B Shares; (iii) 7,448,591,500 D Shares and 2,401,876,400 D Shares underlying the Convertible Debenture representing 11.5% of the outstanding D Shares; and (iv) 7,448,591,500 L Shares and 2,401,876,400 L Shares underlying the Convertible Debenture representing 11.5% of the outstanding L Shares, in each instance, assuming the conversion of the Convertible Debenture Reported herein (See Item 5(a))." }, { "accession_no": "0001999371-26-012489", "person_seq": 0, "reporting_person_cik": 1861642, "reporting_person_name": "Hennion & Walsh Asset Management, Inc.", "fund_type": "OO", "citizenship_or_org": "NJ", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 205807.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 205807.0, "percent_of_class": 24.21, "type_of_reporting_person": "IA", "comment_content": "Aggregate amount owned represents 24.21% of 850,000 outstanding shares as stated by the issuer" }, { "accession_no": "0001999371-26-014059", "person_seq": 0, "reporting_person_cik": 1903793, "reporting_person_name": "TPG GP A, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 21349053.96, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21349053.96, "aggregate_amount_owned": 21349053.96, "percent_of_class": 19.6, "type_of_reporting_person": "OO", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 108,739,708.687 Common Shares (as defined below) outstanding as of the date of this report, as disclosed by the Issuer (as defined below) to the Reporting Persons (as defined below)." }, { "accession_no": "0001999371-26-014059", "person_seq": 1, "reporting_person_cik": 860662, "reporting_person_name": "ANGELO GORDON & CO., L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 21349053.96, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21349053.96, "aggregate_amount_owned": 21349053.96, "percent_of_class": 19.6, "type_of_reporting_person": "IA", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 108,739,708.687 Common Shares outstanding as of the date of this report, as disclosed by the Issuer to the Reporting Persons." }, { "accession_no": "0001999371-26-014059", "person_seq": 2, "reporting_person_cik": 1064683, "reporting_person_name": "AG GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 21349053.96, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21349053.96, "aggregate_amount_owned": 21349053.96, "percent_of_class": 19.6, "type_of_reporting_person": "HC", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 108,739,708.687 Common Shares outstanding as of the date of this report, as disclosed by the Issuer to the Reporting Persons." }, { "accession_no": "0001999371-26-014059", "person_seq": 3, "reporting_person_cik": 1099776, "reporting_person_name": "COULTER, JAMES G", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 21349053.96, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21349053.96, "aggregate_amount_owned": 21349053.96, "percent_of_class": 19.6, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 108,739,708.687 Common Shares outstanding as of the date of this report, as disclosed by the Issuer to the Reporting Persons." }, { "accession_no": "0001999371-26-014059", "person_seq": 4, "reporting_person_cik": 1366946, "reporting_person_name": "WINKELRIED JON", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 21349053.96, "sole_dispositive_power": 0.0, "shared_dispositive_power": 21349053.96, "aggregate_amount_owned": 21349053.96, "percent_of_class": 19.6, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 108,739,708.687 Common Shares outstanding as of the date of this report, as disclosed by the Issuer to the Reporting Persons." }, { "accession_no": "0001999371-26-014664", "person_seq": 0, "reporting_person_cik": 1829240, "reporting_person_name": "Maran Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3549000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3549000.0, "aggregate_amount_owned": 3549000.0, "percent_of_class": 14.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001999371-26-014664", "person_seq": 1, "reporting_person_cik": 1655289, "reporting_person_name": "Maran Partners Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 469000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 469000.0, "aggregate_amount_owned": 469000.0, "percent_of_class": 1.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001999371-26-014664", "person_seq": 2, "reporting_person_cik": 1829261, "reporting_person_name": "Maran Partners GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 469000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 469000.0, "aggregate_amount_owned": 469000.0, "percent_of_class": 1.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001999371-26-014664", "person_seq": 3, "reporting_person_cik": 2089566, "reporting_person_name": "Maran SPV1 LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 480000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 480000.0, "aggregate_amount_owned": 480000.0, "percent_of_class": 2.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001999371-26-014664", "person_seq": 4, "reporting_person_cik": 1829571, "reporting_person_name": "Maran SPV GP, LLC", "fund_type": "AF", "citizenship_or_org": "CO", "sole_voting_power": 0.0, "shared_voting_power": 480000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 480000.0, "aggregate_amount_owned": 480000.0, "percent_of_class": 2.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001999371-26-014664", "person_seq": 5, "reporting_person_cik": 1791049, "reporting_person_name": "Plaisance SPV I, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2600000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2600000.0, "aggregate_amount_owned": 2600000.0, "percent_of_class": 10.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001999371-26-014664", "person_seq": 6, "reporting_person_cik": 1829268, "reporting_person_name": "Daniel J. Roller", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 2653.0, "shared_voting_power": 3549000.0, "sole_dispositive_power": 2653.0, "shared_dispositive_power": 3549000.0, "aggregate_amount_owned": 3551653.0, "percent_of_class": 14.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001999371-26-014664", "person_seq": 7, "reporting_person_cik": 1791057, "reporting_person_name": "Daniel R. Kozlowski", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 351210.0, "shared_voting_power": 0.0, "sole_dispositive_power": 351210.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 351210.0, "percent_of_class": 1.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001999371-26-014664", "person_seq": 8, "reporting_person_cik": 1761269, "reporting_person_name": "Plaisance Capital LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001999371-26-016673", "person_seq": 0, "reporting_person_cik": 1903793, "reporting_person_name": "TPG GP A, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23342573.94, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23342573.94, "aggregate_amount_owned": 23342573.94, "percent_of_class": 21.3, "type_of_reporting_person": "OO", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 109,695,820.756 Common Shares (as defined below) outstanding as of the date of this report, as disclosed by the Issuer (as defined below) to the Reporting Persons (as defined below)." }, { "accession_no": "0001999371-26-016673", "person_seq": 1, "reporting_person_cik": 860662, "reporting_person_name": "ANGELO GORDON & CO., L.P.", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23342573.94, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23342573.94, "aggregate_amount_owned": 23342573.94, "percent_of_class": 21.3, "type_of_reporting_person": "IA", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 109,695,820.756 Common Shares outstanding as of the date of this report, as disclosed by the Issuer to the Reporting Persons." }, { "accession_no": "0001999371-26-016673", "person_seq": 2, "reporting_person_cik": 1064683, "reporting_person_name": "AG GP LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 23342573.94, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23342573.94, "aggregate_amount_owned": 23342573.94, "percent_of_class": 21.3, "type_of_reporting_person": "HC", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 109,695,820.756 Common Shares outstanding as of the date of this report, as disclosed by the Issuer to the Reporting Persons." }, { "accession_no": "0001999371-26-016673", "person_seq": 3, "reporting_person_cik": 1099776, "reporting_person_name": "COULTER, JAMES G", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 23342573.94, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23342573.94, "aggregate_amount_owned": 23342573.94, "percent_of_class": 21.3, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 109,695,820.756 Common Shares outstanding as of the date of this report, as disclosed by the Issuer to the Reporting Persons." }, { "accession_no": "0001999371-26-016673", "person_seq": 4, "reporting_person_cik": 1366946, "reporting_person_name": "WINKELRIED JON", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 23342573.94, "sole_dispositive_power": 0.0, "shared_dispositive_power": 23342573.94, "aggregate_amount_owned": 23342573.94, "percent_of_class": 21.3, "type_of_reporting_person": "IN", "comment_content": "The percentage beneficial ownership set forth in response to Item 13 above is based on a total of 109,695,820.756 Common Shares outstanding as of the date of this report, as disclosed by the Issuer to the Reporting Persons." }, { "accession_no": "0001999371-26-017231", "person_seq": 0, "reporting_person_cik": 1829240, "reporting_person_name": "Maran Capital Management, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 3549000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 3549000.0, "aggregate_amount_owned": 3549000.0, "percent_of_class": 14.7, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001999371-26-017231", "person_seq": 1, "reporting_person_cik": 1655289, "reporting_person_name": "Maran Partners Fund, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 469000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 469000.0, "aggregate_amount_owned": 469000.0, "percent_of_class": 1.9, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001999371-26-017231", "person_seq": 2, "reporting_person_cik": 1829261, "reporting_person_name": "Maran Partners GP, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 469000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 469000.0, "aggregate_amount_owned": 469000.0, "percent_of_class": 1.9, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001999371-26-017231", "person_seq": 3, "reporting_person_cik": 2089566, "reporting_person_name": "Maran SPV1 LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 480000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 480000.0, "aggregate_amount_owned": 480000.0, "percent_of_class": 2.0, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0001999371-26-017231", "person_seq": 4, "reporting_person_cik": 1829571, "reporting_person_name": "Maran SPV GP, LLC", "fund_type": "AF", "citizenship_or_org": "CO", "sole_voting_power": 0.0, "shared_voting_power": 480000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 480000.0, "aggregate_amount_owned": 480000.0, "percent_of_class": 2.0, "type_of_reporting_person": "IA", "comment_content": null }, { "accession_no": "0001999371-26-017231", "person_seq": 5, "reporting_person_cik": 1791049, "reporting_person_name": "Plaisance SPV I, LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2600000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2600000.0, "aggregate_amount_owned": 2600000.0, "percent_of_class": 10.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0001999371-26-017231", "person_seq": 6, "reporting_person_cik": 1829268, "reporting_person_name": "Daniel J. Roller", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 2653.0, "shared_voting_power": 3549000.0, "sole_dispositive_power": 2653.0, "shared_dispositive_power": 3549000.0, "aggregate_amount_owned": 3551653.0, "percent_of_class": 14.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0001999371-26-017231", "person_seq": 7, "reporting_person_cik": 1761269, "reporting_person_name": "Plaisance Capital LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002005138-26-000005", "person_seq": 0, "reporting_person_cik": 2005138, "reporting_person_name": "Bradley & Daytona Railway & Land Co. LLC", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 23772.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23772.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23772.0, "percent_of_class": 7.1, "type_of_reporting_person": "OO", "comment_content": "This Amendment No. 3 to Schedule 13D (\"Amendment No. 2\") amends and supplements the Schedule 13D originally filed with the U.S. Securities and Exchange Commission (the \"SEC\") on February 25, 2026 (as amended and supplemented, the \"Schedule 13D\"), and amends and supplements the Schedule 13D Amendment No. 1 and the Schedule 13D Amendment No.2 originally filed with the SEC on April 24, 2026. Unless otherwise indicated, all capitalized terms used but not defined herein shall have the meanings ascribed to them in the Schedule 13D. This Amendment No. 3 is being filed to make amendments to the Schedule 13D as follows:" }, { "accession_no": "0002005138-26-000007", "person_seq": 0, "reporting_person_cik": 2005138, "reporting_person_name": "Bradley & Daytona Railway and Land Co. LLC", "fund_type": "WC", "citizenship_or_org": "WY", "sole_voting_power": 15052.0, "shared_voting_power": 37350.0, "sole_dispositive_power": 15052.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 15052.0, "percent_of_class": 4.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002005138-26-000007", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Alexander Kachmar", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 8987.0, "shared_voting_power": 37350.0, "sole_dispositive_power": 8987.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 8987.0, "percent_of_class": 2.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002005138-26-000007", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "D & C Cacciapaglia Living Trust, U/A DTD 02/01/2013", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 9439.0, "shared_voting_power": 37350.0, "sole_dispositive_power": 9439.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9439.0, "percent_of_class": 2.8, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002005138-26-000007", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "David Cacciapaglia Family Trust, U/A DTD 11/25/2020", "fund_type": "AF", "citizenship_or_org": "CA", "sole_voting_power": 3872.0, "shared_voting_power": 37350.0, "sole_dispositive_power": 3872.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3872.0, "percent_of_class": 1.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002005915-26-000002", "person_seq": 0, "reporting_person_cik": 2005915, "reporting_person_name": "Wu Yi", "fund_type": "PF", "citizenship_or_org": "F4", "sole_voting_power": 20196118.0, "shared_voting_power": null, "sole_dispositive_power": 20196118.0, "shared_dispositive_power": null, "aggregate_amount_owned": 20196118.0, "percent_of_class": 6.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002005915-26-000002", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Rosy Time Global Limited", "fund_type": "WC", "citizenship_or_org": "D8", "sole_voting_power": 19123466.0, "shared_voting_power": null, "sole_dispositive_power": 19123466.0, "shared_dispositive_power": null, "aggregate_amount_owned": 19123466.0, "percent_of_class": 5.8, "type_of_reporting_person": "CO", "comment_content": "Represents 19,123,466 Class A ordinary shares held by Rosy Time Global Limited." }, { "accession_no": "0002007997-26-000002", "person_seq": 0, "reporting_person_cik": 1635075, "reporting_person_name": "Ramaswamy Vivek", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002014483-26-000002", "person_seq": 0, "reporting_person_cik": 2014483, "reporting_person_name": "PW Partners Atlas Fund IV LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Atlas Fund IV (as defined below) beneficially owns 0 Common Shares.\n\nAll percentage calculations set forth herein are based upon the aggregate of 21,197,187 Common Shares outstanding as of February 25, 2026, as reported in the Issuers Annual Report on Form 10-K filed with the U.S. Securities and Exchange Commission." }, { "accession_no": "0002014483-26-000002", "person_seq": 1, "reporting_person_cik": 1562774, "reporting_person_name": "PW Partners Atlas Fund LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 500.0, "aggregate_amount_owned": 500.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "Atlas Fund LP (as defined below) beneficially owns an aggregate of 500 Common Shares, consisting of Common Shares held in record name.\n\nAll percentage calculations set forth herein are based upon the aggregate of 21,197,187 Common Shares outstanding as of February 25, 2026, as reported in the Issuer Annual Report on Form 10-K filed with the SEC." }, { "accession_no": "0002014483-26-000002", "person_seq": 2, "reporting_person_cik": 1594105, "reporting_person_name": "PW Partners Atlas Funds, LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 500.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 500.0, "aggregate_amount_owned": 500.0, "percent_of_class": 0.0, "type_of_reporting_person": "PN", "comment_content": "By virtue of being the general partner of Atlas Fund LP (as defined below), Atlas Fund GP (as defined below) may be deemed to beneficially own the Common Shares owned directly by Atlas Fund LP.\n\nAll percentage calculations set forth herein are based upon the aggregate of 21,197,187 Common Shares outstanding as of February 25, 2026, as reported in the Issuer Annual Report on Form 10-K filed with the SEC." }, { "accession_no": "0002014483-26-000002", "person_seq": 3, "reporting_person_cik": 1594106, "reporting_person_name": "PW Partners, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 530000.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 530000.0, "aggregate_amount_owned": 530000.0, "percent_of_class": 2.5, "type_of_reporting_person": "OO", "comment_content": "PW Partners, LLC beneficially owns an aggregate of 530,000 Common Shares.\n\nAll percentage calculations set forth herein are based upon the aggregate of 21,197,187 Common Shares outstanding as of February 25, 2026, as reported in the Issuer Annual Report on Form 10-K filed with the SEC." }, { "accession_no": "0002014483-26-000002", "person_seq": 4, "reporting_person_cik": 1594107, "reporting_person_name": "PW Partners Capital Management LLC", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 20201.0, "shared_voting_power": 530000.0, "sole_dispositive_power": 20201.0, "shared_dispositive_power": 530500.0, "aggregate_amount_owned": 550701.0, "percent_of_class": 2.6, "type_of_reporting_person": "OO", "comment_content": "By virtue of being the investment manager of each of Atlas Fund LP (as defined below) and PW Partners, LLC, PW Partners Capital Management LLC (as defined below) may be deemed to beneficially own the Common Shares owned directly by Atlas Fund LP and PW Partners, LLC, aggregating 530,500 Common Shares.\n\nAll percentage calculations set forth herein are based upon the aggregate of 21,197,187 Common Shares outstanding as of February 25, 2026, as reported in the Issuer Annual Report on Form 10-K filed with the SEC." }, { "accession_no": "0002014483-26-000002", "person_seq": 5, "reporting_person_cik": 1508045, "reporting_person_name": "Walsh Patrick", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 20201.0, "shared_voting_power": 530500.0, "sole_dispositive_power": 20201.0, "shared_dispositive_power": 530500.0, "aggregate_amount_owned": 550701.0, "percent_of_class": 2.6, "type_of_reporting_person": "IN", "comment_content": "By virtue of being the Managing Member and Chief Executive Officer of each of PW Partners, LLC and PW Partners Capital Management LLC and the Managing Member of Atlas Fund GP (as defined below), Mr. Walsh may be deemed to beneficially own the Common Shares owned directly by Atlas Fund LP and PW Partners, LLC. Mr. Walsh beneficially owns an aggregate of 550,701 Common Shares, consisting of (i) 20,201 Common Shares held directly by him and (ii) 530,500 Common Shares beneficially owned through such entities.\n\nAll percentage calculations set forth herein are based upon the aggregate of 21,197,187 Common Shares outstanding as of February 25, 2026, as reported in the Issuer Annual Report on Form 10-K filed with the SEC." }, { "accession_no": "0002035146-26-000006", "person_seq": 0, "reporting_person_cik": 2035146, "reporting_person_name": "American Heritage Railways, Inc.", "fund_type": "WC", "citizenship_or_org": "FL", "sole_voting_power": 0.0, "shared_voting_power": 810459.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 810459.0, "aggregate_amount_owned": 810459.0, "percent_of_class": 8.7, "type_of_reporting_person": "CO", "comment_content": "* Percentage calculated is based on 9,332,822 shares of common stock, par value $0.001 per share outstanding as of January 8, 2026, as reported in the Form 10-Q for the fiscal quarter ended November 30, 2025, of Rocky Mountain Chocolate Factory, Inc." }, { "accession_no": "0002035146-26-000006", "person_seq": 1, "reporting_person_cik": 1209750, "reporting_person_name": "Harper Allen C", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 1911.0, "shared_voting_power": 810459.0, "sole_dispositive_power": 1911.0, "shared_dispositive_power": 810459.0, "aggregate_amount_owned": 812370.0, "percent_of_class": 8.7, "type_of_reporting_person": "IN", "comment_content": "* Percentage calculated is based on 9,332,822 shares of common stock, par value $0.001 per share outstanding as of January 8, 2026, as reported in the Form 10-Q for the fiscal quarter ended November 30, 2025, of Rocky Mountain Chocolate Factory, Inc." }, { "accession_no": "0002037885-26-000005", "person_seq": 0, "reporting_person_cik": 2037885, "reporting_person_name": "Charles D. Schmalz", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 24153.0, "shared_voting_power": 76241.0, "sole_dispositive_power": 24153.0, "shared_dispositive_power": 76241.0, "aggregate_amount_owned": 100934.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002037885-26-000005", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Dana Schmalz", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 76241.0, "shared_voting_power": 24153.0, "sole_dispositive_power": 76241.0, "shared_dispositive_power": 24153.0, "aggregate_amount_owned": 100934.0, "percent_of_class": 9.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002046701-26-000008", "person_seq": 0, "reporting_person_cik": 2046701, "reporting_person_name": "Exicure HiTron Inc.", "fund_type": "OO", "citizenship_or_org": "M5", "sole_voting_power": 2222224.0, "shared_voting_power": 0.0, "sole_dispositive_power": 2222224.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 2222224.0, "percent_of_class": 34.9, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0002048309-26-000007", "person_seq": 0, "reporting_person_cik": 2048309, "reporting_person_name": "Munagala Dinakar", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 9259316.0, "shared_voting_power": 0.0, "sole_dispositive_power": 9259316.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 9259316.0, "percent_of_class": 6.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002049820-26-000009", "person_seq": 0, "reporting_person_cik": 2049820, "reporting_person_name": "Canada Growth Fund Inc.", "fund_type": "WC", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 84134998.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 84134998.0, "aggregate_amount_owned": 84134998.0, "percent_of_class": 24.1, "type_of_reporting_person": "CO", "comment_content": "Items 8, 10, 11, and 13 include the number of common shares, no par value per share (Common Shares), of Nouveau Monde Graphite Inc. (NMG) issuable to Canada Growth Fund Inc. (CGF) upon exercise of all Warrants held by CGF and the 2026 Private Placement Common Shares (as defined below).\n\nIn Item 13, the percentage is based on 348,955,599 Common Shares deemed outstanding, in part, pursuant to Rule 13d-3(d)(1) (Rule 13d-3(d)(1)) of the Securities and Exchange Act of 1934, as amended (Exchange Act), calculated as the sum of 160,826,539 Common Shares outstanding according to the Form 6-K filed by NMG with the U.S. Securities and Exchange Commission (SEC) on May 12, 2026, plus 19,841,269 Common Shares that are issuable upon exercise of Warrants held by CGF, plus 44,452,460 2026 Private Placement Common Shares, plus 123,835,331 additional Common Shares issued in connection with NMG's April 2026 private placement (other than the 2026 Private Placement Common Shares) and concurrent bought deal subscription receipt public offering (collectively, the April Transactions)." }, { "accession_no": "0002049820-26-000009", "person_seq": 1, "reporting_person_cik": 2049818, "reporting_person_name": "Canada Growth Fund Investment Management Inc.", "fund_type": "WC", "citizenship_or_org": "Z4", "sole_voting_power": 0.0, "shared_voting_power": 84134998.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 84134998.0, "aggregate_amount_owned": 84134998.0, "percent_of_class": 24.1, "type_of_reporting_person": "CO", "comment_content": "Items 8, 10, 11, and 13 include the number of Common Shares issuable to CGF upon exercise of all Warrants held by CGF and the 2026 Private Placement Common Shares. Canada Growth Fund Investment Management Inc. (CGFIM) is the discretionary exclusive investment manager for CGF, and, therefore, CGFIM may be deemed to beneficially own the Common Shares held by CGF as discretionary exclusive investment manager for CGF.\n\nIn Item 13, the percentage is based on 348,955,599 Common Shares deemed outstanding, in part, pursuant to Rule 13d-3(d)(1) calculated as the sum of 160,826,539 Common Shares outstanding according to the Form 6-K filed by NMG with the SEC on May 12, 2026, plus 19,841,269 Common Shares that are issuable upon exercise of Warrants held by CGF, plus 44,452,460 2026 Private Placement Common Shares, plus 123,835,331 additional Common Shares issued in connection with the April Transactions." }, { "accession_no": "0002052595-26-000076", "person_seq": 0, "reporting_person_cik": 1344146, "reporting_person_name": "TORONTO DOMINION INVESTMENTS LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002052595-26-000076", "person_seq": 1, "reporting_person_cik": 744464, "reporting_person_name": "TORONTO DOMINION HOLDINGS (U.S.A.), INC.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0002052595-26-000076", "person_seq": 2, "reporting_person_cik": 1710914, "reporting_person_name": "TD GROUP US HOLDINGS LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002052595-26-000076", "person_seq": 3, "reporting_person_cik": 947263, "reporting_person_name": "THE TORONTO-DOMINION BANK", "fund_type": "WC", "citizenship_or_org": "A6", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "BK", "comment_content": null }, { "accession_no": "0002060757-26-000029", "person_seq": 0, "reporting_person_cik": 1969435, "reporting_person_name": "Voss Value Master Fund, LP", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 758653.0, "shared_voting_power": 0.0, "sole_dispositive_power": 758653.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 758653.0, "percent_of_class": 1.8, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0002060757-26-000029", "person_seq": 1, "reporting_person_cik": 1863498, "reporting_person_name": "Voss Value-Oriented Special Situations Fund, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 150000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 150000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 150000.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0002060757-26-000029", "person_seq": 2, "reporting_person_cik": 1798309, "reporting_person_name": "Voss Advisors GP, LLC", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 908653.0, "shared_voting_power": 0.0, "sole_dispositive_power": 908653.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 908653.0, "percent_of_class": 2.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002060757-26-000029", "person_seq": 3, "reporting_person_cik": 1730145, "reporting_person_name": "Voss Capital, LP", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 5908653.0, "shared_voting_power": 880000.0, "sole_dispositive_power": 5908653.0, "shared_dispositive_power": 880000.0, "aggregate_amount_owned": 6788653.0, "percent_of_class": 16.2, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002060757-26-000029", "person_seq": 4, "reporting_person_cik": 1798383, "reporting_person_name": "Cocke Travis W.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 5908653.0, "shared_voting_power": 880000.0, "sole_dispositive_power": 5908653.0, "shared_dispositive_power": 880000.0, "aggregate_amount_owned": 6788653.0, "percent_of_class": 16.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002060757-26-000032", "person_seq": 0, "reporting_person_cik": 1969435, "reporting_person_name": "Voss Value Master Fund, LP", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 925000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 925000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 925000.0, "percent_of_class": 2.2, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0002060757-26-000032", "person_seq": 1, "reporting_person_cik": 1863498, "reporting_person_name": "Voss Value-Oriented Special Situations Fund, LP", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 150000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 150000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 150000.0, "percent_of_class": 0.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0002060757-26-000032", "person_seq": 2, "reporting_person_cik": 1798309, "reporting_person_name": "Voss Advisors GP, LLC", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 1075000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 1075000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 1075000.0, "percent_of_class": 2.6, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002060757-26-000032", "person_seq": 3, "reporting_person_cik": 1730145, "reporting_person_name": "Voss Capital, LP", "fund_type": "OO", "citizenship_or_org": "TX", "sole_voting_power": 4821400.0, "shared_voting_power": 1075000.0, "sole_dispositive_power": 4821400.0, "shared_dispositive_power": 1075000.0, "aggregate_amount_owned": 5896400.0, "percent_of_class": 14.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002060757-26-000032", "person_seq": 4, "reporting_person_cik": 1798383, "reporting_person_name": "Cocke Travis W.", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 4821400.0, "shared_voting_power": 1075000.0, "sole_dispositive_power": 4821400.0, "shared_dispositive_power": 1075000.0, "aggregate_amount_owned": 5896400.0, "percent_of_class": 14.3, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002064835-26-000069", "person_seq": 0, "reporting_person_cik": 1965660, "reporting_person_name": "Daniel Oliver Jr", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 3445577.0, "shared_voting_power": 14663191.0, "sole_dispositive_power": 3445577.0, "shared_dispositive_power": 14663191.0, "aggregate_amount_owned": 18108768.0, "percent_of_class": 13.95, "type_of_reporting_person": "IN", "comment_content": "Percent of class is calculated based on 127,543,837 shares outstanding as of 6-15-26." }, { "accession_no": "0002064835-26-000069", "person_seq": 1, "reporting_person_cik": 1848738, "reporting_person_name": "Myrmikan Gold Fund, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IV", "comment_content": "The Fund does not have the ability, directly or indirectly, to vote or dispose of the Issuer's shares owned of record by the Fund." }, { "accession_no": "0002064835-26-000069", "person_seq": 2, "reporting_person_cik": 1965935, "reporting_person_name": "Myrmikan Capital, LLC", "fund_type": "OO", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 14663191.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 14663191.0, "aggregate_amount_owned": 14663191.0, "percent_of_class": 11.5, "type_of_reporting_person": "IV", "comment_content": "Percent of class is calculated based on 127,543,837 shares outstanding as of 6-15-26." }, { "accession_no": "0002064835-26-000078", "person_seq": 0, "reporting_person_cik": 2097627, "reporting_person_name": "Novel Inspiration International Co., Ltd.", "fund_type": "OO", "citizenship_or_org": "D8", "sole_voting_power": 5551429.0, "shared_voting_power": 0.0, "sole_dispositive_power": 5551429.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 5551429.0, "percent_of_class": 24.65, "type_of_reporting_person": "IV", "comment_content": null }, { "accession_no": "0002064835-26-000078", "person_seq": 1, "reporting_person_cik": 2117133, "reporting_person_name": "XINPO VENTURE CAPITAL CO., LTD.", "fund_type": "OO", "citizenship_or_org": "F5", "sole_voting_power": 0.0, "shared_voting_power": 1186809.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1186809.0, "aggregate_amount_owned": 1186809.0, "percent_of_class": 6.77, "type_of_reporting_person": "IV", "comment_content": null }, { "accession_no": "0002064835-26-000078", "person_seq": 2, "reporting_person_cik": 2098041, "reporting_person_name": "Lin Shih-Yao David", "fund_type": "AF", "citizenship_or_org": "F5", "sole_voting_power": 5551429.0, "shared_voting_power": 1186809.0, "sole_dispositive_power": 5551429.0, "shared_dispositive_power": 1186809.0, "aggregate_amount_owned": 6738238.0, "percent_of_class": 29.92, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002069861-26-000003", "person_seq": 0, "reporting_person_cik": 2069861, "reporting_person_name": "Hendricks Lloyd Bernard III", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 905767040.0, "shared_voting_power": 905767040.0, "sole_dispositive_power": 905767040.0, "shared_dispositive_power": 905767040.0, "aggregate_amount_owned": 905767040.0, "percent_of_class": 14.5, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002069861-26-000004", "person_seq": 0, "reporting_person_cik": 2069861, "reporting_person_name": "Hendricks Lloyd Bernard III", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1545.0, "shared_voting_power": 1545.0, "sole_dispositive_power": 1545.0, "shared_dispositive_power": 1545.0, "aggregate_amount_owned": 1545.0, "percent_of_class": 14.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002069861-26-000005", "person_seq": 0, "reporting_person_cik": 2069861, "reporting_person_name": "Hendricks Lloyd Bernard III", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 6900000.0, "shared_voting_power": 6900000.0, "sole_dispositive_power": 6900000.0, "shared_dispositive_power": 6900000.0, "aggregate_amount_owned": 6900000.0, "percent_of_class": 100.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002073198-26-000003", "person_seq": 0, "reporting_person_cik": 2073198, "reporting_person_name": "Mills Enrico Kevin", "fund_type": "PF", "citizenship_or_org": "V8", "sole_voting_power": 742493.0, "shared_voting_power": 0.0, "sole_dispositive_power": 742493.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 742493.0, "percent_of_class": 8.6, "type_of_reporting_person": "IN", "comment_content": "Consists of 265,784 shares held directly, 50,415 shares held in custodial accounts for the Reporting Person's minor children, 262,743 shares issuable upon conversion of the 2024 Note and 163,551 shares issuable upon conversion of the 2025 Note." }, { "accession_no": "0002087954-26-000002", "person_seq": 0, "reporting_person_cik": 2087954, "reporting_person_name": "Fusion Summer Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 12207527.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12207527.0, "aggregate_amount_owned": 12207527.0, "percent_of_class": 18.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0002087954-26-000002", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Summer Wisdom Holdings Limited", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 12207527.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 12207527.0, "aggregate_amount_owned": 12207527.0, "percent_of_class": 18.5, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0002087954-26-000002", "person_seq": 2, "reporting_person_cik": 2086036, "reporting_person_name": "Choon Wee Chee", "fund_type": "PF", "citizenship_or_org": "N8", "sole_voting_power": 1109118.0, "shared_voting_power": 12207527.0, "sole_dispositive_power": 1109118.0, "shared_dispositive_power": 12207527.0, "aggregate_amount_owned": 13316645.0, "percent_of_class": 20.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002092332-26-000003", "person_seq": 0, "reporting_person_cik": 2092332, "reporting_person_name": "Ikezi Henry", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 3293276.0, "sole_dispositive_power": null, "shared_dispositive_power": 3293276.0, "aggregate_amount_owned": 3293276.0, "percent_of_class": 41.4, "type_of_reporting_person": "IN", "comment_content": "Row 13: This calculation is based on 7,745,683 shares of Common Stock outstanding as reported by the Issuer in its preliminary registration statement on Form S-1 (File No. 333-293402) as filed with the SEC on April 17, 2026, plus 214,037 shares of Common Stock issued upon exercise or conversion of the Residual Warrants, for an assumed total of 7,959,720 shares outstanding." }, { "accession_no": "0002092332-26-000003", "person_seq": 1, "reporting_person_cik": 2092800, "reporting_person_name": "Bayside Project LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 511310.0, "sole_dispositive_power": null, "shared_dispositive_power": 511310.0, "aggregate_amount_owned": 511310.0, "percent_of_class": 6.4, "type_of_reporting_person": "OO", "comment_content": "Row 13: This calculation is based on 7,745,683 shares of Common Stock outstanding as reported by the Issuer in its preliminary registration statement on Form S-1 (File No. 333-293402) as filed with the SEC on April 17, 2026, plus 214,037 shares of Common Stock issued upon exercise or conversion of the Residual Warrants, for an assumed total of 7,959,720 shares outstanding." }, { "accession_no": "0002092332-26-000003", "person_seq": 2, "reporting_person_cik": 2092793, "reporting_person_name": "Madison Bond LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 2544329.0, "sole_dispositive_power": null, "shared_dispositive_power": 2544329.0, "aggregate_amount_owned": 2544329.0, "percent_of_class": 32.0, "type_of_reporting_person": "OO", "comment_content": "Row 13: This calculation is based on 7,745,683 shares of Common Stock outstanding as reported by the Issuer in its preliminary registration statement on Form S-1 (File No. 333-293402) as filed with the SEC on April 17, 2026, plus 214,037 shares of Common Stock issued upon exercise or conversion of the 246,664 Series A warrants exercisable for 214,037 shares of Common Stock (the Residual Warrants), for an assumed total of 7,959,720 shares outstanding." }, { "accession_no": "0002092332-26-000003", "person_seq": 3, "reporting_person_cik": null, "reporting_person_name": "FUN Investment Homes LLC", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": null, "shared_voting_power": 237637.0, "sole_dispositive_power": null, "shared_dispositive_power": 237637.0, "aggregate_amount_owned": 237637.0, "percent_of_class": 3.0, "type_of_reporting_person": "OO", "comment_content": "Row 13: This calculation is based on 7,745,683 shares of Common Stock outstanding as reported by the Issuer in its preliminary registration statement on Form S-1 (File No. 333-293402) as filed with the SEC on April 17, 2026, plus 214,037 shares of Common Stock issued upon exercise or conversion of the Residual Warrants, for an assumed total of 7,959,720 shares outstanding." }, { "accession_no": "0002093315-26-000015", "person_seq": 0, "reporting_person_cik": 2093315, "reporting_person_name": "Scott Beck", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 1189977.0, "shared_voting_power": 32974740.0, "sole_dispositive_power": 1189977.0, "shared_dispositive_power": 32974740.0, "aggregate_amount_owned": 34164737.0, "percent_of_class": 49.03, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002104194-26-000015", "person_seq": 0, "reporting_person_cik": 2104194, "reporting_person_name": "SOULE RANDY", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 72383239.0, "shared_voting_power": 0.0, "sole_dispositive_power": 72383239.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 72383239.0, "percent_of_class": 21.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002104194-26-000015", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Encore DEC, LLC", "fund_type": null, "citizenship_or_org": "X1", "sole_voting_power": 16683000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 16683000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 16683000.0, "percent_of_class": 5.0, "type_of_reporting_person": "CO", "comment_content": null }, { "accession_no": "0002106572-26-000002", "person_seq": 0, "reporting_person_cik": 2106572, "reporting_person_name": "EEME Energy SPV I, LLC", "fund_type": "WC", "citizenship_or_org": "X1", "sole_voting_power": 109499560.0, "shared_voting_power": 0.0, "sole_dispositive_power": 109499560.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 109499560.0, "percent_of_class": 27.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002106572-26-000002", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Majique Ladnier", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 144274860.0, "shared_voting_power": 0.0, "sole_dispositive_power": 144274860.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 144274860.0, "percent_of_class": 36.2, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002107788-26-000001", "person_seq": 0, "reporting_person_cik": 2107788, "reporting_person_name": "Takeover Time 2026 LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 3420439.0, "shared_voting_power": 0.0, "sole_dispositive_power": 3420439.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 3420439.0, "percent_of_class": 10.9, "type_of_reporting_person": "OO", "comment_content": "The percentage reported is based on the best information available to the Reporting Person as of the date of this filing. The issuer's most recent publicly disclosed outstanding share count appears stale because it would imply ownership on excess of 100%. The actual percentage may be higher than reported and remains subject to confirmation from issuer records or transfer agent records." }, { "accession_no": "0002107788-26-000003", "person_seq": 0, "reporting_person_cik": 2107788, "reporting_person_name": "Takeover Time 2026 LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "OO", "comment_content": "The Reporting Person disposed of all shares previously reported as beneficially owned and no longer beneficially owns any shares of Common Stock." }, { "accession_no": "0002110919-26-000002", "person_seq": 0, "reporting_person_cik": 2110919, "reporting_person_name": "Khan MD Ehsan", "fund_type": "PF", "citizenship_or_org": "P6", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002111050-26-000008", "person_seq": 0, "reporting_person_cik": 2111050, "reporting_person_name": "Glibert Christian Michael", "fund_type": "OO", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002123470-26-000002", "person_seq": 0, "reporting_person_cik": 2123470, "reporting_person_name": "Caddis Holdings, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 57446450.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 57446450.0, "aggregate_amount_owned": 57446450.0, "percent_of_class": 9.1, "type_of_reporting_person": "PN", "comment_content": "Percentage of class represented is calculated based on 629,839,790 shares of Common Stock outstanding as of March 23, 2026, as reported on the Issuer's Form 10-K filed on March 30, 2026, pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (the \"10-K\")." }, { "accession_no": "0002123470-26-000002", "person_seq": 1, "reporting_person_cik": 1950683, "reporting_person_name": "Perry Griffin", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 57446450.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 57446450.0, "aggregate_amount_owned": 57446450.0, "percent_of_class": 9.1, "type_of_reporting_person": "HC", "comment_content": "Percentage of class represented is calculated based on 629,839,790 shares of Common Stock outstanding as of March 23, 2026, as reported on the 10-K." }, { "accession_no": "0002123470-26-000003", "person_seq": 0, "reporting_person_cik": 2123470, "reporting_person_name": "Caddis Holdings, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 52318073.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 52318073.0, "aggregate_amount_owned": 52318073.0, "percent_of_class": 8.2, "type_of_reporting_person": "PN", "comment_content": "Percentage of class represented is calculated based on 637,574,239 shares of Common Stock outstanding as of May 11, 2026, as reported on the Issuer's Form 10-Q filed on May 15, 2026, pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (the \"10-Q\")." }, { "accession_no": "0002123470-26-000003", "person_seq": 1, "reporting_person_cik": 1950683, "reporting_person_name": "Perry Griffin", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 52318073.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 52318073.0, "aggregate_amount_owned": 52318073.0, "percent_of_class": 8.2, "type_of_reporting_person": "HC", "comment_content": "Percentage of class represented is calculated based on 637,574,239 shares of Common Stock outstanding as of May 11, 2026, as reported on the Form 10-Q." }, { "accession_no": "0002123470-26-000004", "person_seq": 0, "reporting_person_cik": 2123470, "reporting_person_name": "Caddis Holdings, LP", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 52256833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 52256833.0, "aggregate_amount_owned": 52256833.0, "percent_of_class": 8.2, "type_of_reporting_person": "PN", "comment_content": "This amendment to the Schedule 13D/A filed on July 2, 2026 is being filed to correct a clerical error in the disclosure of the number of shares sold pursuant to the Option. Percentage of class represented is calculated based on 637,574,239 shares of Common Stock outstanding as of May 11, 2026, as reported on the Issuer's Form 10-Q filed on May 15, 2026, pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (the \"10-Q\")." }, { "accession_no": "0002123470-26-000004", "person_seq": 1, "reporting_person_cik": 1950683, "reporting_person_name": "Perry Griffin", "fund_type": "AF", "citizenship_or_org": "TX", "sole_voting_power": 0.0, "shared_voting_power": 52256833.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 52256833.0, "aggregate_amount_owned": 52256833.0, "percent_of_class": 8.2, "type_of_reporting_person": "HC", "comment_content": "This amendment to the Schedule 13D/A filed on July 2, 2026 is being filed to correct a clerical error in the disclosure of the number of shares sold pursuant to the Option. Percentage of class represented is calculated based on 637,574,239 shares of Common Stock outstanding as of May 11, 2026, as reported on the Form 10-Q." }, { "accession_no": "0002127275-26-000003", "person_seq": 0, "reporting_person_cik": 2127275, "reporting_person_name": "Amanat Sponsor Holdings LLC", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2456250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2456250.0, "aggregate_amount_owned": 2456250.0, "percent_of_class": 24.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002127275-26-000003", "person_seq": 1, "reporting_person_cik": 1945691, "reporting_person_name": "Sandeep Chidambar Kulkarni", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 2456250.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2456250.0, "aggregate_amount_owned": 2456250.0, "percent_of_class": 24.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002130490-26-000003", "person_seq": 0, "reporting_person_cik": 2130490, "reporting_person_name": "TVP Bitcoin Venture GP II, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2337569.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2337569.0, "aggregate_amount_owned": 2337569.0, "percent_of_class": 25.5, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002130490-26-000003", "person_seq": 1, "reporting_person_cik": 2059843, "reporting_person_name": "TVP Bitcoin Venture Fund II, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 2337569.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 2337569.0, "aggregate_amount_owned": 2337569.0, "percent_of_class": 25.5, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0002130490-26-000003", "person_seq": 2, "reporting_person_cik": 2130065, "reporting_person_name": "TVP Bitcoin Venture GP I, L.L.C.", "fund_type": "AF", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1125618.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1125618.0, "aggregate_amount_owned": 1125618.0, "percent_of_class": 12.4, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002130490-26-000003", "person_seq": 3, "reporting_person_cik": 1841271, "reporting_person_name": "TVP Bitcoin Venture Fund I, L.P.", "fund_type": "WC", "citizenship_or_org": "DE", "sole_voting_power": 0.0, "shared_voting_power": 1125618.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1125618.0, "aggregate_amount_owned": 1125618.0, "percent_of_class": 12.4, "type_of_reporting_person": "PN", "comment_content": null }, { "accession_no": "0002130490-26-000003", "person_seq": 4, "reporting_person_cik": 2130492, "reporting_person_name": "Christopher Shane Calicott", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 368654.0, "shared_voting_power": 3463187.0, "sole_dispositive_power": 140019.0, "shared_dispositive_power": 3463187.0, "aggregate_amount_owned": 3831841.0, "percent_of_class": 40.8, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002134549-26-000001", "person_seq": 0, "reporting_person_cik": 2134549, "reporting_person_name": "Xlife Sciences AG", "fund_type": "SC", "citizenship_or_org": "V8", "sole_voting_power": 23029967.0, "shared_voting_power": 0.0, "sole_dispositive_power": 23029967.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 23029967.0, "percent_of_class": 16.3, "type_of_reporting_person": "CO", "comment_content": "(7) The shares reported in this Schedule 13D as beneficially owned by Xlife Sciences AG (the \"Reporting Person\") were acquired upon the closing of a business combination between Voyager Acquisition Corp. (\"Voyager\") and Veraxa Biotech AG (\"Veraxa\"; such transaction with Voyager, the \"Business Combination\") on June 8, 2026 (the \"Closing Date\"), pursuant to a Business Combination Agreement by and among Voyager, Veraxa, Veraxa Biotech AG (\"PubCo\"), Veraxa Cayman Merger Sub (\"Merger Sub\"), and Oliver Baumann, solely in his capacity as shareholder representative, Voyager merged with and into Merger Sub, with Merger Sub being the surviving company and a wholly owned subsidiary of PubCo. Following, Veraxa merged with and into PubCo, with PubCo being the surviving company. Following the consummation of the Business Combination, PubCo changed its name to \"Veraxa Biotech AG\" (the \"Issuer\")." }, { "accession_no": "0002134649-26-000001", "person_seq": 0, "reporting_person_cik": 2134649, "reporting_person_name": "Schoeni Gilbert Edgar", "fund_type": "SC", "citizenship_or_org": "V8", "sole_voting_power": 22539749.0, "shared_voting_power": 0.0, "sole_dispositive_power": 22539749.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 22539749.0, "percent_of_class": 15.9, "type_of_reporting_person": "IN", "comment_content": "(7) The shares reported in this Schedule 13D as beneficially owned by Gilbert Edgar Schoeni (the \"Reporting Person\") were acquired upon the closing of a business combination between Voyager Acquisition Corp. (\"Voyager\") and Veraxa Biotech AG (\"Veraxa\"; such transaction with Voyager, the \"Business Combination\") on June 8, 2026 (the \"Closing Date\"), pursuant to a Business Combination Agreement by and among Voyager, Veraxa, Veraxa Biotech AG (\"PubCo\"), Veraxa Cayman Merger Sub (\"Merger Sub\"), and Oliver Baumann, solely in his capacity as shareholder representative, Voyager merged with and into Merger Sub, with Merger Sub being the surviving company and a wholly owned subsidiary of PubCo. Following, Veraxa merged with and into PubCo, with PubCo being the surviving company. Following the consummation of the Business Combination, PubCo changed its name to \"Veraxa Biotech AG\" (the \"Issuer\")." }, { "accession_no": "0002134715-26-000001", "person_seq": 0, "reporting_person_cik": 2134715, "reporting_person_name": "European Molecular Biology Laboratory", "fund_type": "SC", "citizenship_or_org": "2M", "sole_voting_power": 0.0, "shared_voting_power": 22891235.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 22891235.0, "aggregate_amount_owned": 22891235.0, "percent_of_class": 16.2, "type_of_reporting_person": "CO", "comment_content": "(8) The shares reported in this Schedule 13D as beneficially owned by European Molecular Biology Laboratory (the \"Reporting Person\") were acquired upon the closing of a business combination between Voyager Acquisition Corp. (\"Voyager\") and Veraxa Biotech AG (\"Veraxa\"; such transaction with Voyager, the \"Business Combination\") on June 8, 2026 (the \"Closing Date\"), pursuant to a Business Combination Agreement by and among Voyager, Veraxa, Veraxa Biotech AG (\"PubCo\"), Veraxa Cayman Merger Sub (\"Merger Sub\"), and Oliver Baumann, solely in his capacity as shareholder representative, Voyager merged with and into Merger Sub, with Merger Sub being the surviving company and a wholly owned subsidiary of PubCo. Following, Veraxa merged with and into PubCo, with PubCo being the surviving company. Following the consummation of the Business Combination, PubCo changed its name to \"Veraxa Biotech AG\" (the \"Issuer\")." }, { "accession_no": "0002134838-26-000001", "person_seq": 0, "reporting_person_cik": 2134838, "reporting_person_name": "Deck David Lukas", "fund_type": "SC", "citizenship_or_org": "V8", "sole_voting_power": 25502836.0, "shared_voting_power": 0.0, "sole_dispositive_power": 25502836.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 25502836.0, "percent_of_class": 18.0, "type_of_reporting_person": "IN", "comment_content": "(7) The shares reported in this Schedule 13D as beneficially owned by David L. Deck (the \"Reporting Person\") were acquired upon the closing of a business combination between Voyager Acquisition Corp. (\"Voyager\") and Veraxa Biotech AG (\"Veraxa\"; such transaction with Voyager, the \"Business Combination\") on June 8, 2026 (the \"Closing Date\"), pursuant to a Business Combination Agreement by and among Voyager, Veraxa, Veraxa Biotech AG (\"PubCo\"), Veraxa Cayman Merger Sub (\"Merger Sub\"), and Oliver Baumann, solely in his capacity as shareholder representative, Voyager merged with and into Merger Sub, with Merger Sub being the surviving company and a wholly owned subsidiary of PubCo. Following, Veraxa merged with and into PubCo, with PubCo being the surviving company. Following the consummation of the Business Combination, PubCo changed its name to \"Veraxa Biotech AG\" (the \"Issuer\")." }, { "accession_no": "0002135648-26-000008", "person_seq": 0, "reporting_person_cik": 2135648, "reporting_person_name": "Research Alliance Holdings III LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1520269.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1520269.0, "aggregate_amount_owned": 1520269.0, "percent_of_class": 14.7, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002135648-26-000008", "person_seq": 1, "reporting_person_cik": 1817056, "reporting_person_name": "Matthew Hammond", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1520269.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1520269.0, "aggregate_amount_owned": 1520269.0, "percent_of_class": 14.7, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002135648-26-000011", "person_seq": 0, "reporting_person_cik": 2135648, "reporting_person_name": "Research Alliance Holdings III LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1520269.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1520269.0, "aggregate_amount_owned": 1520269.0, "percent_of_class": 16.9, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002135648-26-000011", "person_seq": 1, "reporting_person_cik": 1817056, "reporting_person_name": "Matthew Hammond", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1520269.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1520269.0, "aggregate_amount_owned": 1520269.0, "percent_of_class": 16.9, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002136560-26-000003", "person_seq": 0, "reporting_person_cik": 2136560, "reporting_person_name": "White Tyler Kent", "fund_type": "PF", "citizenship_or_org": "AZ", "sole_voting_power": 450000.0, "shared_voting_power": 0.0, "sole_dispositive_power": 450000.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 450000.0, "percent_of_class": 35.1, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002136560-26-000004", "person_seq": 0, "reporting_person_cik": 2136560, "reporting_person_name": "White Tyler Kent", "fund_type": "PF", "citizenship_or_org": "AZ", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 0.0, "percent_of_class": 0.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002137030-26-000001", "person_seq": 0, "reporting_person_cik": 2137030, "reporting_person_name": "Sky Frontier Foundation", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 0.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 4000000.0, "percent_of_class": 7.4, "type_of_reporting_person": "OO", "comment_content": "Non-U.S. Foundation\n\nThis Amendment No. 1 to Schedule 13D (this \"Amendment\") amends and supplements the Schedule 13D filed with the Securities and Exchange Commission on May 27, 2026 (the \"Original Schedule 13D\") by Sky Frontier Foundation (the \"Reporting Person\") relating to the common stock, $0.01 par value per share (the \"Common Stock\"), of Stablecoin Development Corp (the \"Issuer\"). Capitalized terms used but not defined in this Amendment have the meanings given to them in the Original Schedule 13D. Except as expressly amended and supplemented by this Amendment, the Original Schedule 13D remains in full force and effect.\n\nThis Amendment is being filed to report a change in the Reporting Person's beneficial ownership percentage resulting from an increase in the number of outstanding shares of Common Stock. As reported in the Issuer's Current Report on Form 8-K filed on June 17, 2026, following the cashless exercise by R01 Fund LP and Framework Ventures IV L.P. of their October 2025 pre-funded warrants, 50,449,780 shares of Common Stock were issued and outstanding as of June 15, 2026. As a result of the increased number of outstanding shares, the 4,000,000 shares of Common Stock issuable to the Reporting Person upon exercise of the first tranche of the Warrant within 60 days no longer exceed the Beneficial Ownership Limitation, and the Reporting Person is now deemed to beneficially own those 4,000,000 shares, representing approximately 7.4% of the outstanding Common Stock." }, { "accession_no": "0002137786-26-000012", "person_seq": 0, "reporting_person_cik": 2137786, "reporting_person_name": "Research Alliance Holdings IV LLC", "fund_type": "WC", "citizenship_or_org": "E9", "sole_voting_power": 0.0, "shared_voting_power": 1538529.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1538529.0, "aggregate_amount_owned": 1538529.0, "percent_of_class": 17.0, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002137786-26-000012", "person_seq": 1, "reporting_person_cik": 1817056, "reporting_person_name": "Matthew Hammond", "fund_type": "AF", "citizenship_or_org": "X1", "sole_voting_power": 0.0, "shared_voting_power": 1538529.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 1538529.0, "aggregate_amount_owned": 1538529.0, "percent_of_class": 17.0, "type_of_reporting_person": "IN", "comment_content": null }, { "accession_no": "0002140177-26-000001", "person_seq": 0, "reporting_person_cik": 2140177, "reporting_person_name": "Benaim Eric", "fund_type": "PF", "citizenship_or_org": "X1", "sole_voting_power": 81175.0, "shared_voting_power": 0.0, "sole_dispositive_power": 81175.0, "shared_dispositive_power": 0.0, "aggregate_amount_owned": 81175.0, "percent_of_class": 5.0, "type_of_reporting_person": "IN", "comment_content": "Based on 1,616,081 shares outstanding as of June 4, 2026, as reported by the Issuer in its Annual Report on SEC Form 10-K filed with the United States Securities and Exchange Commission (the \"Commission\") on June 4, 2026." }, { "accession_no": "0002141719-26-000003", "person_seq": 0, "reporting_person_cik": 2141719, "reporting_person_name": "Peak XV Partners Seed Investment", "fund_type": "OO", "citizenship_or_org": "O4", "sole_voting_power": 0.0, "shared_voting_power": 6468999.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6468999.0, "aggregate_amount_owned": 6468999.0, "percent_of_class": 20.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002141719-26-000003", "person_seq": 1, "reporting_person_cik": null, "reporting_person_name": "Peak XV Partners Seed Fund I Ltd", "fund_type": "OO", "citizenship_or_org": "O4", "sole_voting_power": 0.0, "shared_voting_power": 6468999.0, "sole_dispositive_power": 0.0, "shared_dispositive_power": 6468999.0, "aggregate_amount_owned": 6468999.0, "percent_of_class": 20.3, "type_of_reporting_person": "OO", "comment_content": null }, { "accession_no": "0002141719-26-000003", "person_seq": 2, "reporting_person_cik": null, "reporting_person_name": "Peak XV Partners 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